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RRCStudyText

NEBOSH

InternationalGeneralCertificateinOccupationalHealthandSafety

UnitIG1:ManagementofHealthandSafety

NEBOSHINTERNATIONALGENERALCERTIFICATEINOCCUPATIONALHEALTHANDSAFETY

UNITIG1

IntroductiontotheCertificateCourse IntroductiontoUnitIG1 Element1:WhyWeShouldManageWorkplaceHealthandSafety Element2:HowHealthandSafetyManagementSystemsWorkandWhatTheyLookLike Element3:ManagingRisk–UnderstandingPeopleandProcesses Element 4: Health and SafetyMonitoring and Measuring UnitIG1:FinalReminders SuggestedAnswerstoStudyQuestions

Contributor

DrJPhelpstead,BSc,PhD,CMIOSH

©RRCInternational

Allrightsreserved.RRCInternationalisthetradingnameofTheRapidResultsCollegeLimited,TuitionHouse,27-37StGeorge’sRoad,London,SW194DS,UK.

These materials are provided under licence from The RapidResults College Limited. No part of this publication may bereproduced,storedinaretrievalsystem,ortransmittedinanyform, or by any means, electronic, electrostatic, mechanical,photocopied or otherwise, without the express permission inwritingfromRRCPublishing.

ForinformationonallRRCpublicationsandtrainingcourses,visit:www.rrc.co.uk

RRC:IG1.1

ISBNforthisvolume:978-1-912652-26-6SecondeditionSeptember2020

ACKNOWLEDGMENTS

RRC International would like to thank the NationalExamination Board in Occupational Safety and Health(NEBOSH)fortheirco-operationinallowingustoreproduceextractsfromtheirsyllabusguides.

This publication contains public sector information publishedby the Health and Safety Executive and licensed under theOpenGovernmentLicencev.3(www.nationalarchives.gov.uk/doc/open-government-licence/version/3).

Everyefforthasbeenmadetotracecopyrightmaterialandobtainpermissiontoreproduceit.Ifthereareanyerrors

or omissions, RRC would welcome notification so thatcorrectionsmaybeincorporatedinfuturereprintsoreditionsofthismaterial.

Whilsttheinformationinthisbookisbelievedtobetrueandaccurate at the date of going to press, neither the author northe publisher can accept any legal responsibility or liability foranyerrorsoromissionsthatmaybemade.

Safety

Element2:HowHealthandSafetyManagementSystemsWorkandWhatTheyLookLike

OccupationalHealthandSafetyManagementSystems 2-3

IntroductiontoOccupationalHealthandSafetyManagementSystems 2-3

ILO-OSH2001:TheILOOccupationalSafetyandHealthManagementSystem 2-4

ISO45001:TheOccupationalHealthandSafetyManagementSystemStandard 2-5

MakingtheManagementSystemWork–TheHealthandSafetyPolicy 2-8

IntroductiontoHealthandSafetyPolicies 2-8

TheThreePartsofaHealthandSafetyPolicy 2-9

ReviewingPolicy 2-14

Summary 2-15

ExamSkills 2-16

Element3:ManagingRisk–UnderstandingPeopleandProcesses

HealthandSafetyCulture 3-3

HealthandSafetyCulture 3-3

RelationshipBetweenHealthandSafetyCultureandPerformance 3-4

IndicatorsofHealthandSafetyCulture 3-5

TheInfluenceofPeers 3-6

ImprovingHealthandSafetyCulture 3-8

ManagementCommitmentandLeadership 3-8

CompetentWorkers 3-9

EffectiveCommunication 3-9

Co-operationandConsultation 3-11

Training 3-14

HumanFactorswhichInfluenceSafety-RelatedBehaviour 3-17

Organisational,JobandIndividualFactors 3-17

RiskAssessment 3-22

IntroductiontoKeyWordsandPhrases 3-23

RiskProfiling 3-24

ThePurposeofRiskAssessment 3-26

TheFiveStepsofRiskAssessment 3-27

SpecialCasesandVulnerableWorkers 3-39

TheManagementofChange 3-43

TheImpactofChange 3-43

ManagingtheImpactofChange 3-44

SafeSystemsofWork 3-46

IntroductiontoSafeSystemsofWork 3-46

WorkerInvolvement 3-47

WrittenProcedures 3-47

Technical,ProceduralandBehaviouralControls 3-47

DevelopingaSafeSystemofWork 3-48

Permit-to-WorkSystems 3-50

OperationandApplication 3-51

TypicalUsesofPermitSystems 3-53

EmergencyProceduresandFirstAid 3-55

TheNeedforEmergencyProcedures 3-55

EmergencyProcedureArrangements 3-56

First-AidRequirements 3-57

Summary 3-60

ExamSkills 3-62

Element4:HealthandSafetyMonitoringandMeasuring

ActiveandReactiveMonitoring 4-3

IntroductiontoActiveandReactiveMonitoring 4-3

ActiveMonitoring 4-3

SafetyInspections,SamplingandTours 4-5

ArrangementsforActiveMonitoring 4-6

ReactiveMonitoring 4-8

Investigating,RecordingandReportingIncidents 4-11

IntroductiontoIncidentInvestigation 4-11

TypesofIncident 4-12

BasicInvestigationProcedures 4-14

ReportingofEventstoExternalAgencies 4-21

HealthandSafetyAuditing 4-23

IntroductiontoAuditing 4-23

TheStagesofanAudit 4-24

ExternalandInternalAudits 4-26

ReviewingHealthandSafetyPerformance 4-27

PurposeofRegularReviews 4-27

IssuestobeConsideredinReviews 4-28

OutputsfromtheReviews 4-28

Summary 4-30

ExamSkills 4-31

UnitIG1:FinalReminders

SuggestedAnswerstoStudyQuestions

IntroductiontotheCertificateCourse

CourseStructure

ThisstudytexthasbeendesignedtoprovideyouwiththecoreknowledgeneededtosuccessfullycompleteUnit1 of the NEBOSH International General Certificate in Occupational Health and Safety, as well as providing a usefuloverview of workplacehealth andsafety management.It followsthe structureand contentof theNEBOSH syllabus.

NEBOSHInternationalGeneralCertificateinOccupationalHealthandSafety

UnitIG1:ManagementofHealthandSafety–AssessedbytheOpen-BookExam

Element1

WhyWeShouldManageWorkplaceHealthandSafety

Element2

HowHealthandSafetyManagementSystemsWorkandWhatTheyLookLike

Element3

ManagingRisk–UnderstandingPeopleandProcesses

Element4

HealthandSafetyMonitoringandMeasuring

UnitIG2:RiskAssessment–AssessedbythePracticalAssessment

Element5

PhysicalandPsychologicalHealth

Element6

MusculoskeletalHealth

Element7

ChemicalandBiologicalAgents

Element8

GeneralWorkplaceIssues

Element9

WorkEquipment

Element10

Fire

Element11

Electricity

+ =

TheAssessments

Open-BookExam

ForeveryonestudyingtheNEBOSHIG1unit,anew,‘open-book’examhasbeenintroducedtoreplacethepreviousinvigilated exam. This new format allows candidates to complete their qualification without needing to attend anexamvenue,whilemaintainingthehighstandardsandrobustassessmentstrategyforwhichNEBOSHisrenowned.Thisstudytextcontainsinformationandadviceonhowbesttoprepareforthisexam.

NEBOSHhasprepareddetailedinformationontheopen-bookexaminationsalongwithanumberofusefulresourceswhich you can access from the NEBOSH website. You must read and familiarise yourself with the resources NEBOSHhasprovided;RRC’sguidanceiscomplementary,notareplacementforNEBOSHguidance.

An ‘open-book’ exam means exactly what the name suggests: you are allowed to access your study text and othermaterialsduringtheexam.However,itwillrequiremorethansimplycopyingtexttoanswertheexamquestions;youwill need to demonstrate that you understand the subject matter and can apply the topics appropriately - and thisneedspreparingfor.Furtherguidancecanbefoundinthe‘FinalReminders’sectionlater.

The NEBOSH International General Certificate open-book exam differs from the traditional question-and-answer-typeformatandwillinsteadconsistofarealisticworkplacescenariowhichmaydescribeadevelopingsituationsuchasanincidentorsafetyintervention,andyoumaybeaskedtoassumeaparticularrole,forexampleasafetymanager.Youwillthenbeaskedtocarryoutsometasksandeachtaskwillconsistofoneormorequestions,whereyouranswerswillmostlyberelevanttothescenario.

Anothercrucialdifferencebetweenthetwoexamformatsistheduration;sincethisexamisn’tinvigilatedandrequirestime to prepare your answers, you have a 24-hour window in which to prepare, complete and submit the exam,therefore allowing for enough time to reflect and detail your answers. It may sound like a lot of time, but there is a lotyou will need to do. Don’t worry though - we will outline what you need to do in those 24 hours to successfully finishtheexam.

NEBOSHspecifies4to5hourstocompletetheexam;the24hoursallowforyoutoprepareandchoosethebesttime

ofdayforyoutoworkontheexam-itdoesnotmeanyoushouldbeworkingallofthattime.

There is a word count currently specified of 3,000 words in total which you would not be expected to exceed. (Notethat the word count is subject to change by NEBOSH.)Be aware though that it will be more difficult to pass theexam if your word count is significantly below the specified figure. The word count might provide a guide as to howextensive your answers should be and will help you to focus on what the exam is asking you to do. If we assume aword count of 3,000 words for example, distributed across all the questions, then 10-mark questions require around300wordswhile15-markquestionswouldrequirearound450words.Youalsohavethechoicetotypeyouranswersorhand-writethem.

Followingtheexamtherewillbeaclosinginterview-youmusttakepartinthisforyourmarktobeawarded.

In addition to RRC’s guidance, you must read the NEBOSH Open Book Examinations: Learner Guide and the NEBOSHOpenBookExaminations:TechnicalLearnerGuide,whichyoucandownloadfromtheNEBOSHwebsite.

PracticalAssessment

ThepracticalassessmenttestsknowledgecoveredintheUnitIG2studytext(Elements5to11).Thisrequiresyoutocarryoutariskassessmentinaworkplace.

FurtherinformationandhelponthepracticalassessmentisgivenintheUnitIG2studytextintheIntroductiontoUnitIG2,thePracticalAssessmentGuidancesectionsattheendofElements5to11andintheUnitIG2:FinalReminderssection.

LearningOutcomesandAssessmentCriteria

LearningOutcome

Thelearnerwillbeableto:

RelatedContent

AssessmentCriteria

Assessment

(OBE=Open-BookExam,P=Practical)

Justify health and safetyimprovements usingmoral,financialandlegalarguments.

1.1–1.2

Discuss the moral, financialandlegalreasonsformanaginghealth and safety in theworkplace.

Explainhowhealthandsafetyisregulatedandthe consequences of non-compliance.

OBE

Advise on the main dutiesfor healthandsafetyinthe workplace and helptheir organisation managecontractors.

1.3

1.3Summarisethemainhealthand safety duties of differentgroups of people at work andexplain how contractors shouldbe selected, monitored andmanaged

OBE

Workwithinahealthandsafetymanagementsystem, recognisingwhat effective generalpolicy,organisationand

arrangements should looklike.

2.1–2.2

Give an overview of theelementsofahealthandsafetymanagement system and thebenefits of having a formal/certifiedsystem.

Discuss the mainingredientsofhealthandsafety

managementsystemsthatmakeit effective – general policy,organisation,arrangements.

OBE

Positivelyinfluencehealthand safety culture andbehaviour to improveperformance in theirorganisation.

3.1–3.3

Describe the concept ofhealth and safety culture andhowitinfluencesperformance.

Summarisehowhealthandsafety culture at work can beimproved.

Summarise the humanfactors which positively ornegatively influence behaviourat work in a way that can affecthealthandsafety.

OBE

Do a general riskassessmentintheirownworkplace – profilingandprioritisingrisks,

inspecting the workplace,recognisingarange

of common hazards,evaluating risks (takingaccount of currentcontrols), recommendingfurthercontrolmeasures,planningactions.

3.4

5–11

3.4 Explain the principles of theriskassessmentprocess.

5–11 Produce a risk assessmentofaworkplacewhichconsidersawide range of identified hazards(drawnfromElements5–11)andmeets best practice standards(‘suitableandsufficient’).

OBEP

LearningOutcome

Thelearnerwillbeableto:

RelatedContent

AssessmentCriteria

Assessment

(OBE=Open-BookExam,P=Practical)

Recognise workplacechanges that havesignificanthealthand safety impactsandeffectivewaysto

minimisethoseimpacts.

3.5

3.5 Discuss typical workplacechanges that have significanthealth and safety impacts andwaystominimisethoseimpacts.

OBE

Develop basic safesystems of work(including taking accountof typical emergencies)and knowing whento usepermit-to-work systemsforspecialrisks.

3.6–3.8

Describe what to considerwhen developing andimplementingasafesystemofworkforgeneralactivities.

Explaintherole,functionandoperationofapermit-to-worksystem.

Discuss typical emergencyprocedures (including trainingand testing) and how to decidewhat level of first aid is neededintheworkplace.

OBE

Takepartinincidentinvestigations.

4.2

4.2 Explain why and howincidentsshouldbeinvestigated,recordedandreported.

OBE

Helptheiremployertochecktheirmanagementsystemeffectiveness

– through monitoring,auditsandreviews.

4.1,4.3–4.4

4.1 Discuss common methodsand indicators used to monitortheeffectivenessofmanagementsystems.

Explain what an audit is andwhy and how they areused toevaluateamanagementsystem.

Explainwhyandhowregularreviews of health and safetyperformanceareneeded.

OBE

TheselearningoutcomesandassessmentcriteriaarepublishedbyNEBOSHinthesyllabusguideforthecourse.Itisveryimportantthatyouunderstandallthelearningoutcomes.

KeepingYourselfUptoDate

Thefieldofhealthandsafetyisconstantlyevolvingand,assuch,itwillbenecessaryforyoutokeepuptodatewith

changinglegislationandbestpractice.

RRC International publishes updates to all its course materials via a quarterly newsletter, which alerts students tokeychangesinlegislation,bestpracticeandotherinformationpertinenttocurrentcourses.

Pleasevisitwww.rrc.co.uk/news-resources/newsletters.aspxtoaccesstheseupdates.

OtherPublications

StudyAids

NEBOSHInternationalGeneralCertificateinOccupationalHealthandSafetyRevisionGuide

RRCHealthandSafetyLawStepNotes

RRCOccupationalHealthandHygieneStepNotes

RRCQualityManagementStepNotes

RRCEnvironmentalStepNotes

FurtherYourStudies

NEBOSHInternationalDiplomainOccupationalSafetyandHealth–UnitID1:Know–workplacehealthandsafetyprinciples

NEBOSHInternationalDiplomainOccupationalSafetyandHealth–UnitID2:Do–controllingworkplacehealthissues

NEBOSHInternationalDiplomainOccupationalSafetyandHealth–UnitID3:Do–controllingworkplacesafetyissues

RRCInternationaliscontinuallyaddingtoitsrangeofpublications.Visitwww.rrc.co.uk/publications.aspxforafullrangeofcurrenttitles.

IntroductiontoUnitIG1

WelcometothefirstpartofyourNEBOSHCertificatecourse.

UnitIG1hasfourchaptersor‘elements’:

Element1:containsanexplanationofthereasonsformanaginghealthandsafetyeffectively,includinganexaminationoflegalstandardsandanintroductiontotheprinciplesofcontractormanagement.

Element2:introducestheideaofhealthandsafetymanagementsystemsandhowthesearesetoutinorganisationalpolicies.

Element 3: deals with a wide range of topics that sit at the core of effective health and safety management.Topicsincludehealthandsafetyculture,howthisculturecanbeimproved,riskassessment,thedevelopmentofsafesystemsofwork,andemergencyproceduresandfirstaid.

Element4:containsanexplanationofactiveandreactivemonitoring,accidentreportingandinvestigation,andhealthandsafetyauditing.

The common theme that runs through these elements is the issue of management. Technical details of specifichazardsorhazardgroups–suchasmachinery,noise,hazardouschemicals,fire,etc.–aredescribedinUnitIG2ofthiscourse.

Thesefirstfourelementsareassessedbyanopen-bookexam(theUnitIG1exam).

TheExam

TheformalassessmentfortheCertificatecoursehasoneopen-bookexamandapracticalassessment.

Theopen-bookexamtestsknowledgecoveredinElements1to4(UnitIG1coveredbythisfirststudytext).Itdoes

nottestinformationcoveredinElements5to11(UnitIG2coveredbythesecondstudytext).

It is recommended that you study in the same room and environment where you will carry out the open-book exam,toensureyouarecomfortableandsetfortheexam.

ExamRequirements

TheIG1‘open-book’examisnotinvigilatedandyouhavea24-hourwindowinwhichtoprepare,completeand

submit the exam, thereforeallowing enough timeto reflect anddetail your answers.

There is no choice of questions in the exam – all questions are compulsory. NEBOSH specifies 4 to 5 hours tocomplete theexam.The24hoursallowsyoutopickthebesttimeofdayforyoutoworkontheexam–itdoesnotmeanyoushouldbeworkingallthattime.

SettingUpfortheExamDay

Therearesomethingsyoucandotoensureyouhavethebestpossibleset-upfortheday:

Makesureyoucansitcomfortablysothatyouarenotdistractedbyuncomfortableposture.Ensuregoodlightingandacomfortabletemperature.

Know where your study materials are so that you spend less time looking for them at the time of the exam.Haveyourstudymaterialswithineasyreach.

Ifyoulivewithanyone,makesuretheyareawareofwhenyouaretakinganexamtoavoidunnecessaryinterruptionsanddistractions.Placingafriendlysignonyourdoormaybeausefulreminderforthem!

Switchoffyourphone,televisionandanyotherdevicesthatmaydistractyou.

Havewaterandsnackshandy.

Ensureyoucankeepyourcomputerchargedup.

Ifyoucan’ttaketheexamathome,bookaquietroomwithgoodlighting,chargingpointandinternetconnection.

WhattoDoontheDay

Onthedayoftheexam,youwillbeabletoaccesstheexamfrom11.00amUKtimebyloggingintotheNEBOSHplatform anddownloadingthe file.Youwill have24hours todothe exam,startingfromwhen theexampaperbecomes available. This does not mean it should take you 24 hours to do the exam, nor does it mean that youhavetobeworkingforallthattime;the24-hourwindowisdesignedtoallowtimeforyoutoreadandanalysethe

examquestions,accessyourcoursematerials,planyouranswers,completeandsubmittheassessment,aswellastake necessary breaks and fulfill your other everyday commitments. The paper should take around 4 to 5 hours tocompletesomakesureyouareawareofthetime.

So,howdoyoubestutilisethistime?

This iswhenyour planning,studyingandhard workwillpay off.Youwillhave yourmaterialsreadyso youwillbesetupforastrongstart.

Youarenotexpectedtowritemorethan3,000wordsintotal.Youarealloweda10%margin-youwillnotgainmarksforgoingbeyondthis,soyouranswersshouldberelevant,conciseandfocused.

RRCwouldstronglyadvisethatyoudonotwritemorethan3,300wordsincaseexaminerschoosenottoreadbeyond3,300wordsandyouthereforemissoutonmarks.

Use your time wisely: work at your own pace but don’t leave everything until the last minute. Review your materials,draftupyouranswersandallowtimetomakeamendments.Taketimetoreadtheexamquestionscarefully.Refertoyourpreparedmaterialsandnoteswiththefollowinginmind:

Yourworkshouldbeyourown,inotherwordsdonotcopycontentwithoutreferencingthesourceorthiscountsasplagiarism(moreonreferencingandplagiarismlater).

Donotcommunicatewithanyoneabouttheassessment.

Donotaskorallowanyonetoproof-readorhelpyouwithyourwork.

Anothercommonmistakewhendoinganopen-bookexamistorefertoasmanymaterialsaspossible;don’tfallintothis trap, you must be selective! Use only the materials that you need - again, this is why preparing them in advanceissoimportant!

Don’t become over-reliant on materials either, you must apply your own knowledge and argument. You want thematerialstosupportyouranswer,nottakeover!

Topasstheexamyouhavetoget45/100ormore(i.e.45%).

If you do not achieve the minimum pass mark of 45%, you will receive a ‘referral’ and will have to retake theexam.ThismeansyoumayresittheexamprovidedyoudosowithinfiveyearsofpassingtheUnitIG2practicalassessment.Youmayresitasmanytimesasyouwantwithinthatfive-yeartimescale.

Youhavetopasstheexam(andthepracticalassessment)inordertoachievetheCertificatequalification.

Don’tworryaboutthedetailsoftheexamfornow.WewillcomebacktoitlaterinthisIntroduction.Fornowitissimplyworthbearinginmind,asyouarereadingthroughyourUnitIG1coursematerialsandstudyingthevarioustopicsandideas,thatthereisanassessmentattheendandthisassessmenttakestheformofanexam.

WhenyoustudyUnitIG2ofthecourse,youareassessedbyapracticalassessment.Thisrequiresyoutocarryoutariskassessmentexerciseinyourworkplaceonawiderangeofhazards.Thiscanbedoneoveraperiodoftimewithfull access to your course materials and other sources of information. There are rules that govern this assessmentbut it is not done under exam conditions. Further information on the practical assessment is given in the Unit IG2studytext.

StudySkills

As I am sure that you are keen to start your studies, you probably want to skip this introductory chapter completelyandgetdowntosomerealwork.

BeforeyoubeginreadingElement1,pleasestopandtakeamoment.Askyourself:

HaveIorganisedmyselftostudy?

HaveIthoughtaboutwhenIwillstudy?

DoIknowhowtostudy?

DoIknowhowtoreviseforanexam?

ThesequestionsareimportantbecauseifyousimplystartlookingatElement1,youmayendupwastingalotoftimegoingoverthesametopicsfornogoodreason.

GetOrganised

Gather together all of the things that you might need. This will include obvious items like your book or electronicdevice (if you’re studying the text on a screen), a notepad and a pen. But it will also include other things such asindexcards(toputkeynotesonasarevisionaid),highlighterpens,drinkingwaterandperhapssomethingtoplaymusicon(ifyouliketostudytomusic).

Makesurethatalloftheseitemsaretogetherinoneplaceandreadilyavailablesothatwhenyouareinthemoodtostudy,youcansitdownandgetgoingwithoutdelay.

When toStudy

Think about the amount of time that you have available to do the work that you need to do. Think about whichdaysoftheweekcanbeusedforstudy.Thinkaboutwhattimesduringthosedaysarefree.Thinkabouttheotherdemandsthatyouhaveonyourtime,suchasworkandfamilycommitments.

Youmustplanyourstudytimeinandaroundallofthesethings.Ifyoufailtoplan,thenyouplantofail.

At the same time think about what time of day suits you best for studying. Some people are morning larks – theylike to be up and at it early. Other people are night owls and study best late in the evening or even past midnight.Thisneedstobefactoredintoyourplanning.

Andfinally,thinkaboutrestandrelaxation.Ifyouworktoohard,yourstresslevelsmightincreaseandthiscanhavea negative impact on your ability to study effectively. Ultimately this might lead to a poor performance in the exam.Somakesurethatyoufactorintimeoffforrecovery.

HowtoStudy

Studyingjustinvolvesreadingthecoursematerials,right?Wrong.

Readingtextonthepageorscreenisonepartoftheprocess.Buteffectivestudyingismuchmorethanjustreading.Effectivestudyinginvolves:

Thinkingaboutwhatyouarereadingasyouarereadingit.

Comparingwhat you are reading with yourown personal experiences and pre-existing knowledge.

Identifying gapsin yourexisting knowledge.

Reflectingonwhatyouhavereadatsomelaterstage.

Gaininganunderstandingofthetopicsandideas.

Developingyourmemorysothattheinformationisavailableforeasyrecall.

Itisaboutbuildingamentalframework,andinsertingvarioustopicsandideasintothatframeworktocreateacoherentstructurethatmakessensetoyou,thatyoucanrememberandexplaintosomebodyelse.

Thinkofstudyasdoingajigsawpuzzle.Howdoyoudoajigsawpuzzle?Youstartwiththecorners.Thenyoudotheedges. Then you do the easy and obvious bits in the middle. And you finish with the blue sky that is poorly definedandwhereonepiecelooksjustlikeanyother.

No-one does a jigsaw puzzle by starting at the top left corner and then doing one puzzle piece at a time from left torightandthendowntothenextrowandalong.

Youareahumanbeing;notanink-jetprinter.Sowhenyouarestudying,trythisapproach:

Skim through the book and dip in and out to get a general overview of the structure of Unit IG1 and the topicscovered.Jotdownafewnotesonasinglepieceofpaperthatsummarisestheoverallstructureandkeycontentfromthisquickskim.

Takeabreak.Goanddosomethingelseforawhile.Orendthisstudyperiod.

Have alookatElement1andstart readingfromthebeginning.Whenyougetto somethingthatseemsalittlehardorawkward,jumpoverthatsectionandre-engageatthenextbitthatmakessense.Makeverybriefnotesof the content that you are comfortable with. Try to keep these notes short. Capture the topics and ideas insinglewordsorshortphrasesifyoucan.Donotre-writeeverythingthatyouread.

Takeabreakafter40minutesorso.Don’tstudyforlongperiodsatatimeasitisnotproductive.Concentration,

understanding and retention all drop significantlyif you study for periods longerthan an hour.

Continueinthiswayuntilyouhavelookedoverallfourelements.Takefrequentbreaksasoutlinedabove.Do

notgetboggeddownwiththedifficultdetail.

Now go back to the start of Element 1 and re-read what you have already looked at. As you do this, look at yoursummary notes. Correct any mistakes. Add vital information that you missed out the first time. But do not writetoomuch.Trytocondenseandsummarise.Thinkaboutmakingsomerevisionaidsliketheonesthatareoutlinedlaterinthissection.

Whenyoucometooneofthemoredifficultsubjectareasthatyouskippedoverbefore,keepreading.Stepupyourfocusandconcentrationandbreakthetopicdown.Skipoverthereallyhardpartsifyouhavetobuttrytoworkthroughitmore.

Takebreaksasbefore.Haveshortperiodsofstudybrokenupwithgapstogiveyourbrainarestoradistraction.

Carryon studyingall fourelements inthis way.

As youwork through,tryto consolidateand buildonthe thingsthatyou knowand reducetheextent oftheareas

thatyoufindmoredifficult.

Rememberwhatweareaimingtodohere–getageneralideaofwhatthepictureis,thendothecorners,thentheedges,thentheeasybitsinthemiddle,thenthesky.

HowtoOrganiseyourNotes

As you work through your materials and organise your notes, keep in mind that the exam questions will not belookingforword-for-wordfactsquotedinyourstudytext.Rather,theanswerstotheexamquestionsareallaboutinterpretation and application of the facts, and demonstrating that you understand how topics connect with eachother.Thismayseemoverwhelmingatfirstsincethereisalotofcontenttogetthrough-sohereareafewtipsonhowtokeepyournotesorganisedandmakethemeasilyaccessible:

Makesureyournotesareclearandlegible.

Useflashcardsforhandypromptsorreminders,suchasdefinitionsorformulae.

Usecolouredhighlightersforanyimportanttopics;youcancreateyourowncolourcodingsystem,forexample

yellowhighlightingfordefinitions,greenhighlightingforlegalreferences,etc.

Pagemarkersorstickynotesareagreatwaytohelpyoufindcontentquickly.

Drawmindmaps;theyareanexcellentwaytoseehowtopicslinkwitheachother.

Makeaposterthatsummarisesatopicarea.

Makeanoteofrelevantwebsearchesorlinks.

Includeanyresponsestoqueriesyouraisedwithyourtutor.

Flash cards are great for learning definitions. Stick them on yourfridgeorofficedoor

AnexampleofamindmaponthemainideasoftheUKHealthandSafetyatWorkAct

RevisingfortheExam

Oneofthereasonsforincludinginformationabouttheexamhereisthatitisessentialthatyouthinkabouttheexamearly on so that you start making revision notes and aids as a normal part of your study routine. Here are somesuggestionsabouthowyoucandothis:

Don’tjustreadthebook.

Readthebookandmakecondensednotes.

Readthebookandhighlightkeywordsandideasonthepage.

Readthebookanddrawamindmap.

Recordsomeaudionotesaboutwhatyouhavejustread.

Makealargeposterthatsummarisesatopic.

Makesomeflashcardsusingindexcards.

Writekeyideasonstickynotesandstickthemeverywhere.

Buildthisintoyourstudyroutinesothatyouaredoingthesethingsasyoureadthroughtheelements.Itgivesyouan activity to do while you are studying. It will help you focus because you have to concentrate to decide what towrite.Itwillalsohelpyouwhenyouarereviewingyourstudynotes(seebelow).

Your ability to retain information drops off quite quickly after a period of study. But this drop in retention can beminimised by leaving a short gap and then briefly reviewing what you have just studied. This review should bequick,perhapsjustafewminutes.Anditshouldcomeabout10minutesafteryouhavefinishedyourstudyperiod.Ifyou repeat this review after 24 hours then it improves retention even more. And if the review is repeated again afterafewdays,ittopsupyourmemoryandhelpsevenmore.

Somethingtoaimfor:

Studyfor40minutesorso.

Takea10-minutebreak.

Reviewyourstudynotes(<5minutes).

Adaylater,reviewyourstudynotes(<5minutes).

Afewdayslater,reviewyourstudynotes(<5minutes).

Inotherwords,repetitionisthekeytobuildingrapidfuturerecall.Ifyourepeatedlyreviewtopicsandideasovertime,thatinformationwillbemuchmorereadilyavailabletoyouwhenyouaresatintheexam.

Basic ExamSkills

Intheexam,itisveryimportanttoanswerthequestionthatisbeingaskedandtorelateyouranswertothescenariogiven where appropriate. To do this you have to understand both the question and the scenario. If you interpret aquestionwronglyandprovideananswerforthequestionthatyouthinkisinfrontofyou,thenyouwillnotgetthemarks.

Tohelpyouunderstandwhataquestionisasking,there’sastep-by-stepapproachthatyoucanadoptwhenansweringexamquestions:

Step1:Readthescenario–thefirststepistoreadthescenariocarefully.Takecarewiththisasitisveryeasy

tomisreadwordsintherushtogetwriting.

Step2:Lookat thetask(orquestion).Ifthishasseveralpartsthenreadallparts–theremaybethingsinthe

laterpartswhichhelpyouunderstandthefirstpart.

Step3:Lookatthemarks.Thesegiveanindicationofhowmuchyouwillneedtowriteandhowlongyoushouldspendonaquestionorpartofaquestion.

Step4:Re-readthescenarioandtaskquestion(s).Checkthatyouhaveproperlyinterpretedandunderstoodthem.

Step5:Drawupaplan.Thismightbealistoramindmapthathelpsyouunloadinformationquickly..

Theaboveexamtechniqueistriedandtestedandisthebestwaytoapproachexamquestions.WegointomoredetailaboutthisintheExamSkillssectionsattheendofElements1to4.

Youmustalsoremembertomonitorthetime.Youhavea24-hourperiodinwhichtocompletetheexam.Beawareofyourprogressthroughthetasksandremembertoallowtimeforreviewingyouranswers.

ThereismoreinformationandhelponexamsbothintheExamSkillssectionsandintheUnitIG1:FinalReminderssection.

EnjoyUnitIG1ofthecourse!

References

NationalGeneralCertificateinOccupationalHealthandSafety-Qualificationguideforlearners,NEBOSH.2019

https://www.nebosh.org.uk/qualifications/national-general-certificate/#resources

NEBOSHOpenBookExaminations:LearnerGuide-GuidancedocumentforpreparingfortheopenbookexaminationforNG1,IG1,NGC1andIGC1units,NEBOSH,2020

https://www.nebosh.org.uk/documents/open-book-examination-learner-guide

NEBOSHInternationalGeneralCertificateinOccupationalHealthandSafety-UnitIG2:RiskAssessment,

RRCStudyText,2019

www.rrc.co.uk/news-resources.aspx

Note-takingtechniques,TheOpenUniversity,2020

https://help.open.ac.uk/highlighting-and-annotating

Mind Mapping - Writing Centre Learning Guide, The University of Adelaide, 2014https://www.adelaide.edu.au/writingcentre/sites/default/files/docs/learningguide-mindmapping.pdfMind Mapping to Help Study, The University Blog, 2010https://theuniversityblog.co.uk/2010/12/06/mind-mapping-to-help-study

MindMapping,UniversityofPortsmouth,2020

https://www.port.ac.uk/student-life/help-and-advice/study-skills/mind-mapping?_ga=2.123970698.1685194902.1588601826-1015065824.1588601826

LearningObjectives

Onceyou’vestudiedthiselement,youshouldbeableto:

Discussthemoral,financialandlegal reasons for managing health and safetyintheworkplace.

regulatedandtheconsequencesofnon-compliance.

dutiesofdifferentgroupsofpeopleatwork.

selected,monitoredandmanaged.

MoralsandMoney 1-3

IntroductiontoKeyTerms 1-3

TheMoralReasonforManagingHealthandSafety 1-3

TheFinancialReasonforManagingHealthandSafety 1-4

RegulatingHealthandSafety 1-7

LegalReasonsforManagingWorkplaceHealthandSafety 1-7

TheInternationalFramework 1-7

Employers’Responsibilities 1-8

Workers’ResponsibilitiesandRights 1-8

TheRoleofEnforcementAgencies 1-9

ConsequencesofNon-Compliance 1-10

OtherInternationalStandards 1-10

SourcesofInformation 1-11

WhoDoesWhatinOrganisations 1-12

TheEmployer 1-12

TheSharedResponsibilitiesofJointOccupiersofPremises 1-14

ContractorManagement 1-15

Summary 1-18

ExamSkills 1-19

MoralsandMoney

INTHISSECTION...

Thethreemainreasonswhyanorganisationhastomanagehealthandsafetyare:moral,legalandfinancial.Inthisfirstsectionwelookatthetwoofthese;themoralandfinancialreasons.

Themoralreasonrelatestothemoraldutythatonepersonhastoanother.Manypeoplearekilled,injuredormadesickbytheirwork.Thisharmismorallyunacceptableandsocietyasawholedemandsthatpeoplearesafewhileatwork.

Thefinancialreasonrelatestothefactthataccidentsandillhealthcostmoney.Whenanaccidentoccurs,therewill be direct and indirect costs as a result of that event. Some of these losses can be insured against; many ofthemwillbeuninsured.

IntroductiontoKeyTerms

Thetopicofhealthandsafetymakesuseofkeywordsandphrases.Someimportantdefinitionsare:

Health

Theabsenceofdiseaseorillhealth.Forexample,asbestoscreatesahealthriskbecauseifyouinhaleasbestosdustyou may contract lung cancer at some stage later in life (perhaps 20 or 30 years after you inhaled the dust). Healthrelates not only to physical ill health but also to psychological ill health (e.g. exposure to extreme stress can lead toacutementalcollapseora‘nervousbreakdown’).

Safety

Theabsenceofriskofseriouspersonalinjury.Forexample,walkingunderaloadsuspendedfromacraneduringaliftingoperationisnotsafebecauseiftheloadfalls,seriouspersonalinjuryordeathcouldresult.Stayingoutofthedangerarearesultsinsafety.

Welfare

Accesstobasicfacilitiessuchastoiletfacilities,hand-washstations,changingrooms,restrooms,placeswherefood

canbepreparedandeateninrelativelyhygienicconditions,drinkingwaterandbasicfirst-aidprovision.

TheMoralReasonforManagingHealthandSafety

The following global statistics have been published by the International Labour Organization (ILO) as part of theirSafeWork programme (you do not need to remember the actual figures; we give them to highlight the scale of theproblem):

There are over 350,000 work-related fatal accidents reported eachyear–halfoftheseoccurinagriculture.

Over2.75millionpeopledieeveryyearfromoccupationalaccidentsand occupational diseases. Around 2.4 million of these deaths areattributabletooccupationaldiseases.

There are over 270 million occupational accidents and 160 millionoccupationaldiseasesrecordedeachyear.

4% of the world’sgross domestic product islost each year throughthecostofinjury,death,absence,etc.

Otherhigh-risksectorsaretheconstructionandfishingindustries. Fishingisahigh-risksector

Thesefiguresrelatetothenumberofaccidentsandcasesofdiseasewhicharereportedandrecordedglobally.Noteverythingisreportedorrecorded,however,sotherealfiguresarealmostcertainlyhigher.

These statistics indicate that a huge amount of pain and suffering is experienced by people who simply go to workto earn a living. The numbers indicate the scale of the problem. What the numbers don’t do is tell the individualstories. When health and safety is not managed properly, people can get killed and injured in gruesome ways orsufferterriblediseasesthathaveamassiveimpactnotonlyonthem,butalsotheirdependants,families,friendsandcolleagues.Thissufferingismorallyunacceptable.

Employers (through management) control the premises, equipment and working practices used by workers toproducethegoodsandservicesthattheemployerrequires.Employers,therefore,haveamoralresponsibilitytoprovidesafeandhealthyworkingconditions.

Insimpleterms,themoralreasoncanbesummarisedas,‘it’stherightthingtodo’.Itisrightandproperthatworkersgo to work to earn a living and return home in the same state, not suffering from ill health or serious physical injury.Peopleexpectthisasafundamentalright.Workersexpectit.Societyexpectsit.Overtime,thissocietalexpectationhasbeentranslatedintolegalstandards.Inthisway,themoralargumentdriveslegislation.

TheFinancialReasonforManagingHealthandSafety

Personalinjuryaccidents,workerillhealthandpropertydamagecostmoney.Whenanaccidentorill-healthoccursthere will be direct and indirect costs associated with that event. Some of these losses can be insured against, butmanycannot.Accidentsandillhealthcansignificantlyaffectthefinancialresourcesofanorganisationand,insomecases, can put an organisation out of business. This is the financial argument for managing health and safety. It issometimesreferredtoasthebusinesscasebecauseitfocusesonmoney.

Whenanaccidentoccurs,theorganisationwillfacebothdirectandindirectcosts:

Directcosts–themeasurablecostsarisingdirectlyfromtheaccident.

Indirectcosts–thosewhichariseindirectlyasaconsequenceoftheevent.Indirectcostsareoftendifficultto

quantifypreciselyandmaybehardtoidentify.

Examplesofdirectcosts:

First-aidtreatment.

Workersickpay.

Repairsto,orreplacementof,damagedequipmentandbuildings.

Lostordamagedproduct.

Lostproductiontimewhiledealingwiththeinjury.Examplesofindirectcosts:

Reductioninstaffmorale(whichimpactsonproductivity,qualityandefficiency).

Generaldifficultiesinrecruitingandretainingstaffasaresultoftheaccident.

Lossofgoodwillofcustomersfollowingdelaysinproductionandfulfillingorders.

Damagetopublicimageandbusinessreputation.

Damagetoindustrialrelations,perhapsleadingtoindustrialaction(e.g.strikes).

Fromtheexamplesgivenyoucanseethat,thoughmoredifficulttoidentify,theindirectcostsassociatedwitha

workplaceaccidentcanbeverylargeindeed.

InsuredandUninsuredCosts

Itisusuallypossibletotakeoutinsurancetocoversomeofthelossesthatmightforeseeablyoccurtoanorganisation.Inmostcountriesit

is compulsory to take out employers’ liability insurance so that if aworker is killed or injured at work there is insurance in place to pay thatworker(ortheirdependants)compensationandtomeettheemployer’scivil costs. As well as meeting a legal requirement, this insurance mayprovide some comfortto workers,knowing thatin the eventof aninjurythe employer is insured to compensate them financially. Similarly, it isusualforanemployertoinsuretheirpremisesandstockagainstfire.

However, it is not possible to insure against all losses. Some losses areuninsurable by their very nature. For example, you cannot take out aninsurancepolicytopaymoneyshouldyoubeprosecutedandfinedinthecriminallawcourts,asitwouldnolongeractasaneffectivedeterrent.

Otherlossescannotbeinsuredagainstbecausethelossistoodifficult



Firecanbeinsuredagainst

to quantify, or because the insurance would be too expensive to consider. For example, organisations cannot insurethemselvesagainstlossofrevenueiftheirbusinessreputationisdamagedasaresultofamajorworkplaceaccident.Thereisnolawthatpreventsthistypeofinsurance,butitissimplynotofferedbyinsuranceproviders.

Many of the direct and indirect costs associated with workplace accidents are uninsured for these reasons. TheBritish regulator, the Health and Safety Executive (HSE) have estimated that uninsured losses are between 8 and36timesgreaterthaninsuredlosses.Theyprovidearoughaveragefigureof10times.Thisissometimesreferredtoasthe‘uninsuredlossiceberg’;becausethegreaterlossesareunseenbelowthewaterline(andarequitecapableofsinkingtheship).

InsuredCosts

UninsuredCosts

Damage to plant, buildings and equipment.Compensationpaidtoworkers.

Medicalcosts.

Legalcostsassociatedwithalegalclaimforcompensation.

Productiondelaysordowntime.

Lossofrawmaterialsduetoaccidents.Accidentinvestigationtime.

Criminalfinesandlegalcosts.

Sickpayforinjuredworkers.

Overtimetomakeupforlostproduction.Hiringandtrainingnewemployees.

Lossofbusinessreputation.

Itisworthrememberingthat,evenifalossiscoveredbyinsurance,mostinsurancepoliciescomewithanexcessand with a limit. The excess is the amount of money that will be payable by the organisation before any paymentisforthcomingfromtheinsurer(e.g.the first£5,000ofanyclaim).Thelimit isthecapabovewhichthe insurerwill

not pay (e.g. if you have £2 million building and contents fire insurance but it costs £3 million to rebuild and re-stockyourpremises,thentheinsurerwillonlypaythefirst£2million,andtheremainingsumisuninsured).

RegulatingHealthandSafety

INTHISSECTION...

Thelegalreasonformanagingworkplacehealthandsafetyrelatestotheframeworkoflawsthatgoverntheconductofbusinessesandorganisations.

TheInternationalLabourOrganization(ILO)hassetoutConventionC155andRecommendationR164whichapplytoworkplacehealthandsafetystandards.

MostcountriesandregionshaveestablishedlegalstandardsthatmeetorexceedtheminimumstandardssetoutinC155andR164.

Theselegalstandardsplaceadutyontheemployertoensurethatworkplaces,workactivitiesandworkequipmentandsubstancesare,sofarasisreasonablypracticable,safeandwithoutrisktohealth.

Thelegalstandardsalsoplaceadutyonworkerstolookaftertheirownandotherpeople’shealthandsafety.

Failuretocomplywiththeselegalstandardsmayleadtoenforcementactionbytheauthoritiesorprosecutionthrough a country’s criminal courts. Successful prosecution usually results in a fine, but may result inimprisonment.

Work-related injuries may result in compensation being paid to the victim. In some countries this is achievedbylegalactionthroughthecivilcourts,whilstothercountriesmayhaveworkercompensationschemesforthispurpose.

LegalReasonsforManagingWorkplaceHealthandSafety

The legal reason for managing health and safety relates to the framework of international and national lawsthat govern the conduct of businesses and organisations. Most countries have laws that set standards for howorganisations should conduct themselves with regard to the management of health and safety risks. Failure toachievetheselegalminimumstandardscanleadtoenforcementactionbytheauthoritiesorprosecutionbeforethecourts.Successfulprosecutioncanleadtoafineand,inmanycountries,toimprisonmentfortheindividualsconcerned.

TheInternationalFramework

There are no truly global laws governing workplace health and safety.Most countries have their own laws, developed over the years to tackletheirownissuesandconcerns.However,countriesoftenendupadoptingsimilar basic approaches to protect the health and safety of their people;thedetailmayvarybuttheunderlyingprinciplesarethesame.

A key player in the area of international legal standards in health andsafety is the International Labour Organization (ILO) which is an agencyof the United Nations (UN). Most countries are members of the ILO. ThetwoprimaryoutputsoftheILOareConventionsandRecommendations.Thesesetinternationallegalstandards.

Conventions and Recommendations can form the basis of detailedlegislationineachmembercountry–theresultbeingthatbasicminimumhealth and safety standards are adopted. The detailed provisionswill still



Health and safety is a priority around theworld

vary,aseachmemberstateimplementsthestandardsinanationallyappropriateway.

In1981,theILOadoptedtheOccupationalSafetyandHealthConvention(C155).Thisdescribesabasicpolicyforhealthandsafetyatboththenationallevelandtheleveloftheindividualorganisation.

The Occupational Safety and Health Recommendation 1981 (R164) supplements C155 and provides moredetailedguidanceonhowtocomplywiththepoliciesofC155.Inparticular,itidentifiesobligationsthatmightbeplacedonemployersandemployeesinordertoachievethebasicgoalofasafeandhealthyplaceofwork.

Many countries thatbelong to theILO haveratified C155 andR164 andhave then legislatedto puttheir

requirementsintothenational(orregional)law.

In C155 and R164 there is a general recognition that most of the responsibility for ensuring good standards ofhealth and safety at work lies with the employer – since they provide the work, the workplace, the tools, systemsand methods used, etc. They also recognise that individual workers have responsibilities. Though the legal wordingvariesbetweencountries,thegeneralthemeisthatemployersandworkersmustexercisereasonablecaretoensuresafetyandabsenceofrisktohealth.

Employers’ Responsibilities

Article16 of C155identifies some basicobligations placed on employers:

“…toensurethat…theworkplaces,machinery,equipmentandprocessesundertheircontrolaresafeandwithoutrisktohealth.

…toensurethat…thechemical,physicalandbiologicalsubstancesandagentsundertheircontrolarewithoutrisktohealth...

…toprovide…adequateprotectiveclothingandprotectiveequipmenttoprevent…riskofaccidentsorofadverseeffectsonhealth.”

Source:C155OccupationalSafetyandHealthConvention,1981(abbreviated)

Copyright©InternationalLabourOrganization1981

ThesedutiesareverygenerallywordedintheConvention.R164expandsonwhattheymightmeaninpractice.It

identifiessomepracticalobligationstomeettheobjectiveofArticle16ofC155.

Inthiswaytheresponsibilityisplaceddirectlyontheemployer.However,itisalsorecognisedthatindividualworkershaveacriticalparttoplayinkeepingworkplacessafe,soworkersarealsogivenduties.

Workers’ResponsibilitiesandRights

Article19ofC155statesthatallworkersandtheirrepresentativeshavetoco-operatewiththeiremployersothat

theycanfulfiltheirsafetyobligations.

R164providesmoredetailonthisgeneralduty.

TheConventionandRecommendationnotonlyputadutyonworkers,butalsogivethoseworkersrights.Inadditiontothebasicrighttoasafeworkplace,Article19ofC155givesworkersthefollowingrights:

Therighttobeprovidedwithadequateinformationonactionstheemployerhastakentoensureoccupationalsafetyandhealth.

Therighttothenecessarytraininginoccupationalsafetyandhealth.

The righttobeconsultedbytheemployeronallmattersofoccupationalsafetyandhealthrelating totheirwork.

Therighttoleaveaworkplacewhichtheworkerhasreasontothinkpresentsanimminentandseriousdangertotheirlifeorhealth,andnotbecompelledtoreturnuntilitissafe.

TheRoleofEnforcementAgencies

Thereisnoharmonisedglobalstandardfortheenforcementofhealthandsafetylaw,solegalandenforcementsystemsvarybetweencountries.Thereare,however,somegeneralprincipleswhichnormallyapply:

Eachcountryorregionhasone(ormore)enforcementagency(orauthority)responsibleforenforcinghealthandsafetylaw.Suchanagencyiseffectivelythe‘healthandsafetypoliceforce’.Insomecircumstancestheagencymay actually be, or may enlist the help of, the national or regional police. These agencies often provide advice,investigate workplace accidents, take formal enforcement action to force employers to comply with the law andstartcriminalproceedingsagainstpersonsororganisationstheybelievehavecommittedoffences.

Manycountrieshaveaseparatefireauthoritywitharoleinenforcingfiresafetylegislationand/oradvising

employers.

In some countries, insurance companies fulfil a major role in enforcing safety by carrying out inspectionsandauditsonaregularbasis.Thesecanhelptoimprovestandards,astheinsurancecompanycandemandincreasedinsurancepremiumsorrefusetoprovideinsurancecoveratallunlessstandardsareimproved.

ConsequencesofNon-Compliance

A breachof healthand safetylegislation isusually acriminaloffence –whereveryouareintheworld.

Failuretomeetlegalstandardsmightleadto:

Formal enforcement action: an enforcement agency might forcean employer either to make an improvement within the workplacewithinagiventimeperiod,ortostopcarryingouthighriskactivities

altogetheruntilimprovementsaremade.Failuretocomplywithformalenforcementactionisusuallyconsideredtobeanoffenceinitself.

Prosecutionoftheorganisationinthecriminalcourts:successful

prosecutionmightresultinpunishment intheformofa fine.

Prosecution of individuals, such as directors, managers andworkers:successfulprosecutionmightresultinpunishmentintheformofafineand/orimprisonment.



Breachinghealthandsafetylawcanleadtocriminalprosecution

Aswellasthecriminallawconsequencesthereisalsothematterofcompensationforworkersandothersinjuredbyaworkplaceaccident.Dependingontheregion/countryconcerned,thismightinvolvetheworker:

Takinglegalactionagainsttheiremployerthroughthecivillegalsystem,andhavingtoprovethattheiremployerhadbeennegligentandwasthereforetoblamefortheirinjury.

Claimingcompensationfromnationalorregionalcompensationschemes,withnorequirementtoprovenegligenceorblamethroughtheuseofthelegalsystem.

OtherInternationalStandards

TheInternationalOrganizationforStandardization(ISO)istheworld’slargestdeveloperofmanagementstandards.ISOhas developedISO9001(the quality management standard)andISO14001(the environmental managementstandard). Whilst these are not legal standards, they have been adopted by many companies throughout the worldsince they demonstrate good management practice. The result is a common approach to managing quality andenvironmentalmatters.

Thereisaninternationallyrecognisedstandardforhealthandsafetymanagement.TheISOstandard,ISO45001Occupational health and safety management systems, is compatible with other management system standardssuchasISO9001andISO14001.

Atatechnicallevel,ISOhasbeenresponsiblefordevelopinghealthandsafetystandardstowhichmachinery,etc.should conform (e.g. ISO 12100: Safety of Machinery). As compliance with these recognised ISO internationalstandarddemonstratessafety,nationallegislationoftenreferstothem.

SourcesofInformation

Information on national standards can be obtained from the relevant national regulatory bodies, who publishguidancedocumentswhichprovideinformationonthelegalstandardsrequired.Manyoftheregulatorybodieshavewebsiteswhicharevaluablesourcesofinformation,suchas:

HealthandSafetyExecutive(HSE)intheUKat:www.hse.gov.uk

OccupationalSafetyandHealthAdministration(OSHA)intheUSat:www.osha.gov

EuropeanAgencyforSafetyandHealthatwork(EU):https://osha.europa.eu

WorksafeinWesternAustraliaat:www.commerce.wa.gov.au/WorkSafe

WhoDoesWhatinOrganisations

INTHISSECTION...

Ultimate responsibilityfor ensuringthat theworkplace issafe andfree ofhealth riskrestswith theemployer.

Directorsandseniormanagershaveadutytoensurethattheirorganisationmeetsthisobligation.Inparticular,theyareresponsibleforsettingpolicyandallocatingresourcestoallowthatpolicytoworkeffectively–thisincludestheprovisionofcompetenthealthandsafetyadvisers.Theymustdemonstrateclearcommitmentandleadership,whichusuallyincludesappointingaseniormanagerwithresponsibilityforhealthandsafety.

Middlemanagersandsupervisorshaveadutytoensurethatthepartoftheorganisationundertheircontrolissafeandfreeofhealthrisk.Theyexecutethepolicyoftheirorganisationoperationally.

When two or more employers share a workplace they must co-operate and co-ordinate their activities to ensuregoodhealthandsafetystandards.

Whenaclienttakesontheservicesofacontractor,bothpartieshavesharedresponsibilitiesforensuringgoodstandardsofhealthandsafety.

Theclientmustcarefullyselectcontractorsonthebasisoftheirhealthandsafetycompetence.Thiscanbedonebylookingatthecontractors’policydocuments,accidentandenforcementhistory,references,qualificationsandexperience.

The client must ensure that contractors carry out risk assessments and develop method statements for theirwork so thatthe workis properlyplanned andco-ordinated. Theclient mustmonitor andmanage contractorstoensurethattheyworksafelytoagreedmethods.

TheEmployer

Responsibility for ensuring that the workplace is safe and free of health risk rests with the employer. As wenotedearlier,theILOConventionC155andRecommendationR164makethedutyoftheemployerclear.These

internationalstandardsarenormallyreflectedinlocallaw.Lookagainattheappropriatesectioninthiselementto

remindyourself ofthe employer’sduties. It isimportant toconsider who anemployer owesa dutyto:

Theirownworkers(employees)toensuretheirhealthandsafety.

Otherworkerswhomightbeworkingwithintheirworkplacebutarenotdirectemployeessuchascasualworkers,agencyworkersandcontractors.

Workers who are not their employees and are not working in their workplace but are carrying out work ontheirbehalf,suchascontractorsinstallingapieceofmachineryonbehalfoftheemployeratsomeoneelse’spremises.

Peoplewho might be intheir workplace but notcarrying out work ontheir behalf; such asvisitors.

Peoplewhomightbeoutsidetheirworkplace,butareaffectedbytheirworkactivities;suchasmembersofthe

publicpassingby.

So, an employer has responsibility for the health and safety of everyone who might be affected by what they do forwork,whethertheyaretheiremployees,ornot.

DirectorsandSeniorManagers

Directors and senior managers give an organisation its direction and set its priorities. They decide what theorganisationdoesandhowitdoesit.Ineffect,theycontrolthecorporatebody.Theyare,therefore,responsibleforensuringthatallofthelegalrequirementsthatrestwiththeemployeraremet.

However, directors and senior managers are rarely involved in the day-to-day management of the operational sideoftheorganisation.Theirroledoesnotnormallyinvolve‘doing’,butrathersettingstrategyandallocatingresources.So,theresponsibilityofdirectorsandseniormanagersistoensurethat:

Therighthealthandsafetypolicyisputinplace.

Adequate resources are allocated to establish, implement and maintain the health and safety managementsystem.Thisincludessufficientfundingtodelivertheobjectivesinthepolicy,butalsocompetentpersonneltoassistinthedeliveryofthepolicyobjectives.

Therightorganisationalstructureswithclearrolesandresponsibilitiesareputinplace.

Adirector/seniormanagerisappointedwithspecificresponsibilityforhealthandsafetysothatitcanbe

championedatboardlevel.

Oneormorecompetentpersonsareappointedtoassisttheorganisationinmeetingitshealthandsafetyobligations.

Contractorsareengagedandmanagedcorrectly,demonstratingtheorganisation’shealthandsafetyresponsibilitytothirdparties.

Thehealthandsafetyperformanceoftheorganisationisreviewedonaregularbasistoensurethattheobjectivesarebeingachievedandthattheobjectivesandmeasuresinplaceremainvalid.

Directorsandseniormanagerscanhaveenormousinfluenceovertheirorganisationanditspriorities.Thisinfluencedoes not simply come from their strategic decision-making but also from the way they are perceived by those lowerin the management hierarchy. They must demonstrate clear commitment and leadership with regard to health andsafety.

MiddleManagersandSupervisors

Middle managers and supervisors are involved in the day-to-day operational running of the organisation, so areresponsibleforthehealthandsafetystandardswithintheoperationsundertheircontrol.Theiroperationalareasof responsibility are normally defined in their job description and in the organisation’s health and safety policydocumentation(outlinedlaterinElement2).

Linemanagers will be operationally responsible for the health and safetyof:

Thestaffthatworkdirectlyforthem(theirdirectreports).

Stafflowerdownintheorganisationalchart(belowtheirdirectreports).

Theareasandactivitiesundertheircontrol.

TheSharedResponsibilitiesofJointOccupiersofPremises

When twoemployerssharea workplaceitisnotdifficult toimaginethattherisks thatoneemployercreates inthatworkplacemayaffecttheemployeesoftheotheremployer.Forexample,wheretwoemployersoccupyofficesinthesamebuilding,thefireriskcreatedbyoneemployeraffectsthesafetyoftheemployeesoftheother.

Itfollowsthatbothemployersmustco-operateandco-ordinatetheiractivitiestoensuregoodhealthandsafetystandards.

This issetoutinILOC155(Article17):“Whenevertwoormoreundertakingsengageinactivitiessimultaneouslyatoneworkplace,theyshallcollaborateinapplyingtherequirementsofthisConvention.”

AndinILOR164 (Recommendation 11):“Whenevertwoormoreundertakingsengageinactivitiessimultaneouslyat one workplace, they should collaborate in applying the provisions regarding occupational safety and health andthe workingenvironment, withoutprejudiceto theresponsibility ofeachundertaking forthehealth andsafety ofitsemployees.Inappropriatecases,thecompetentauthorityorauthoritiesshouldprescribegeneralproceduresforthiscollaboration.”

This requires effective communication between employers, the exchange of relevant information and thedevelopmentofappropriatepoliciesandprocedures.Thiscouldbecarriedoutinavarietyofways,dependingonthenatureoftheworkandtheworksite.

So, for example, in a multi-storey office building occupied by ten differentbusinesses, each employer should provide information on the risks thattheir specific business creates for other occupiers of the building. This canoften be achieved by establishing a building management committee, withregularmeetings.Consultationcanthentakeplacethroughthiscommittee,and policies and procedures can be developed and implementedthroughoutthebuilding,asnecessary.

In this way, a common approach can be developed for the management ofjoint issues such as fire procedures, security-threat response, emergency-spillresponse,siterules,visitorandcontractorcontrol,trafficmanagement,etc.Itmayalsobeappropriatetohaveasite-wideinspectionprocess,

commonfiredrillsandevensharedwaste-disposalprocedures.

Iftherearespecificrisksassociatedwithoneworkplace,thenawareness

oftheissuesandtheappropriateresponsefromotherworkplacescanbe

Whenmanycompaniesshareabuilding,a building management committee mayproveuseful

raised.Forexample,anagencythatdealswithviolentoffendersmayshareabuildingwithunrelatedbusinesses;

thoseotherbusinesseswouldneedtounderstandtherisksandprecautionsappropriatetothebuildingasawhole.

Employers working more closely together may need to share risk assessments. This is to ensure that allorganisationsareawareofthepossibleimpactsofanyequipmentandsubstancesbeingused,sothatactivitiescanbe co-ordinated. For example, one organisation may be using solvent-based paints while an area is occupied byanotherorganisation’spersonnel.

ContractorManagement

Contractors are used widely in the workplace, either to deliver a specific project or skill, or to deliver extra labourwhen needed. For example, a site wanting to extend the premises would usually take on a building contractor todelivertheprojectratherthanemployingthemanpowerdirectly,inthesamewayacompanymayengageaself-employedtrainingcontractortodeliveratrainingcourse.

Contractors are engaged by clients in lots of different circumstances at work. A contractor may be engaged toperformaone-offservice,suchastherefittingofanITsuite,ortheymaybeengagedonamorepermanentbasistoprovidein-housecateringorcleaningservices.

Quiteclearly,itisnotintheinterestofhealthandsafetyfortheclienttoignoretherisksassociatedwiththecontractor’sworkorforthecontractortoignoretherisksinherentintheclient’sworkplace.

SharedDuties

Contractors are responsible for their own health and safety and the health and safety of others who might beaffectedbytheirworkactivities.

Acontractorcompany(e.g.acleaningcompany)isanemployerintheirownright.Theythereforeoweadutyto:

Theirworkers(theindividualcontractcleanersdoingtheworkinaclient’spremises).

Otherpeople(suchastheclient’sworkersandvisitorstotheclient’spremises)whomightbeaffectedbytheirwork.

Andtheindividualcleanersdoingtheworkintheclient’spremisesareworkersofthecontractcleaningcompany.Theythereforeoweadutyto:

Themselves.

Other people (such as fellow workers, the client’s workers and visitors to the client’s premises) who might beaffectedbywhattheydo.

Theclient(asanemployer)owesadutyto:

Theirownworkers.

Otherswhomightbeaffectedbytheirwork,including:

Thecontractcleanersinthepremises.

Anyotherworkersinthepremises(suchasothercontractors).

Visitorstotheclient’spremises.

Theindividualworkersoftheclientalsooweadutyto:

Themselves.

Otherpeople(suchascontractcleaners,fellowworkers,visitors)whomightbeaffectedbywhattheydo.

Put simply, the contractor and their workers owe a duty to everyone, and the client and their workers also owe adutytoeveryone.Thekeythingtorecognisefromtheaboveisthattheresponsibilityforensuringhealthandsafetyis therefore shared between the client and the contractor. It is in both parties’ interests to ensure that each doeseverything that might be considered reasonable in the circumstances to discharge their duties and avoid criminalliability.

Thewaythataclientmanagescontractorscanbebrokendownintothreekeyareas:

Selectionofcontractors.

Planningandco-ordinationofthework.

Monitoringandmanagingthework.

SelectionofContractors

PlanningandCo-ordinationoftheWork

Informationmustbeexchangedbetweentheclientandthecontractor.Theclientshouldtellthecontractoraboutthehazardsandrisksintheworkplace,andthecontractorshouldtelltheclientaboutthehazardsandriskscreatedbythework.Inthiswaytheworkcanbeplannedsothateveryoneiskeptsafe.

The contractor should carry out risk assessments on the work involved and develop safe working methods tocontrol the risks identified. This safe working method must be documented and is often referred to as a ‘methodstatement’. The client should examine these risk assessments and method statements to ensure that there are noobvious problems or errors. This should happen before the work commences. It is good practice for the client todemand that risk assessments and method statements are submitted well before the work commences so thatproblems andconflictsflagged upbythis reviewprocesscanbe resolvedwithoutcreating delaystothestart ofthework.

The client and contractor must co-ordinate their work carefully so as not to conflict. There may be severalcontractorsworkingonsiteatanyonetimeandtheactivitiesofoneperson/organisationmustnotcauseahazardforanother in the area. For example, if one contractor is working at height it would be sensible to avoid others workingbeneaththeminthatarea.

MonitoringandManagingtheWork

Arrangements must be made by the client to ensure the contractorcomplieswithsafeworkingpractices.Thesearrangementsshouldinclude:

Havingasigninginandoutprocedure.

Ensuringthatthecontractorprovidesanamedworkssupervisor.

Carryingoutsiteinductiontrainingfor allcontractorworkers.

Controllinghigh-riskactivitieswithapermit-to-worksystem.

Theclientwillneedtomonitorthecontractor’sworktoensurethattheyareworkingtoagreedhealthandsafetystandards.Thiscanbedone

by monitoringagainst theriskassessment andmethod statementthatwere developedduringtheplanningstage.Iftheclientidentifies thattheagreed safeworking methodsare notbeing followed,then itisin theirbestinteresttostoptheworksothattheissuecanbeaddressed.

Wewillcoverpermit-to-worksystemsinmoredetailinElement3.



Aclient’sprojectmanagermonitorstheworkofacontractor

Summary

Thiselementhasdealtwithsomeofthebasicprinciplesofworkplacehealthandsafety.Inparticular,thiselementhas:

Introducedsomeofthekeywordsthatwillbeusedinthiscourse,suchas:health;safety;andwelfare.

Highlightedthethreemainreasonswhyanorganisationhastomanagehealthandsafety:moral,legaland

financial.

Identifiedsomeofinsuredanduninsuredcostsassociatedwithaccidentsandillhealth.

Setoutthebasicrequirementsoftheinternationalstandardsthatgovernhealthandsafety,i.e.theILOConventionC155andRecommendationR164.

Lookedinsomedetailatthedutiesthatthesetwostandardsplaceonemployersandonworkers.

Discussed the consequences for employers and workers of non-compliance with legal standards, together withthepossibleissueofworkercompensation.

Notedsomesourcesofinformationonnationalhealthandsafetystandards.

Lookedatthevariouspartieswithinaworkplaceandtheresponsibilitiesthattheyhave:

Theemployer– forensuring thatthe workplaceissafe andfree ofhealth risk.

Seniormanagement–forsettingpolicy,allocatingresourcesandshowingleadership.

Middlemanagement–formakingstandardshappenoperationally.

Jointoccupiersofpremises–forco-operationandco-ordination.

Explainedthesharedresponsibilitiesthatexistwhenworkiscarriedoutbycontractorsforaclient.

Outlinedabasicframeworkfortheselection,monitoringandcontrolofcontractorsbyclients.

ExamSkills

Introduction

TopasstheNEBOSHCertificate,youneedtoperformwellduringyour‘open-book’exam.An‘open-book’exam

means exactly what the name suggests: you can access your study text and other materials during the exam.However,itwillrequiremorethansimplycopyingtexttoanswertheexamquestions;youwillneedtodemonstratethatyouunderstandthesubjectmatterandcanapplythetopicsappropriately-theseneedpreparingfor.

Herewewillconsidersomepracticalguidelinesthatcanbeusedtoincreasesuccessinyour‘open-book’exam.TheNEBOSH International General Certificate ‘open-book’ exam differs from the traditional question-and-answer-typeformat and will instead consist of a realistic workplace scenario which may describe a developing situation such asanincidentorsafetyintervention,andyoumaybeaskedtoassumeaparticularrole,forexampleasafetymanager.Youwillthenbeaskedtocarryoutsometasks.Eachtaskwillconsistofoneormorequestions,whereyouranswerswillmostlyberelevanttothescenario.

WiderReading,ResearchandReferences

During the ‘open-book’ exam you are allowed to access many different types of resources such as RRC studytextandrevisionguides,professionaljournals,digitalresourcesontheInternetsuchasHSEguidance,bilingualdictionaries, etc. Remember though that this is not a substitute for thorough study of your course materials andspecificpreparationintheformofrevisiontoensurethatyouarefamiliarwithallthetopicareasincludedinthesyllabus. NEBOSH “will not be looking for anything from your answers that has not been covered in the Unitsyllabus”.

NEBOSH has designed the ‘open-book’ exam “to assess the same learning outcomes to the same level” as thepreviousmethodofexamination.Itwill“measuredepthofunderstanding”andrequireyoutoapplyyourknowledgeto the scenario given rather than simply recalling memorised information. It is therefore “very important that youprepareandrevise”fortheassessment.

WiderReadingandResearch

Aspartofyourpreparation,NEBOSHrecommendsthatyoushould:

“Completewiderreadingsoyoudon’thavetodothisduringtheexamination.”

Conduct “wider research to understand how yourstudies relate to the real world”.

To help with this you should make use of the MORE... boxes included in your course material. These highlightadditionalresourcesrelatedtothetopicsyou’vebeenstudying.Readingthemwillassistyouinincreasingthedepthofyourunderstandingandapplyingittoreallifesituations.

ThelinksinMORE...boxesarecurrentatthetimeofpublicationofyourmaterialsbutmayhavechangedsince,e.g.duetoanitembeingmovedelsewhere,beingreplacedorperhapswithdrawnfrompublicationaltogether.

Yourwiderreadingmayalsoincluderesearchusingotherresourcesmentionedinyourcoursematerialsorresourcesthat you’ve found yourself, perhaps by entering a topic name in a search engine. Always be careful though to useonly authoritative sources for your research, such as Government or official websites, and to safeguard the securityofyourpersonalinformation.

MakingUse of Your Resources

NEBOSHstatesthat“Youareexpectedtoofferyourownanalysisandpresentationofinformationgainedfromyourresearch”.Soyouneedto:

Organiseyournotesinadvancesothatyoucanfindthingsquickly.

Useyour own words toexpress what you’ve learned andapply the knowledge you’ve gained.

Youarepermittedthoughtomakereferencetosources,ideasorworkofotherpeopleororganisations.Whereyoudo so, it’s important to acknowledge where that information comes from because your open-book exam responsemust be your own work and you don’t want to be guilty of plagiarism and subject to investigation by NEBOSH.

References

DirectCitations

Youmaywanttoquotespecificallyfromapublicationyou’veaccessed.Hereyoushouldputthequoteininverted

commasandmakeitclearwhereit’sfrom.(SeealsoReferenceListbelow.)

Example:

UKHSEguidanceINDG163statesthat“Ariskassessmentisnotaboutcreatinghugeamountsofpaperwork,butratheraboutidentifyingsensiblemeasurestocontroltherisksinyourworkplace”.

IndirectCitations

Youmayjustwanttorefertoinformationthatyou’vereadwithoutquotingfromitdirectly.Inthiscase,expressitinyourownwordsbutmakesurethatyouidentifythesource.(SeealsoReferenceListbelow.)

Example:

UKHSEguidance(INDG163)identifiesfivestepstoriskassessment.

ReferenceList

Yourexamanswersshouldincludealistofthematerialsyou’vereferredto–thoseyou’vequotedfrom,thoseyou’vementionedandanyothermaterialsthatyoulookedatduringtheexam.Thisdoesn’tcounttowardsthewordlimitfor your answers and it would be best to make the listas you write your answers to ensure that the list is complete.

Wedon’trecommendusingtheHarvard(oranyother)referencingsystemforthispurposebecauseNEBOSHhasmadeitclearthatasimplelistisallthatisrequired.

Yourlistshouldbeattheendofyouranswerdocumentandshouldinclude:

thetitleofthepublication/document,

theauthor,

theyearofissue,and

aWebaddress(forInternetpublications).

Example:

HSG65Managingforhealthandsafety,HSE,2013(https://www.hse.gov.uk/pubns/priced/hsg65.pdf)

INDG163Riskassessment–Abriefguidetocontrollingrisksintheworkplace,HSE,2014(https://www.hse.gov.uk/pubns/indg163.pdf)

(IntheaboveExample:

INDG163isincludedbecausequotedfromandreferredtointhetext.

HSG65isincludedbecauseconsultedduringtheexam.)

Note:IfyouusetheNEBOSHanswersheet,thereisaplacethereforyourreferences.

ExamTechnique

The ‘open-book’ examwill testyou on yourability to“demonstrate analytical,evaluation and creativeskills aswellascriticalthinking”andhowyouapplyyourlearningtoyouranswers.Inotherwords,youwillneedtoshowwhatyoucandowithyourknowledgetosolvetheproblemspresentedtoyou-andthismaytakepractice.Toassistyouinshowingyourknowledge,letuslookatastep-by-stepapproachthatyoucanadoptwhenansweringyourexamquestions.

Step1

Readthescenario-thefirststepistoreadthescenariocarefully.Takecarewiththisasitisveryeasy

tomisreadwordsintherushtogetwriting.It’slikelyyouwillreadthe scenariomorethanonce.

Step2

Look at the first task - a task is an activity or piece of work that will be part of a larger project. The taskmay be split up into several sub-tasks. The task is used to indicate the questions. Read each questioncarefully. This is what your knowledge is being tested on - so your answer must address the question.Demonstratingknowledgealonewillnotgainmarks-yourknowledgehastobeappliedtothetask-soyouneedtoclearlyunderstandthequestionbeingasked.

Step3

Look at the marks - each task or sub-task, question or part of a question will have the maximumnumberofmarksindicatedinbrackets.Foreachmarktobeawarded,theexaminerwillexpectapieceof information that demonstrates an analytical evaluation of the task that has been set. The marksavailable givean indicationofhow muchyou willneedto writeand, toalesser extent,how longyoushouldspendonthispartofeachquestion.

Step4

Re-read the scenario and task question - to check that you have properly interpreted them andunderstoodthem.Therearenomarksavailableforansweringthetaskquestionthatyouthinkyouseeratherthantheonethattheexamineraskedyou.

Step5

Draw up a plan - this can take the form of a list or a mind map that helps you unload informationquicklyandmakesureyouhaveenoughfactors(orthings)inyouranswertogaintheavailablemarks.Jotting down a plan can help you remember key points. The plan is also your aide-mémoire to keepyou on track as you start to write your full answer. Your plan can use information from the scenario tosupportyouranswer.

Whenitcomestotheexam,thereisnoneedtosubmityourplan.

When writing your answer, you must ensure that the structure of the task appears in the structure of your answer.So,forexample,ifthetaskquestionhasapart(a)andapart(b),youranswermustfollowthesamestructure.

Answerpart(a)andlabelitclearlyfortheexaminerastheanswertopart(a).Thenleaveagap(onelinewilldo)andanswer part (b) and label it clearly. The examiner must be able to see the two separate parts of your answer and itmust be clear to them which partsare the answer to which questions.One long paragraph of text that containsallpartsoftheanswerjumbleduptogethercannotgainfullmarks,evenifalloftherelevantinformationisthere.

Theaboveexamtechniqueistriedandtestedandisthebestwaytoapproacheachexamtask.‘Open-book’examsareanewapproachforNEBOSHbuttheeducationsectorhasused‘open-book’examsforalongtime.

NEBOSH gives a 24-hour window of time to reflect different time zones learners work and live with. You are notexpected to spend 24 hours completing the exam. You will, however, need to monitor your progress on completingallthetasksandyoushouldplanfordraftinganswers,reflectionandamendinganswers,buildingintimeforbreaks.

Remember,too,thattherewillbeanoverallwordcountfortheexam.It’simportantnottoexceedtherecommendedtotalbymorethan10%sodoallowtimetocheckthis.

PracticeExamQuestions

At the end of Elements 1 to 4 there is a practice exam question (or two) for you to attempt, with guidance on howto answer in addition to a suggested answer outline. This includes an Answer Plan – all of the points listed in thiswouldattractmarksandyouwillseemostofthemdevelopedinthesuggestedansweritself.

Rememberthatwhenansweringexamquestions,informationfromadditionalreadingandpersonalexperiencecanbeincluded.Examiningbodiesencouragethisanditwillenhanceyouranswers.

The studytext providessome usefullinksto externalsources –lookout forthe ‘More…’boxeswithin thematerials –thesecontainusefullinkstorelevanttopics.

Pleasefeelfreetocontactyourtutorifyouhaveanyqueriesorneedanyadditionalguidance.

Question

ApproachingtheQuestion

Nowthinkaboutthestepsyouwouldtaketoanswerthisquestion:

Step1

The first step is to read the scenario carefully. Note that this is a new manager of a worker who hasbeenseriouslyinjured.Thismeansinformationshouldbeeasytounderstandandexamplescanbeusedtosupportthatunderstanding.Wedonotwantthemanagertobeconfused.

Youareaskedtoprovide“somenotes”sowillneedtostructureyourapproachaccordingly.

Step2

Now lookatthetask–preparesomenotesusingtwoheadings:

(a)Directcosts.

(a)Indirectcosts.

Step3

Next, consider the marks available. In this task, there are 10 marks, distributed between two parts.Tasks that are multi-part are often easier to answer because there are additional signposts in thequestion to keep you on track. In this task, you have to create some notes that are easy to understand,givinganexampleforeachpartthatcanaidunderstanding.Youwillneedtoprovidearound10ormoredifferentpiecesofinformation(includingexamples)intotalforthistask.Theheadingswillallowyoutokeepyourresponsesseparate–thiswillalsohelptheexaminerwhenmarking!

Step4

Readthescenarioandtaskagaintomakesureyouunderstandthemandhaveaclearunderstandingofcosts.(Re-readyourstudytextifyouneedto.)

Step5

Thenextstageistodevelopaplan–therearevariouswaystodothis.Remindyourself,firstofall,that

youneedtobethinkingabout‘direct’and‘indirect’costs.Eachpartrequiresexamples.

SuggestedAnswerOutline

Startwithageneralintroduction:

Therearemanycostsofaccidents,whichcanbedividedintodirectandindirectcosts.Directcosts:

First-aidtreatment.

Sickpay.

Repairstoequipment.

Lostordamagedproduct.

Lostproductiontime.

Overtimecoverfortheinjuredperson.

Finesincriminalcourt.

Compensationpaymenttovictim.Indirectcosts:

Investigationtime.

Lostemployeemorale.

Costofadditionalcontrolmeasures.

Compliancewithenforcementnotices.

Costofrecruitingandre-trainingadditionalemployees(e.g.forcover).

Damagedcustomerrelationships.

Damagedpublicimage.

Youmaynothavetousealltheexamplesgiven–choosewhichonesyoucouldexplaininameetingwithanewmanager.Nowhaveagoatthequestionyourself.

ExampleofHowtheQuestionCouldbeAnswered

Whenwehaveanincidentthereisofteninjurytoaworkerorpropertydamage.Thecostsassociatedwithanincident can be large. Because they have not been budgeted for, they can severely affect the cash flow of thebusiness.Thismaymakeitdifficulttopurchaserawmaterialsorpayworkers.

Incidentcostscanbedividedintotwotypesofcosts,namelydirectandindirectcosts.Directcostsaremeasurablecosts arising directly from the incident. Indirect costs are those costs that result as a consequence of an incident.Indirectcostsareoftendifficulttoputanumericalvalueagainstandtheycanbedifficulttoidentify.

DirectCosts

In the recent incident where the worker was struck by a reversing vehicle, the costs associated with the first-aidtreatment are direct costs. When the worker arrives at the hospital for treatment, they (the hospital) will be abletoallocateacosttothetreatmentgiven.Thiscostisoftenrecoveredfromtheworker’scompany.Iftheenforcingauthoritydecidestoprosecute,thenthelegalfeesinvolvedaredirectcosts.

Indirect Costs

Thismeetingiseffectivelyanindirectcost–it’sallpartoftheinvestigationprocesswhilewetrytoestablishthecostsoftheincidentandwaystopreventarecurrence.Themoraleofotherworkersmaybeaffectedhavingseenorheardaboutthisincident.Thismayaffectproductivityorworkquality–anindirectcostthatisdifficultforustoquantify.

ReasonsforPoorMarksAchievedbyExamCandidates

Givingexamplesofcoststhatareincorrectlyassignedtodirectorindirectcategories.

Notfollowingastructuredapproach,sonotidentifyingdirectandindirectcosts.

Exceedingtheoverallwordcountforthewholeexambymorethan10%.Theexaminermaynotreadexcessivelylongexplanations.

Not providing an answer to the task question at all. If you do not attempt all tasks, you cannot get any marks forthetaskquestionsyouomit.

Not considering the scenario – in this case a new manager – so overly complexexplanations or highly detailedexamplesmaynotattractmarks.

References

NEBOSHOpenBookExaminations:LearnerGuide-Guidancedocumentforpreparingfortheopenbook

examinationforNG1,IG1,NGC1andIGC1units,NEBOSH,2020

https://www.nebosh.org.uk/documents/open-book-examination-learner-guide

TheChambersDictionary,Chambers,2005

INDG163Riskassessment–Abriefguidetocontrollingrisksintheworkplace,HSE,2014https://www.hse.gov.uk/pubns/indg163.pdf

HSG65Managingforhealthandsafety,HSE,2013https://www.hse.gov.uk/pubns/priced/hsg65.pdf

LearningObjectives

Onceyou’vestudiedthiselement,youshouldbeableto:

healthandsafetymanagementsystemand the benefits of having a formal/certifiedsystem.

and safety management systems thatmakeiteffective–policy,responsibilities,arrangements.

OccupationalHealthandSafetyManagementSystems 2-3

IntroductiontoOccupationalHealthandSafetyManagementSystems 2-3

ILO-OSH2001:TheILOOccupationalSafetyandHealthManagementSystem 2-4

ISO45001:TheOccupationalHealthandSafetyManagementSystemStandard 2-5

MakingtheManagementSystemWork–TheHealthandSafetyPolicy 2-8

IntroductiontoHealthandSafetyPolicies 2-8

TheThreePartsofaHealthandSafetyPolicy 2-9

ReviewingPolicy 2-14

Summary 2-15

ExamSkills 2-16

OccupationalHealthandSafetyManagementSystems

INTHISSECTION...

Two widely recognised Occupational Health and Safety Management Systems (OHSMSs) exist for thesystematic management of health and safety, ILO-OSH 2001 and ISO 45001; both are based on the Plan-Do-Check-Actmanagementcycle.

TheILO-OSH2001OHSMScanbesummarisedas:Policy,Organising,Planningandimplementation,

Evaluation,Actionforimprovement,andAudit.

ISO 45001 is an externally verified OHSMS standard that can be summarised as: Context of the organisation,Leadershipandworkerparticipation,Planning,Support,Operation,Performanceevaluation,andImprovement.

IntroductiontoOccupationalHealthandSafetyManagementSystems

The management of workplace health and safety must be considered systematically within any organisation of anysignificantsize,inthesamewayasanyotherformofmanagement.Asystematicapproachtothemanagementofanorganisation’shealthandsafetyisreferredtoasanOccupationalHealthandSafetyManagementSystem(OHSMS).There are two common OHSMSs use by organisations internationally. These are usually identified by reference totheirpublicationcodenumbers:ILO-OSH2001andISO45001.ILO-OSH2001istheILO’sownSMSpublished

inaGuidanceNotecalledGuidelinesonoccupationalsafetyandhealthmanagementsystems.ISO45001istheOHSMSstandardpublishedbytheInternationalOrganizationforStandardization(ISO).OrganisationsarefreetodeveloptheirownOHSMS,butworkingtoarecognisedstandardcanbeanadvantage.

BothSMSsarebasedonwhatisknownasthePDCAmanagementcycle:

Plan–setyouraimsandobjectivesandthenplanhowtoachieve

them.

Do–putyourplansintoeffect;implementthem.

Check–monitoryourperformancetowardstheaimsandobjectives

thatyousetyourself.

Act–routinelyreviewprogressandchangewhatyouaredoingifit

lookslikeyouaremissingyourtargets.

ILO-OSH2001:TheILOOccupationalSafetyandHealthManagementSystem

TheILO-OSH2001safetymanagementsystem

ISO45001:TheOccupationalHealthandSafetyManagementSystemStandard

The ISO standard ISO 45001 provides an OHSMS standard that an organisation can be externally auditedagainst. Successful certification to the management standard means that the organisation can demonstrate tootherinterestedparties(suchasclients)thatithasarobustSMSthatcanstanduptoclosescrutiny.ISO45001isbasedonthePDCAmanagementcycleandisfullycompatiblewithotherISOmanagementstandardssuchasISO9001 (an internationally recognised quality management standard) and ISO 14001 (an internationally recognisedenvironmentalmanagementstandard).

OutlineoftheStandard

Inthefollowingoutline,thelocationofeachelementinthePDCAcyclehasbeenindicatedinbracketsaftertheelementtitlejusttohelp:

ISO45001

Context of the organisation (management system framework) – requires that the OHSMS is designed andoperatedsoastobeappropriatetotheorganisationanditsoperationalenvironment.Referringtothefigurewecanseethatthisformsboththeenvironmentinwhichthemanagementsystemoperates,theboundariesofthesystemandthesystemitself.Thissetsthescene.

Leadershipandworkerparticipation(managementsystemframework)–requiresthattheOHSMSisdrivenbythose at the top of the organisation with the active engagement and participation of workers at all levels. Fromthe figure we can see that this requirement sits at the heart of the PDCA management cycle with a very heavyemphasis on management leadership. The standard makes it clear that top management must be personallyinvolvedindrivingandpromotingthemanagementsystem.

Planning(Plan)–requiresthatanongoingplanningprocessformsapartoftheOHSMSsothathazards,risksand opportunities (for improvement) are identified and that appropriate action is identified and planned. Thisrequirementsitsinthe‘Plan’elementofthePDCAcycleandcontainsmanyrequirementswhicharecentral

tomostorganisations’healthandsafetymanagementarrangements–suchasplanningforemergenciesand

planningtheriskassessmentsystem.

Support(Do)–isconcernedwiththeprovisionofsupportfortheOHSMSsothatitcanbeestablished,

implemented,maintainedandcontinuallyimproved.

Operation(Do)–requiresthathazardandriskareoperationallymanaged.

Thefigureshowshowbothoftheserequirementsformthe‘Do’elementofthePDCAcycle,beingconcernedwith many of the core management activities that are central to good occupational health and safety (OHS)management.

Performance evaluation (Check) – requires the systematic internal monitoring and reviewing of OHSperformancewithaviewtodrivingcontinualimprovement.Thefigureshowshowthisfulfilstherequirementsof‘Check’inthePDCAmanagementcycle.

Improvement (Act) – embeds the principle of learning lessons and implementing the learning from thoselessons into the OHSMS. The figure shows how this sits on the position of ‘Act’ that closes the loop of themanagement cycle and explicitly requires both organisational learning and ongoing enhancement of themanagementsystem.FromapracticalperspectivetherequirementsetsoutmanyroutineOHSmanagementactivitiessuchassafetyinspectionstoidentifynon-conformitiesandaccidentinvestigation.

TheBenefitsofAchievingCertification

The ISO management system standard operates in the same way as other ISOmanagementstandards(andtheoldOHSAS18001Standard)inthatconformanceto the standard can be verified by an external accredited organisation (such as theBritish Standards Institution) so that certification to the standard can be achieved.ThiscertificationcanthenbeusedbytheorganisationasproofofarobustOHSMS.

Thismaybeusefulforinternalpurposes(e.g.todemonstratetointernalinterestedpartiesthatthemanagementsystemexistsandisfunctional).

Formanyorganisations,itwillbeusefulexternallywhentryingtoshowclients,

customersortheauthoritiesthatOHSmanagementisintegratedintotheroutinefunctioning of the organisation. This can give the organisation a competitiveadvantage when competing against other organisations for contracts or furtherwork.

Certification is something anorganisationcanbeproudtoachieve

Certificationisanexpensiveprocessbutthecostsofachievingandmaintainingcertificationareoftenoutweighedbythefinancialbenefitsassociatedwithhavingarobustformal/certifiedOHSMS.

WhetheranorganisationisusingtheILO-OSH:2001modelor ISO45001,itmaybenecessarytogoround thecyclemorethanonce,particularlywhen:

startingout;

developinganewprocess,product,orservice;or

implementinganychange.

MakingtheManagementSystemWork–TheHealthandSafetyPolicy

INTHISSECTION...

Anorganisation’soccupationalhealthandsafetymanagementsystemisimplementedthroughitshealth

and safety policy. The health and safety policy of an organisation is an important document that sets out theorganisation’saimswithregardtohealthandsafety,whoisresponsibleforachievingtheseaims,andhowtheaimsaretobeachieved.

Thepolicyhasaroleinthedecision-makingofbothseniormanagement,whoformulateit,andothermanagers,

whoarerequiredtoimplementit.

Ahealthandsafetypolicyisusuallypresentedinthreeparts:theGeneralStatementofIntent,theOrganisation

section,andtheArrangementssection.

The General Statement of Intent outlines the importance that the organisation places on health and safety andthecommitmentthatcanbeexpected.Itsetsaimsandobjectivesfortheorganisationtoachieve.Itissignedbythepersoninoverallcontroloftheorganisation.

The Organisation section highlights the roles and responsibilities that exist at all levels within the organisation.Itshowsthelinesofresponsibilityandaccountability.

TheArrangementssectionprovidesthedetailonhowtheorganisationmanageshealthandsafety.Itoutlinesthe general arrangements that relate to health and safety management and the specific arrangements thatrelatetoindividualhealthandsafetytopicsandissues.

Healthandsafetypolicieshavetobereviewedinordertostaycurrentandrelevant.

IntroductiontoHealthandSafetyPolicies

ThefoundationstoneofaneffectiveOHSMSinanyorganisationisthehealthandsafety policy. A good health and safety policy sets out the organisation’s generalapproachandcommitmenttoachievingparticularaimsandobjectives.Itprovidesa framework of general and specific health and safety responsibilities for staff,and guidance on the detailed operational arrangements to be taken to protectemployeesandothersfromharmasaresultofworkplaceactivities.

Inparticular,thepolicyshouldinfluencedecision-makingwithintheorganisation.

Thiswilloccurintwoways:

Seniormanagementhavetodecidewhatkindofhealthandsafetystandardsthey are committing the organisation to, and will have to allocate resourcesaccordingly.



Policyinformspracticeatalllevels

Othermanagershavetoensurethattheirdecision-makingisinlinewiththepolicyanddoes notworkagainst

theorganisation’sstatedaimsandobjectives.

There is no one correct format or set of contents for a health and safety policy, but it must reflect the particularcircumstancesoftheindividualorganisation:thehazardsandrisks,thesize,andthecomplexityoftheorganisation.The policy must therefore be developed and tailored to fit the particular organisation that it exists to serve. Forexample, the safety policy of a small, low-hazard manufacturing company may be very different from that of a large,high-hazardoilandgasmultinational.

StandardsandGuidance

Article14oftheInternationalLabourOrganization’sOccupationalSafetyandHealthRecommendation1981(R164)

states:

“Employersshould,wherethenatureoftheoperationsintheirundertakingswarrantsit,berequiredtoset

out in writing their policy and arrangements in the field of occupational safety and health, and the variousresponsibilitiesexercisedunderthesearrangements,andtobringthisinformationtothenoticeofeveryworker,inalanguageormediumtheworkerreadilyunderstands.“

Copyright©InternationalLabourOrganization1981

ToachievecompliancewiththisILORecommendationnationalandregionallegislationwillcontainthespecificlegalrequirementforanemployertoimplementandrecordtheirhealthandsafetypolicyandarrangements.Forexample,inBritainthislegalrequirementissetoutintheHealthandSafetyatWork,etc.Act1974(section2(3)).

The ILO’s Occupational Safety and Health Management System, ILO-OSH 2001, has additional guidance on healthand safety policies. National governments often publish specific guidance on what this actually means in practice inagivenregion.Forexample,inBritain,theHSEpublishesseveralguidancedocumentsonthetopicofsafetypoliciesandOHSMSs.

TheThreePartsofaHealthandSafetyPolicy

Apolicyisnormallypresentedinthreeparts(sectionsorelements):

GeneralStatementofIntent/StatementofGeneralPolicy–theorganisation’s

philosophyinrelationtothemanagementofhealthandsafety.

Organisationsection–indicatesthechainofcommandforhealthandsafety

managementandidentifiesrolesandresponsibilities.

Arrangementssection–outlinesthe arrangementsthatexistforthe effective

managementofhealthandsafetyingeneralterms(e.g.howriskassessments

aretobecarriedout)andalsodealswiththemanagementofspecificissues(e.g.arrangementsforensuringthesafetyofvisitors).

GeneralStatementofIntent/StatementofGeneralPolicy

Policy documents canbeheftydocuments

This spells out the organisation’s overall approach to health and safety management and its aims and objectives.This is where those at the very top of the organisation set out their vision for the organisation in the context ofhealth and safety performance; where they would like the organisation to be. It must commit the organisation toachievinglegalcompliance.Inmanycasesthecommitmentwillbetoachievingahigherstandardthanthatsetbythelaw,eitherasamatterofcorporatepolicy,orbecauseofthenatureoftheorganisation.

The Statement of Intent should recognise that managers and workers at all levels within the organisation have aparttoplayinimplementingpolicy,anditwillthereforestateveryclearlythateverypersonmustcomplywiththepolicyandthatseriousbreachesofpolicymaybetreatedasdisciplinaryoffences.

TheGeneralStatementofIntentshouldbe:

Signedbythepersonatthetopoftheorganisation(e.g.theChiefExecutiveOfficer(CEO)orManagingDirector(MD))toauthorisethepolicyandindicatethatthepolicycommitmentcomesfromthehighestlevel.

Datedtoindicatewhenthecurrentstatementwaspreparedandtoprovideareferencepointforreview.

TOPICFOCUS

Aims

TheStatementofIntentmayrecognisesomegeneralaimsthathavetobeachievedbytheorganisation,suchas:

Meetinglegalobligations.

Provisionofasafeworkplace,safeequipmentandsafesystemsofwork,aswellasinformation,

instruction,trainingandsupervision.

Riskassessmentofallrelevantworkplaceactivities.

Performancemonitoring.

Provisionofadequateresources,suchasexperthealthandsafetyadvice.

Effectivecommunicationandconsultationwithworkers.

Aims can sometimes be very aspirational in nature; they do not have to reflect exactly where theorganisation'scurrentperformanceis.Theyreflectwheretheorganisationwouldliketobe.Forexample,theaspirationaim:‘zeroharm’.Thesetypesofaimaresometimesreferredtoastheorganisationalvision.

Objectives/Targets

TheStatementofIntentmayalsosetquantifiabletargets/objectivesfortheorganisationtoachieve.Targetsare useful, as they allow performance to be measured and provide a tangible objective for staff to aim for.Theyalsohelpdrivecontinualimprovement.Possibletargetsmightrelateto:

Accidentrates:toachieveareductionintheaccidentorill-healthrate.

Activemonitoring:tocompletesuccessfullyanumberofactivemonitoringactivities,suchas:

Successfulcompletionofallsupervisorsafetyinspectionsoverayear.

Completionofkeyactivities,suchascarryingoutriskassessmentsacrosstheorganisation.

Deliveryoftrainingtoallworkers.

Developmentofaconsultationprocesstoengagetheworkforce.

Targetsmaybesetinrelationtopastperformance,ortheperformanceofothersimilarorganisations,ortheindustry as a whole. The process of comparing performance in this way is known as ‘benchmarking’. Forexample,iffatalroad-accidentratesinanindustryasawholeareoneforevery1,000,000milesdriven,thetargetforaparticularorganisationmaybetoachieveabetterrate.

SettingSMARTObjectives

Whenhealthandsafetyobjectivesaresetforanorganisation,thoseobjectivesshouldbeSMART.

TheacronymSMARTreferstotheideathatobjectivesshouldbe:

Specific–aclearlydefined,preciseobjective.

Measurable–itispossibletomeasureachievementof(orprogresstowards)thetarget;usuallybyquantifying

theobjective.

Achievable–itcanbedone,itispossible.

Reasonable–within thetimescalesetand withtheresources allocated.

Time-bound–adeadlineortimescaleissetforcompletionoftheobjective.

So,forexample,theobjective:‘Improvethesafetycultureoftheorganisation’isnotSMARTbecauseitfailstomeetmanyofthecriteriaofaSMARTobjective.Itisnotspecific,inthatitdoesnotidentifyaprecisetargettobeachieved;itisnoteasilymeasurable;anditdoesnothaveadeadlineforwhensuccessshouldbeachieved.

However, the objective: ‘Review all 48 risk assessments within a 12-month period’ is a SMART objective. Thetargetispreciselydefined,anumberisgiventhatallowseasymeasurementofsuccessandatimescalehasbeenallocated.

Whensettinghealthandsafetyobjectives,considerationshouldbegivento:

Whoisgoingtosetobjectives–theinvolvementofseniormanagement,perhapswithguidancefromhealthand

safetypractitioners/advisers.

Howobjectiveswillbesetateachfunctionallevel–objectivesneedtobesetatdifferentlevelsorwithindifferentpartsoftheorganisationtoachieveorganisationalgoals.Thiscanbeachievedbysettingandagreeingpersonaltargetswithindividualsthroughthejobappraisalandreviewprocess.

Legalandotherrequirements–objectivesmustrecogniselegalstandardsandotherrequirementssetby,for

example,corporatepolicy,orinsurancecompanies.

Hazards and risks – the hazards inherent in the workplace and the risks created must be taken into accountwhensettingobjectives.Ifthisisnotdone,theorganisationmaypursueobjectivesthatareirrelevantorthataddressonlytrivialmatters.

Technologicaloptions–astechnologychanges,organisationsshouldtakeadvantageofnewtechnologyandset

objectivesaccordingly.

Financial,operational,andbusinessrequirements–healthandsafetyobjectivesshouldintegratewithfinancial,operationalandbusinessobjectivessothatthereisnoconflictofgoals.

Views of interested parties – for objectives to be achievable it is important that some element of consultationoccurs and that the views of interested parties are considered. Employees (through their representatives),supervisors,managers,contractors,clients,customers,landlords,co-occupiers,suppliers,manufacturersanddesignersmayallbeabletocontributetothehealthandsafetyobjectivesofanorganisation.

OrganisationalRolesandResponsibilities

This sectionofthehealthandsafetypolicydealswithpeopleandtheiroperationaldutiesinrelationtohealthand safety. It outlines the chain of command for health and safety management and identifies the roles andresponsibilitiesofstafftoenablecleardelegationofduties.Itiscommonpracticeforthissectiontoinclude

an organisation chart showing the lines of responsibility and accountability (in terms of health and safetymanagement).Thischartalsoshowsthelinesofcommunicationandthefeedbackroutesthatexistwithintheorganisationforclearreporting.

The following figure shows a typical organisation chart for a company. The grey lines show ‘line managementresponsibility’flowingdownthroughthestructure.Thegreenlinesshowthe‘functionalresponsibility’thatthehealthandsafetymanagerhasforprovidingadviceatalllevelsoftheorganisation.Theorangelinesshowthelinesofcommunicationandfeedbackupthroughthestructure.

Healthandsafetyorganisationchart

TheOrganisationalRolesandResponsibilitiessectionwillusuallyreflectthemanagementhierarchywithinthe

organisationandallocateresponsibilitiesaccordingly:

TheCEOorMD–ultimatelyresponsibleandaccountablefortheentireorganisation.

Management at all levels – responsible for ensuring that all appropriate safety measures are in place andbeing carriedouteffectivelywithinthe partoftheorganisationunder theirmanagementcontrol.Thismight bedone by breaking down the management hierarchy into discrete layers and allocating responsibilities to eachlayer(e.g.seniormanagers’responsibilities,middlemanagers’responsibilities,orsupervisors’responsibilities).

Allemployees– responsible for actingsafely at all times inthe course of their dutiesat work.

Competentpersons–haveoperationalduties,butarealsoconsideredcompetenttocarryoutoneormore

specialisthealthandsafetyduties(e.g.asfirstaidersorfiremarshals).

Specialisthealthandsafetypractitioners–responsibleforprovidingadvicetosupportmanagementand

employeesinachievingsafety.

Arrangements

The Arrangements section is often the largest section of the policy. It deals with the general arrangements that existto manage health and safety and the specific arrangements that are necessary to deal with particular risks relevanttotheorganisationanditsactivities.Thesystemsandproceduresusedtomanagehealthandsafetyarecontainedinthissection.

Allthegeneralhealthandsafetymanagementissueswillberelevanttoallworkplaces;theyaregenericissues.

However,thepracticalarrangementsmadeforthemanagementoftheseissueswillhavetobetailoredtosuitthe

organisation.

Dependingon the workplace, specifichealth and safety arrangementswill also have to be developed to deal with

particularrisks.

Thelistofpossiblearrangementsthatmightberequiredcanbelonganddependsontheproblemsandissuesfacedby the organisation in question. For example, a lorry haulage company will have a set of arrangements to managetransportrisk,butanoffice-basedcompanywillnot.

Examplesofspecificrisksandproblemswithinanorganisationthatmayneed

detailedarrangementsinclude:

Loneworking.

Noise-exposurecontrol.

Vibration-exposurecontrol.

Controlofexposuretotoxicmaterials.

Controlofcrowds.

Controloftransportrisks.

Specifichealthsurveillancerequirements.

Wastedisposal.

Notallorganisations willhaveall oftheserisks –theseare specifictothe organisationandits activities.

ReviewingPolicy

Ahealthandsafetypolicyshouldnotbeconsideredasrigidandunchanging.Instead,itshouldbesubjecttoregularreviewssothatitremainscurrentandrelevant.Inthiswayitcanbeconsidereda‘live’document.

Itisgoodpracticetoreviewpolicyonaregularbasis(e.g.annually).However,thereareothercircumstanceswhichcouldgiverisetoreviews,suchastechnological,organisationalorlegalchanges.

Theaimofthereviewistomakesurethatthepolicyisup-to-dateandaccurate.Thedateofthelastreviewshouldberecordedonpolicydocumentstoindicatehowcurrenttheyare.

Summary

ThiselementhasdealtwithOHSMSsandhealthandsafetypolicies.

Inparticular,thiselementhas:

OutlinedtheILO-OSH2001OHSMS,whichcanbesummarisedas:Policy,Organising,Planningand

implementation,Evaluation,Actionforimprovement,andAudit.

OutlinedtheISO45001OHSMSstandard:Contextoftheorganisation,Leadershipandworkerparticipation,

Planning,Support,Operation,Performanceevaluation,andImprovement.

Identified the healthand safety policyof anorganisation as animportant document,which sets outwhat theorganisation’saimsarewithregardtohealthandsafety,whoisresponsibleforachievingthoseaims,andhowthoseaimsaretobeachieved.

Explainedthatthepolicyisusuallypresentedinthreeparts:theGeneralStatementofIntent,theOrganisationsection,andtheArrangementssection:

The General Statement of Intent communicates the importance that the organisation places on health andsafety,thecommitmentthatcanbeexpectedandtheaimsandobjectivesfortheorganisationtoachieve.Itissignedbythepersoninoverallcontroloftheorganisation.

TheOrganisationsectiondealswiththerolesandresponsibilitiesthatexistwithinalllevelsofthe

organisationandindicatesthelinesofresponsibilityandaccountability.

TheArrangementssectionprovidesthedetailonhowtheorganisationmanageshealthandsafety.It outlines the general arrangements that relate to health and safety management and the specificarrangementsthatrelatetoindividualhealthandsafetytopicsandissues.

Notedthathealthandsafetypolicieshavetobereviewedinordertostaycurrentandrelevant,andthatreviewsmight be carried out periodically, or in response to changes, such as those to key personnel or managementstructure,changesintechnologyorlegalchanges.

©RRCInternational

UnitIG1–Element2:HowHealthandSafetyManagementSystemsWorkandWhatTheyLook

UnitIG1–Element2:HowHealthandSafetyManagementSystemsWorkandWhatTheyLookLLiikkee

ExamSkills

Question

ApproachingtheQuestion

Thinkabout thesteps you wouldtake to answerthe question:

Step 1 – the first step is to read the scenario carefully. Note that this is for the Managing Director (MD). TheMD is unlikely to be a safety specialist. This means information should be easy to understand and examplescanbeusedtosupportthatunderstanding.WedonotwanttheMDconfusedorpresentedwithover-ambitioustargets.

Youareaskedtoprovidea‘briefingdocument’sowillneedtostructureyourapproachusingthethreeheadingsgiven.

Step2–nowlookatthetask –preparesomenotesunderthethreeheadings:

ILOrequirementsforhealthandsafetypolicies.

Whythe organisationneeds safety targets.

Proposedstructureforthehealthandsafetypolicy.

Step 3 – next, consider the marks available. In this task, there are 10 marks available, so it is expected thataround 10 or 11 different pieces of information should be provided. Tasks that are split into parts are ofteneasier to pick up marks on, because the signposts NEBOSH use are so much easier to see. The first part ofthe task is worth 2 marks, so citing the ILO requirements will get 1 of those marks. The second part is anexplanationofwhyorganisationsshouldsethealthandsafetytargetsandisworth6marks,soyouwillneed6points inthis section. Simplysupplying possible targetswill not gainthe marks though;you need tobe

explainingwhytheorganisationneedstohavetargets.Thethirdpartisworth2marks;referencetothesectionsofahealthandsafetypolicywithabriefexplanationwillgainthesemarks.

Step4–readthescenarioandtaskagaintomakesureyouunderstandthemandhaveaclearunderstandingof

healthandsafetypolicyandsafetytargets.(Re-readyourstudytextifyouneedto.)

Step5–thenextstageisto developaplan–thereare variouswaystodothis.Remind yourself,firstofall,thatyou need to be thinking about a briefing document your manager will discuss with the Managing Director. It hasthreeheadings:‘ILOrequirements’,‘safetytargets’and‘structureforahealthandsafetypolicy’.So,theanswerplanwilltaketheformofabullet-pointedlistthatyouneedtodevelopintoafullanswer.

SuggestedAnswerOutline

InternationalLabourOrganisation(ILO)requirements:

ILOOccupationalSafetyandHealthRecommendationR164.

Mustbewritten.

Bringtotheattentionofworkersin alanguageormediumtheworkers easilyunderstand.

Whysafetytargets?

Managementcommitment.

Focusonimportantissues.

Motivatestaff.

Encourageownership.

Enableperformancemeasurement.

Identifyimprovementsmade.

Identifytrends.

Enablereviewofperformance.

Structureofapolicy:

Generalstatementofintent.

Organisationsection.

Arrangementssection.

Nowhaveagoatthequestionyourself.

ExampleofHowtheQuestionCouldbeAnswered

TheInternationalLabourOrganisation(ILO)requirementsforanorganisationtohaveahealthandsafetypolicyareestablishedbyILOOccupationalSafetyandHealthRecommendationR164.ThisRecommendationrequiresan organisation to bring the policy to the attention of the workers. This must be done in a language or mediumthe worker readily understands. Following a survey to establish how well policy has been brought to theattentionofourworkers,wehaveconcludedthatwehavefailedinthisaspectoftheRecommendation.

Bysettingtargetsforhealthandsafety,anorganisation’smanagementaremakingaclearstatementoftheircommitmenttomonitoringandmeetingthestandardssetforhealthandsafety.Targetsenablemanagementto prioritiseandfocus resourcesonissues wheretargetlevels arenotbeing met.Employeesare likelytobemotivated to achieve a target set (e.g. number of hours without an accident exceeding the previous month’stotal). Targets are also likelyto encourage ownership in healthand safety – employees beinginvolved in

theattainmentofatargetarelikelytostrivetomeetthattarget,whichislikelytoencouragesafebehaviour.Management maywellwanttomeasuretangiblegains inhealthandsafetytojustifyexpenditure andeffortin supporting improvement programmes. Implicit in setting targets is the measurement of the activity beingtargeted – management may be able to identify trends from this activity to anticipate whether targets will bemet, exceeded or failed. Targets enable management to meet the standards set by the safety managementsystemused(e.g.zerotolerancetonotwearingPPE).

Healthandsafetypoliciesarenormallypresentedinthreesections.

AGeneralStatementofIntent/StatementofGeneralPolicywhichcapturestheorganisation’sphilosophyinrelationtothemanagementofhealthandsafety.

Organisationsection–whichindicatesthecommunicationpathwaysandlevelsofauthoritybyshowing

rolesandresponsibilities.

Arrangementssection–whichsuppliesthearrangementsmadefortheeffectivemanagementofhealthand

safetysuchasriskassessments,etc.

©RRCInternationalUnitIG1–Element2:HowHealthandSafetyManagementSystemsWorkandWhatTheyLookLike

ReasonsforPoorMarksAchievedbyExamCandidates

CitingthewrongRecommendations.

Notfollowingastructuredapproachforthebriefingdocument;failingtoprovideinformationonthethreesubjectareas.

Notexplainingawideenoughspectrumofreasonstosettargets(6markswereavailable)andgoingintogreatdetailonfocusingonimprovementwhichultimatelycanonlybeworthoneortwomarks.

LearningObjectives

Onceyou’vestudiedthiselement,youshouldbeableto:

safety cultureandhow itinfluences

performance.

Summarise how health and safety cultureatworkcanbeimproved.

positively or negatively influencebehaviour at work in a way that can affecthealthandsafety.

assessmentprocess.

havesignificanthealthandsafetyimpacts

andwaystominimisethoseimpacts.

developing and implementing a safesystemofworkforgeneralactivities.

7 Explaintherole,functionandoperationofapermit-to-worksystem.

(including trainingandtesting)andhowto decide what level of first aid is neededintheworkplace.

HealthandSafetyCulture 3-3

HealthandSafetyCulture 3-3

RelationshipBetweenHealthandSafetyCultureandPerformance 3-4

IndicatorsofHealthandSafetyCulture 3-5

TheInfluenceofPeers 3-6

ImprovingHealthandSafetyCulture 3-8

ManagementCommitmentandLeadership 3-8

CompetentWorkers 3-9

EffectiveCommunication 3-9

Co-operationandConsultation 3-11

Training 3-14

HumanFactorswhichInfluenceSafety-RelatedBehaviour 3-17

Organisational,JobandIndividualFactors 3-17

RiskAssessment 3-22

IntroductiontoKeyWordsandPhrases 3-23

RiskProfiling 3-24

ThePurposeofRiskAssessment 3-26

TheFiveStepsofRiskAssessment 3-27

SpecialCasesandVulnerableWorkers 3-39

TheManagementofChange 3-43

TheImpactofChange 3-43

ManagingtheImpactofChange 3-44

SafeSystemsofWork 3-46

IntroductiontoSafeSystemsofWork 3-46

WorkerInvolvement 3-47

WrittenProcedures 3-47

Technical,ProceduralandBehaviouralControls 3-47

DevelopingaSafeSystemofWork 3-48

Permit-to-WorkSystems 3-50

OperationandApplication 3-51

TypicalUsesofPermitSystems 3-53

EmergencyProceduresandFirstAid 3-55

TheNeedforEmergencyProcedures 3-55

EmergencyProcedureArrangements 3-56

First-AidRequirements 3-57

Summary 3-60

ExamSkills 3-62

HealthandSafetyCulture

INTHISSECTION...

Thehealthandsafetycultureofanorganisationisthewaythatallthepeoplewithintheorganisationthinkandfeel about health and safety and how this translates into behaviour. It can be defined as the shared attitudes,values,beliefsandbehavioursrelatingtohealthandsafety.Itwilleitherbepositiveornegative.

There is a strong link between health and safety culture and health and safety performance. Organisations witha strong, positive culture tend to have good performance, whereas those with a negative culture tend to performpoorly.

Thesafetycultureofanorganisationcanbeassessedbylookingatindicators,suchasaccidents,sicknessrates,absenteeism,staffturnover,compliancewithrules,andworkercomplaints.

Workers are often influenced by their peers – the people around them at work who do not have any directauthorityoverthem.This‘peergrouppressure’occursindirectlythroughsocialinteractionandcanhaveasignificanteffectonbehaviour.Theinfluenceofpeergrouppressureisagoodindicatorofsafetyculture.

HealthandSafetyCulture

Anorganisation’s‘culture’isnotwrittendownoreasilystated.Itisasubtlemixofformalandinformalrules,relationships,values,customs,etc.which,takentogether,describethedistinctive‘feel’oftheorganisation.

On one level, this is to do with how the organisation gets things done –its particular way of doing things. On another level, it is to do with howpeopleperceivetheorganisation(e.g.howfriendlyitis).

Organisationalcultureisacharacteristicoftheorganisationthatexists

at every level, from senior management to shop-floor workers. No onepersondeterminesthecultureoftheorganisation:allstaffworkingfortheorganisationdetermineitcollectively.

Organisationscanbedescribedashavingahealthandsafetyculture(or

safetyculture)inmuchthesameway.

Allorganisationshavea‘culture’

The health and safety culture of an organisation is the way that everyone within the organisation thinks and feelsabouthealthandsafetyandhowthisisreflectedintheirbehaviour.Thisisconcernedwithpeoples’attitudesandopinions; what they believe and value; their perceptions of the importance of health and safety; and how thesethoughtsandbeliefsinfluencetheirhealthandsafety-relatedbehaviour.

Importantly the culture iscreated and sharedby people within theorganisation. This isthe group way ofthinkingabout health and safety. It is not simply one person's way of thinking. Though it is often the case that certainindividualswillbeveryinfluentialinestablishingandmaintainingtheculture.

An organisation’s health and safety culture will either be positive or negative. In that it will either encourage andpromotepositivehealthandsafetyviews,opinionsandbehaviours,oritwillencourageandpromotenegativeones.

RelationshipBetweenHealthandSafetyCultureandPerformance

Thereisastronglinkbetweenanorganisation’shealthandsafetycultureanditshealthandsafetyperformance.Organisationswithastrong,positiveculturetendtoperformwell,whereasthosewithaweaknegativecultureperformbadly.

PositiveCulture

In an organisation with a positive health and safety culture, the majorityoftheworkers thinkand feelthathealth andsafety isimportant.

There is a strong policy and clear leadership from the top becausesenior managementhavethisattitude, whichrunsthroughthewholeorganisation, from top to bottom. Managers think about the health andsafetyimplicationsoftheirdecisionsandworkersdolikewise.

The majority of people work safely because they want to. Not simplybecausetheyhaveto.Evenwithoutclosesupervision.Becausethisisthewaythatthingsaredoneintheorganisation.

People in the organisation who do not share the group view are in theminority and are likely to come round to the group way of thinking andacting.Thisisbecausethecultureofanorganisationtendstobeabsorbedby itsworkersovertime.Workerswhodonotadjusttothe groupwayof

thinkingmayeitherleave,becausetheydon’tfeelthattheyfitin,ormightbedismissedforworkingunsafely.

Inanorganisationlikethis,itiseasytoseetheclearlinkbetweenhealthandsafetycultureandperformance.Peoplework safely, so there will be fewer accidents and less ill health. It is also easy to see why organisations strive tocreateastrong,positivehealthandsafetyculturebecause,whenthereis

one,ithasadirectinfluenceonworkerbehaviour.

NegativeCulture

In an organisation with a negative health and safety culture, the majorityofworkersthinkandfeelthathealthandsafetyisnotimportant;theyarepoorlyeducatedinhealthandsafetyandseeitasunnecessaryoraninterference.Thereisalackofcleardirectionandleadershipfromseniormanagement. Managers do not think about health and safety in theirdecision-makingandsoletotherpriorities,suchasshort-termprofit,

dictatetheiractions.Workersbehaveunsafely,oftenbecausetheydonotknowanybetter.

Safety-consciousworkersareintheminorityandarelikelytocomeround

tothegroupwayofthinkingandactingovertimebecauseoftheinfluence

ofpeergrouppressure(seelater).Ifnot,theymaywellleavebecausetheydonotliketheorganisationalcultureorfeelunsafeinworksituations.

In an organisation like this it is easy to see that there will be a lack of proper attention to health and safety,standardswillnotbeunderstoodorworkedto,behaviourwillbepoorandaccidentsandillhealthwilloccurasaresult.

IndicatorsofHealthandSafetyCulture

Therearemanyindicatorsofanorganisation’shealthandsafetyculturethatwillshowifitisstrongandpositive,or negative. Because health and safety culture is partly defined as how people think and feel (their attitudes,their beliefs and their priorities) and these are intangible concepts and difficult to measure. So, rather than tryingto assess the health and safety culture directly, it is often easier to assess it indirectly by looking at the tangibleoutputs that can be used as indicators. There is no single indicator that can be used to assess health and safetyculture;instead,severalindicatorsmustbeexaminedtogether.

Accidents

Accidentrecordscanbeusedtoworkouthowmanyaccidentsarehappeningasarate(e.g.numberofaccidentsper100,000hoursworked–wediscussthislater).Theaccidentrateforaparticularorganisationcanbecompared

withthe:

Organisation’sperformanceinpreviousyears–thiswillindicatewhethertheaccidentrateisincreasingordecreasing.Adecreasingratemightbeseenasanindicatorofapositivehealthandsafetyculture.

Rateforotherorganisationsthatdothesamework,ortheindustryaverage(oftenpublishedbytheauthorities)

–thisistheprocessofbenchmarking.Anaccidentratethatishigherthanthenationalaveragemightbeseenasanindicatorofanegativehealthandsafetyculture.

Looking atthequalityofinvestigations thatfollowaccidentsandthe effortthatisputinto preventingarecurrenceisanotherwayofusingaccidentsasanindicatorofhealthandsafetyculture.Inanorganisation:

Withapositivehealthandsafetyculture,muchtimeandeffortwillgointoinvestigatingaccidents,writinginvestigationreportsandintroducingfollow-upactiontopreventarecurrence.

Withanegativehealthandsafetyculture,superficialaccidentinvestigationsarecarriedout,reportsareofpoorquality, and follow-up action is either not taken, or is ineffective (and may focus on blaming the worker ratherthanidentifyingwhyithappened).

SicknessRates

Alotofillhealthiscaused,ormadeworse,bywork.Forexample,inmanycountriesahugenumberofworkingdays

arelostbecauseofbackpain,andasignificantproportionofthatbackpainwillhavebeencausedormadeworsebytheworkthatindividualsaredoing.Sicknessratescanbeusedinthesamewaythataccidentratesare,asanindicatorofhealthandsafetyculture.

Absenteeism

A high level of workerabsenteeism indicates that workers areeither not able, or notwilling, to come to work.If theyare not able, this might indicate that they are suffering ill health caused, or worsened, by work, as we noted above.If they are not willing, it indicates that they are withholding their labour for some reason. This is usually caused bypoorworkforcemoralewhich,inturn,maybelinkedtopoorhealthandsafetyculture.

StaffTurnover

An organisation with a positive health and safety culture is often a good place to work. Workers feel safe, moraleis good, training is available, and workers are consulted about their working conditions. As a result, workers staywiththeiremployerforlonger,solowstaffturnovermayindicateagoodhealthandsafetyculture,whilehighstaffturnovermayindicatetheopposite.

CompliancewithSafetyRules

In an organisation with a positive health and safety culture the majority of workers want to work safely, so theycomply with the safety rules and procedures laid down by the organisation. Formal or informal safety inspectionsorauditsusuallyfindthatthereisahighlevelofcompliance.Thehealthandsafetyculturehasinfluencedworkers’behaviourinapositiveway.

Where there is a negative health and safety culture the reverse is usually true. Workers do not follow the rules,either because they do not know what they are (perhaps owing to poor training) or because they know the rules butdo not want to follow them (perhaps because of poor attitude). Workers are free to break the rules because of poorsupervision;theyknowthattheywillnotbepunished.

ComplaintsAboutWorkingConditions

Thereisanobviouslinkbetweenhealthandsafetycultureandthenumberandtypeofcomplaintsmadebyworkers (and workers’ safety representatives) to management. An organisation with a positive culture may activelyencourage complaints, but few serious ones will be made. An organisation with a negative health and safety culturemayactivelydiscourageworkersfromcomplaining,andmanyofthecomplaintsmadewillbelegitimateandseriousones.

TheInfluenceofPeers

When people are put together into groups they interact. Some individualswillhavealotofinfluenceoverthegroup;otherswillhavelittleinfluence.In this way a ‘hierarchy’ develops within the group (often known as a‘pecking order’). Certain ways of behaving will become the ‘norm’, whichwilloftenbeestablishedbythemoreinfluentialmembersofthegroup.Apersonwishingtobecomeamemberofthegroupwillhavetocomplywiththe group norms. This pressure to comply with group norms is called ‘peergrouppressure’.

Peer group pressure is an important factor to take into account whenthinking about safety-related behaviour. If a group is already workingsafely then peergroup pressure willkeep mostpeople in thatgroup

in line. But if the group is working unsafely, then peer group pressure will tend to force new workers to behaveunsafelyinanattempttofitinwithgroupnorms.Eventhoughnewworkersmayknowthatwhattheyaredoingiswrongandmaywanttodoittherightway,thepressuretocomplywiththeirsocialgroupovercomestheirpersonalapprehensions.

Onewaytodealwiththenegativeimpactofpeergrouppressureistotackletheinfluentialpeoplewithinthegroup,the ones responsible for establishing group norms of behaviour. If their behaviour can be changed then everyoneelse’s will likely change as well. This might be done by training, education, involvement in safety-related projects,etc.Oneverysuccessfultacticistogivethemincreasedresponsibility.Ultimately,iftheinfluentialmemberswill

notchangetheirbehaviourthentheymayhavetobemovedintootherworkgroupswheretheymayhaveless

influence,ortheymayhavetobedisciplinedusingthenormaldisciplinaryprocess.

The behaviour of peer groups and the influence that peer group pressure has been allowed to exert on workerbehaviourisoftenagoodindicatorofhealthandsafetyculture.Inanorganisationwithapositiveculture,peergrouppressure is in line with safe behaviour. In an organisation with a negative culture, peer group pressure is drivingunsafebehavioursandthishasnotbeenchallengedbymanagement.

ImprovingHealthandSafetyCulture

INTHISSECTION...

Thehealthandsafetycultureofanorganisationcanonlybeimprovedifaclearcommitmenthasbeenmadebymanagement,withvisibleleadership.

Competentstaffhavetheappropriatetraining,knowledge,experienceandotherskillsnecessarytodotheirjobssafely.

Communicationofsafetyinformationcanbeverbal,writtenorgraphicandtherearestrengthsandweaknessesassociatedwitheachmethod.

Noticeboards,posters,toolboxtalks,memosandhandbooksallhaveaparttoplayindeliveringsafetyinformationtoemployees.

Trainingisavitaltoolinimprovingsafety-relatedbehaviourandtherearevariousoccasionswhentrainingshouldbeprovided.

ManagementCommitmentandLeadership

Management commitment starts at the very top of the organisation. Seniormanagers must provide the leadership necessary to inspire and motivatemanagersatalllevelstopursuehealthandsafetystandardsrigorously.

Thisisdonebyestablishingtheorganisation’shealthandsafetypolicywithclearaimsandobjectivestobeachieved.

Itisalsocriticalthatmiddleandjuniormanagementfollowthroughthecommitment of senior management via the priorities and objectives thattheysettheirstaff.Inthisway,commitmentiscascadeddownthroughtheorganisation.

Animportantfactorindemonstratingmanagementcommitmentisvisibleleadership. If management are never seen taking an active interest insafetyissues,thentherewillbeanassumptionthattheyarenotinterested.Individual managersmustshowtheircommitmenttohealthandsafetytotheirstaffasthishelpscreatethelocalhealthandsafetyculture.

Visibleleadershipcanbedemonstratedby:

Behavingsafely(leadingbyexample).

Involvementintheday-to-daymanagementofhealthandsafety(e.g.byattendingsafetymeetings).

Takingpartinsafetytoursoraudits(seeElement4).

Promotingchangestoimprovehealthandsafety.

Enforcingthecompanysafetyrules.

On the last point, managers must be able to recognise and enforce the correct safety standards. They must be ableto praise and reward good behaviour and they must be able to challenge and correct poor safety-related behaviour.Workersmustnotbeallowedtocarryouttheirworkunsafelywithoutbeingchallenged.Ifthisisallowedtopersist,management will quickly lose theability to challenge any unsafebehaviour and will be unableto enforce discipline.This means that sometimes workers have to be taken into formal disciplinary procedures for failure to comply withsafetyrequirements.Insomecasestheirbehaviourmaybesobadthatthisresultsindismissalforgrossmisconduct.

Importantly managers must not over-use disciplinary action against workers for health and safety failings. Simplisticover-reliance on disciplinary action can create a blame-culture where workers and managers become fearful ofreporting near misses and other incidents or raising problems and concerns. A strong blame culture is incompatiblewith a positive health and safety culture. This is not to say that managers should never use disciplinary action forhealth and safety failure. A balance must be struck and appropriate disciplinary action should be used where it isjustandfairtodoso.

CompetentWorkers

Acompetentpersonisapersonwhohassufficienttraining,knowledge,experienceandotherabilitiesorskillstobe

abletocarryouttheirworksafelyandwithoutrisktohealth.

Itistheresponsibilityoftheemployertoensurethatworkersarecompetenttocarryoutthetasksthattheyhavebeenallocated.Themorecompetenttheworker,thebetterabletheywillbetodotheirjobsafely.Thishasa positive influence on health and safety culture. In order to determine competence, the employer may checkqualifications,requestreferences,orverifymembershipofprofessionalbodies.

Managersshouldalsobecompetent.Thismeansthatallmanagersshouldhaveanunderstandingofthehealthandsafetyimplicationsofthedecisionstheymakeonaday-to-daybasis.Thisisoftenoverlooked.Forexample,ifamanagerisincontrolofawarehousethentheymustunderstandthedifferencebetweensafeandunsafe

forklift-truck driving. They donot need to beable to drivea forklift truck themselves,but they musthave sufficient

knowledge to spotgood andpoor behaviour whenthey seeit.

EffectiveCommunication

Communicationcanbedefinedastheprocessofdeliveringinformationfromasendertoarecipient.Tobetruly

effective,thecorrectinformationhastobetransmitted,receivedandunderstood.

Therearethreeprincipaldeliverymethodsforcommunicatinginformation:verbal,writtenandgraphic.

VerbalCommunication

Verbal communication uses the spoken word (e.g. face-to-faceconversations,meetings,interviews,trainingsessions,bytelephoneoroveraPublicAnnouncement(PA)system).

This is the easiest and most commonly used form of communication,buttherearevariouslimitationsassociatedwiththismethod.Ifverbal

communicationistobeusedtoconveysafety-criticalinformationtoworkers,theselimitationsmustbeovercome.

Benefits

Limitations

Personal.

Quick.

Direct.

Allowsforcheckingofunderstanding.

Allows for feedbackto begiven.

Allowsforexchangeofviews.

Usuallyallowsforadditionalinformationtobetransmitted by means of tone of voice, facialexpressionandbodylanguage.

Languagebarriermayexist.

Jargonmaynotbeunderstood.

Strongaccentordialectmayinterfere.

Backgroundnoisemayinterfere.

Recipientmayhavepoorhearing.

Messagemaybeambiguous.

Recipientmaymissinformation.

Recipientmayforgetinformation.

Nowrittenrecordasproof.

PoortransmissionqualityifbytelephoneorPAsystem.

WrittenCommunication

Writtencommunicationusesthewrittenword(e.g.report,memo,e-mail,notice,companyhandbook,policydocument,operatinginstructions,riskassessment,minutesofmeetings).

Benefits

Limitations

Permanentrecord.

Canbereferredbackto.

Can be written very carefully to avoid use ofjargon,abbreviationsandambiguity.

Canbedistributedtoawideaudiencerelativelycheaply.

Indirect.

Takestimetowrite.

Maycontainjargonandabbreviations.

Canbeimpersonal.

Messagemaybeambiguous.

Messagemaynotbereadbyrecipient.

Languagebarriermayexist.

Recipientmaynotbeabletoread.

Immediatefeedbackisnotavailable.

Questionscannotbeasked.

Recipientmayhaveimpairedvision.

GraphicCommunication

Graphic communication uses pictures, symbols or pictograms (e.g. safety signs, such as a fire exit sign; hazardwarningsymbols,suchasaskullandcrossbonesfoundonthelabelofatoxicchemical;orphotographs,suchasaphotoshowingaguardbeingusedcorrectlyintheoperatinginstructionsforthemachine).

Benefits

Limitations

Maybeeye-catching.

Visual.

Quicktointerpret.

Nolanguagebarrier.

Jargon-free.

Conveysamessagetoawideaudience.

Canonlyconveysimplemessages.

Mightbeexpensivetobuyorproduce.

Maynotbelookedat.

Symbols or pictograms may be unknown to therecipient.

Noimmediatefeedbackavailable.

Questionscannotbeasked.

Recipientmayhaveimpairedvision.

BroadcastingMethods

Therearevariouswaysofbroadcastinghealthandsafetyinformationusingthethreemethodsoutlinedabove.Eachof these broadcasting techniques has its own strengths and limitations and so usually a mix of some or all of thesetechniquesisusedtoensurethatessentialmessagesaretransmittedandcorrectlyunderstoodbyallstaff:

Noticeboards – should be eye-catching and located in areas used by all workers (e.g. rest rooms or centralcorridors). Notices should be current, relevant and tidily displayed. Cluttered, out-of-date, irrelevant noticesobscurethemessagesbeingconveyed.Displayinganoticedoesnotmeanthatitwillberead.Typicalcontentsmight include: the safety policy; employers’ liability insurance certificate; emergency procedures; identity ofsafetyrepresentativesandfirst-aiders;minutesofsafetycommitteemeetings;accidentstatistics,etc.

Posters–usedtoprovidesafetyinformation,drawingattentiontoparticularissuesandsupportingthehealthandsafetyculture.

Benefits

Limitations

Oftengraphicandthereforeavoidlanguagebarriers.

Canbeeye-catchingandgenerateinterest.

Lowcost.

Canreinforcekeymessages.

Canquicklybecomepartofthesurroundings.

Maybedefaced.

Cantrivialiseimportantissues.

Relyontherecipientinterpretingthecorrectmessagefromtheimage.

Filmsorvideos–mainlyusedintrainingprogrammesand,ifwellmade,canholdtheaudience’sattention.

Toolbox talks – short, practical safety briefings carried out routinely in the workplace, often presented bythesupervisoratthestartofashift.Theycanbeusefulforgeneratingawarenessanddiscussiononsafetyprecautions,butmaybeseenasdullorawasteoftimeiftopicsareirrelevantorpoorlypresented.

Digital media and intranet systems – mobile phones, tablets, computers and other devices can be used forthedisseminationofinformationinvariousforms(written,graphic,videoandaudio).Companyintranetsystemsare network systems that are restricted to in-company users and allow users to access policy documents,proceduresandrecords.

Memos and e-mails – written notifications used to provide specific information about a single issue, such asupdating procedures, drawing attention to lapses in practice, etc. When using memos there is often limitedopportunityforfeedbackorquestioning,sotheiruseisreallylimitedtoissuingclearandpreciseinstructionsorinformation.

Workerhandbooks–usedtosetouttheorganisation’shealthandsafetypolicy.Allemployeesshouldbegivena copy on joining the organisation, and updates are usually circulated to inform staff of changes. This is a keydocument, containing such information as site rules, reporting procedures, emergency arrangements, etc. It isstandardpracticetoissuethishandbookaspartoftheworker’sinductionandtogetareceiptasproofofissue.

Key health and safety management information, such as procedures and instructions, must be broadcast using arangeofmethodstoensureitreachesthecorrectaudienceandtoensurethatthevariousbarrierstocommunicationassociatedwithdifferentcommunicationmethodsareovercome.

Thegoalistoensurethatthecorrectmessagehasreachedtherightpeople,andthattheyhaveproperlyunderstoodit.

Co-operationandConsultation

A positive health and safety culture can only be created in an organisation with effective worker co-operationandinvolvement.Ifworkersfeelthattheyarebeingdictatedtothentheywillfeellittleownershipofhealthand

safety.Indeed,theymaycometoresentinstructionsbeingimposedfromaboveandstarttoactivelyopposesafetyinitiatives and improvements. This creates a negative culture. The most effective way to avoid this negativity, andtoactivelyencourageworkerinterestandownership,istoinvolveworkersinthedecision-makingprocess,whichisbestachievedthroughworkerconsultation.

Consultationwithworkersrequiresanemployertoconsultwiththeirownemployees.Sometimes,itwillalsorequire consultation with other workers, such as contractors working within the employer’s premises or undertakingworkonbehalfoftheemployer.

Consultation implies that the employer takes note of feedback given by employees. But the consultation process isnot the only route by which feedback on health and safety topics might be given. Employee feedback can also begainedthroughadditionalroutessuchasduringappraisals,atdepartmentalmeetings,throughsuggestionschemesandemployeesurveysandviacomplaints.

In many countries there is a legal duty placed upon employers to consult with their employees on health and safetymatters. Article 20 of ILO-C155 and Article 12 of ILO-R164 give specific standards on this. Even where there is nolegal requirement, it is recognised as good practice for the employer to consult with their employees on health andsafetymatters.

Healthand safety issueswhere consultation wouldbe appropriate include:

Theintroductionofmeasuresaffectingthehealthandsafetyoftheworkers.

Theappointmentofsafetyadvisersandspecialists.

Healthand safety trainingplans.

Theintroductionofnewtechnologyintotheworkplacethatwillaffecthealthandsafety.Thetwomethodsemployersnormallyusetoconsultworkersare:

Directconsultation–theemployertalksdirectlytoeachworkerandresolvesissuesastheyoccur.Thisworkswellinverysmallorganisations,butisineffectiveinlargerworkplaces.

Worker representatives – a health and safety committee is established, made up of key managementpersonnelandworkerrepresentatives.Thecommitteemeetsregularlytodiscusshealthandsafetymattersandresolve issues. Worker representatives may even have specific additional rights under local law, such as paidtimeofffortraining.

Thefunctionofthesafetycommittee/forumwouldincludeissuessuchas:

Studyingaccidentanddiseasestatistics.

Reviewingthereportsfromactivemonitoringintheworkplace,suchassafetyinspectionsandbehaviouralobservations.

Examiningsafetyauditreports.

Consideringreportsandinformationfromtheauthorities.

Consideringreportssubmittedbyworkerrepresentatives.

Assistinginthedevelopmentofproceduresandpolicy.

Monitoringtheeffectivenessoftraining.

Monitoringtheeffectivenessofsafetycommunications.

Inthisway,thecommittee/forumisintendedtobestrategic,ratherthaninvolvedintrivia.

Training

Healthandsafetytrainingcanbedefinedastheplanned,formalprocessof acquiring and practising knowledge and skills in a relatively safeenvironment.

Training is central to the effective management of health and safety inworkplaces. Employers have a responsibility to train their staff to carry outtheirjobsinasafemanner.Trainingisakeycomponentofcompetence.Intheabsenceoftrainingitisdifficulttodevelopordemonstratecompetenceand, as a result, statute law in many countries requires employers toprovideappropriatetrainingfortheirworkers.

The reason for this requirement is simple: training has a dramatic effectonsafety-relatedbehaviour.Withouttraining,workerstrytodotheirjobs

to thebestof theirabilitybut theydosoeither byinformallycopying others(includingcopying anybadhabitsandunsafeworkingpracticesthattheysee)orbydoingthejobthewaythattheythinkisbest.

Once the worker has been properly trained they will understand:

Thehazardsandrisksinherentintheirwork.

Thecorrectrulesandprecautionstoapply.

Foreseeableemergenciesandtheactionstotake,shouldtheseeventsoccur.

Limitationsandrestrictionsthatapplytotheirwork.

Theirpersonalhealthandsafetyresponsibilities.

Theconsequencesofbreakingtherules,includingdisciplinaryprocedures.

Whotocontactwithanyissues.

TrainingOpportunities

Variouscircumstancesrequiretheprovisionoftraining:

New worker – induction training takes place when workers join an organisation. This allows the worker tolearn about the organisation in a safe, structured manner and ensures that critical information is deliveredandunderstood.Sinceaworkerisatriskinaworkplacefromtheirfirstdayofwork,itmakessensetodeliverinduction training as soon as they start work and to cover safety-critical information, such as emergencyprocedures,first.

Jobchange–additionaltrainingisnecessarywhenaworker’sjobchangesinsuchawaythattheyareexposedto new hazards and risks. For example, a healthcare worker whose job changes from being hospital-based todelivery of care inclients’ own homes willneed additional training –not in how todeliver care, since theservicetheyprovidehasnotchanged–butinloneworking.Theywillbeatfargreaterriskwhentheygooutintothecommunitytoconducthomevisitsasopposedtoworkinginthehospital.

Process change – when the way in which the work is done changes, workers may be exposed to new hazardsandrisksthatrequireadditionaltraining.Forexample,whenadifferentproductisbeingproducedonanexistingpieceofmachinery,thismaycreatenewrisksthatrequiretraininginnewsafeoperatingprocedures.

New technology – new technologies adopted by organisations create different hazards and risks that workersmay be unfamiliar with. The mass introduction of desktop computers, screens and keyboards in the 1990s is anexample ofnew technologyintroducing newrisk intoworkplaces. Thishas beenfurther compoundedwiththewidespread introduction and use of mobile phones and tablets, which bring additional risks and complications tothesafeuseofIT.

Newlegislation–changestothelawgoverningaparticularhealthandsafetyissueoftencreateaneedtotrainworkersontheimplicationsofthenewlegislation,perhapsbecauseworkingpracticeshavetochangeorsimplytoensureunderstandingofthelawanditsrequirements.

It is important to keep records of any training given, not only to record who has been trained, but also to update andshow progress against a training plan. Training records should detail the level of competence achieved, the date ofthetraining,andhighlightwhenanyrefreshertrainingisrequired.Theserecordsmaybeusedtodemonstratetotheauthorities that adequate training was provided; or to prove that an employee had received training in the event of acivilclaimforcompensationoranaccidentinvestigation.

HumanFactorswhichInfluenceSafety-Related

Behaviour

INTHISSECTION...

Individual worker behaviour is of critical importance to effective health and safety management. One workermaybehaveinanidealmanner,butanothermaynot,andtheirunsafebehaviourmayendangerthemselvesandothers.

Threesignificantfactorsinfluenceanindividualworker’ssafety-relatedbehaviour:

Organisationalfactors–thecharacteristicsoftheorganisationthattheyareworkingfor.

Jobfactors–thetaskthattheyarecarryingout.

Individualfactors–theirpersonalcharacteristics.

Takentogetherthesethreegroupsofcharacteristicsworktogethertoinfluenceaworker’spersonalbehaviour.They nudge a worker to behave safely or unsafely depending on exactly how the factors are interacting at aparticulartime.

Organisational,JobandIndividualFactors

An issue of critical importance to health and safety management is thewaythatindividualworkersbehave.Itisestimatedthatwelloverhalfofallworkplaceaccidentsarecausedbyunsafeacts–thepoorsafety-related behaviour of a worker. It is not enough to dismiss this as beingduetocarelessness;thissimplyblamestheworkerandisineffectiveat

identifying underlying causes or corrective actions. Instead, we must lookathowhumanfactorsinfluenceworkingpractices.Wehavetounderstandwhy people behave the way theydo at work. If we can understandthat,thenitmaybepossibleto:

Correctpoorbehaviourwhenitisidentified,byremovingthecauseof

thatbehaviour.

Anticipatepoorbehaviourbeforeitoccursandintroducechangesto

reducethelikelihoodofitoccurring.

Considerthesequestions:

Factorswhichinfluencebehaviour

Whyisitthataworkermightbehavepoorlywhenworkingforoneorganisation,butthenbehaveinanentirely

differentmannerwhentheyleaveandstarttoworkforanothercompany?

Whyisitthataworkermaybehavesafelydoingonejob,butthenunsafepracticesstarttocreepintotheir

behaviourwhentheyareswitchedtoanotherjob?

Why is itthat oneworker behavessafely atwork, butanother doesnot, even thoughworking conditionsfor

bothworkersarethesame?

Theanswertothesethreequestions(andthelinkbetweenthem)is‘humanfactors’.Thisphrasereferstoarangeof

issuesthatinfluenceaperson’ssafety-relatedbehaviourwhentheyareatwork.

Theseissuescanbegroupedunderthreemainheadings:

Organisationalfactors–characteristicsoftheorganisationthattheyareworkingfor.

Jobfactors–characteristicsofthejobortaskthattheyareperforming.

Individualfactors–characteristicsoftheindividual.

Noonesinglefactordictatesbehaviour;theyallsubtlynudgebehaviourinonedirectionoranother.

OrganisationalFactors

Thesearethecharacteristicsoftheorganisationthatinfluenceworkers’behaviour:

Thehealthandsafetycultureoftheorganisation–thewaythatthiscultureisgraduallyabsorbedbytheindividual(asalreadydiscussed).

Commitmentandleadershipfrommanagement–whetherthisisvisiblydemonstratedoutsidetheboardroom(sincebehaviourintheboardroomisnotwitnessedbymostoftheworkersinanorganisation).

Resources–theprovisionofadequatetime,money,equipmentandpersonneltomanageandcarryoutworksafely.

Work patterns such as shift systems, working at night or working extended hours. This can adversely affectworkers’healthandcausefatigue,thatinturncanleadtopoorperformanceandincreasetherisksassociatedwithsafety-criticalwork.

Communication – how effective the organisation is at using various communication methods to conveyhealthandsafetymessagesandinformationtotheworkforce,andhowwelltheorganisationthenchecksunderstandingofthosemessages.

Levelsofsupervision–thepresenceorabsenceof,andthecompetenceof,supervision(inthecontextofhealthand safety) and the way that poor safety-related behaviour is dealt with. For example, in an organisation thatundertakesengineeringmaintenancework,thepresenceofcompetentsupervisorstooverseetheworkiscriticalasachecktopreventbothrule-breakingbehaviourandhumanerror.

Consultation and worker involvement – the extent to whichworkersareengagedandinvolvedinthemanagementofhealthandsafetyissuesandinthedecision-makingprocess.

Training – how good the organisation is at identifying health andsafetytrainingneedsandopportunities,andhowwellitthenmeetsthoseneedstocreatewell-informed,competentstaff.

JobFactors

Thesearethevariouscharacteristicsoftheworker’sspecificjobortaskthatinfluencetheirsafety-relatedbehaviour,

suchas:

Thetask–thecharacteristicsoftheworkitself,inparticulartheergonomicrequirements(seedefinitionbelow).For example, if a worker needs to bend or stoop over when carrying out a task then that task needs to beadapted to best suit the worker concerned. In the absence of ergonomic design, workers will find the mostcomfortablewayofworkingandthismaynotbethesafestway.

Workload–theamountofwork,rateofwork,deadlinesandvarietyofworkthatindividualshavetocopewith,andthedegreetowhichtheseareunderthedirectcontroloftheworkerorimposedexternally.

Environment – the workplace conditions such as space, lighting, noise, temperature and humidity and thewaythattheseparametersarecontrolledsoastominimisetheirimpactonworkerperformance.Forexample,workersinasteelfoundrymayhavetoundertakephysicallabourinahigh-temperatureenvironment,sothereisthepotentialfordehydration,heatstressandheatstroke.Workersmayfindwaysofworkingthatarenot

necessarilysafe,inordertominimisephysicalexertion.Theymayalsostarttosufferdegradationinphysicalandmentalperformanceasaresultofheatstress.

Displays and controls – the design of these, and the way that poorly designed displays and controls cancontributetothelikelihoodofhumanerror(e.g.criticaldisplaysthatareoutoftheoperator’snormalfieldofview).

Procedures – the existence and quality of working procedures. If there is a lack of written procedures, or iftheyarepoorlywritten,out-of-date,overlycomplexorimpractical,workersmaynotcomply.Tobeeffective,proceduresshouldbeaccurate,concise,usefamiliarlanguageandtheymustbedoable.

IndividualFactors

People bring to their job their own personal mix of skills, knowledge, experience, attitudes, motivations, habits andpersonality. These individual characteristics influence behaviour in complex and significant ways. Some of thesecharacteristicscannotbechanged,butotherscan.Itisimportanttorecognisewherechangestothesecharacteristicsmightbeneededandwhatmethodsmightbestbeusedtomakethosechanges.Forexample,ifworkershave

a poor attitude to machine guards it will be necessary to change their attitude, and there are various ways ofattemptingtoachievethischange.Competence,skills,personality,attitudeandperceptionofriskareindividualfactorsthatwewillnowlookatingreaterdetail.

Competence

Competenceisacombinationofknowledge,experience,trainingandabilitythatbringsapersonuptoalevelwheretheyareabletoperformtoanacceptablestandardandareawareoftheirownlimitations.

Employersmustensurethatworkersarecompetentfortherolethattheycarryout.Tobecompetentaworkermusthave the right combination of training and experience – simply having a qualification doesn’t necessarily make aperson ‘competent’. Carrying out the job for a long time doesn’t either! A newly-qualified person may perform tasksmore carefully than a more experienced worker, or be more up-to-date with current technology, but they may alsolacktheexperiencethatonlycomeswithtime.

Skills

Eachindividualhasskillsthattheyhavedevelopedovertime;someoftheseskillsarephysical(suchastheabilityofacraneoperatortopreciselycontrolthemovementofaload)whilstothersaremental(suchastheabilitytodo

complexmentalarithmeticwhileworking).Fittingapersonwiththewrongskillsetintothewrongroleisunwise–aperson with poor manual skills may be incapable of safely controlling a piece of machinery during a work activitybecausetheylackthenecessaryskill.

Personality

Variousinnatecharacteristicsunderpinaperson'scharacter,suchasrisk-takingorriskaversion,introversionorextroversion,etc.Attitudetohealthandsafetycanbeinfluenced,skillscanbeincreasedandcompetencedeveloped,butaperson’spersonalityremainslargelyfixed–it’swhotheyare.

Attitude

An ‘attitude‘isaperson’spointofvieworway oflookingatsomething;howtheythinkandfeelabout it.

For example, everyone has an attitude towards work; some people think of it in a positive way and others have anegative attitude. Attitudes develop over time, many of them quite early in life, and they have a tendency to staywithus.Thisisbecausetheyareapartofself-image–thementalpictureapersonhasofthemselvesandwhotheyare.Attitudesdochangebutusuallyslowly.

In the context of workplace behaviour, attitudes are important because a worker’s attitude will make them more orlesslikelytobehavesafely.Ifaworker’sattitudetoamachineguardisthattheguardisgreatbecauseitistheretostop their arm being cut off, then that worker is very unlikely to remove the guard in any circumstances. But if theworker’sattitudeisthattheguardisunnecessary,over-the-top,putthere‘totickabox’or‘tomakethejobharder’,thenthatworkerislikelytoremovethemachineguardattheearliestopportunity.

Risk Perception

Different people perceive risk in different ways. Some people are very good at correctly recognising the real riskassociated with work. Others are very poor at this and either perceive risks that are not real or are trivial (makingthemunnecessarilyriskaverse)ortheydonotrecognisetherealriskspresent(whichmeansthattheymayexposethemselvesorotherstothoserealrisks).

Variousfactorsthatcandistortaperson’sperceptionofhazardandrisk,suchas:

Theyaresufferingfromanillness(e.g.‘flu)andsotheyarenotprocessinginformationverywell.

Theyareunderstressandsootherissuesmaybedominatingtheirthinking.

Theymaybefatiguedandsonotalertorcapableofrespondingquicklytocircumstances.

Theymaybeundertheinfluenceofdrugsoralcohol.

Theyhavepastpersonalexperiencesthatisskewingtheirthinking.

Theymaynothavereceivedgoodqualitytrainingandeducationonthehazardsandriskofthejob.

TheymayberequiredtowearPPEthatisinterferingwiththeirabilitytodetectthehazardscreatingtherisk.

Workplace conditions, such as high levels of noise, may be interfering with their ability to correctly identify thehazardthatcreatestherisk.

RiskAssessment

INTHISSECTION...

Ahazardissomethingwiththepotentialtocauseharm.

Riskisthelikelihoodthatahazardwillcauseharmincombinationwiththeseverityofinjury,damageorlossthatmightforeseeablyoccur.

Risk profiling is the process used, at a strategic level, to recognise the range of risks that threaten anorganisationalongwiththelikelihoodandprobablyimpactsofthoserisks.Riskprofilingtakesintoconsiderationthe risk management controls that are already in place so that their effectiveness can be assessed and furtherriskmanagementcontrolsidentifiedandprioritised.

Riskassessmentistheformalisedprocessofidentifyinghazards(associatedwithworkactivitiesandlocations),evaluatingriskandtheneithereliminatingorcontrollingthatrisktoanacceptablelevel.

Themainobjectiveofriskassessmentisthepreventionofaccidentsandillhealth.

Therearefivestepstoriskassessment:

Identifythehazards.

Identifythepeoplewhomightbeharmedandhow.

Evaluatetheriskanddecideonprecautions.

Recordthesignificantfindingsandimplementthem.

Reviewandupdateasnecessary.

Hazardscanbeidentifiedusingvariousmethodssuchastaskanalysis,legislation,manufacturers’information

andincidentdata.

Workers,contractors,visitorsandmembersofthepublicmustallbeconsideredintheriskassessmentprocess.

RiskcanbenumericallyscoredorratedusingasimpleRisk=Likelihood×Severitycalculation,wherelikelihoodandseverityareallocatednumbersonascale.

Iftheriskisunacceptable,thencontrolsmustbeintroducedtoeithereliminatehazardsorreducerisktoanacceptablelevel.Theriskthatremainsaftercontrolmeasureshavebeenintroducediscalledresidualrisk.

Riskcontrolscanbeselectedonthebasisofthegeneralhierarchyofcontrol:

elimination;

substitution;

engineeringcontrols;

administrativecontrols;and

personalprotectiveequipment.

Administrative controls include safe systems of work, permits to work and the provision of information,instruction,trainingandsupervision.

Safetysignsareusedtoconveyinformationandarecategorisedintofivemaintypes,allwithastandardshape,

colourandmeaning.Pictogramsshouldbeused,nottextalone.

Theemployermustsupplysuitablepersonalprotectiveequipmentwhennecessaryandmustensurethatitisused.

Legalstandardscanoftenbeusedtoindicatewhatlevelofriskisacceptable.

Assessmentsmustbereviewedaftersignificantchange,afteranincident,andperhapsperiodically.

Sometimesitisnecessarytofocusriskassessmentonavulnerablepersonorgroupofworkers,suchasyoungpersons,newandexpectantmothers,disabledworkersandloneworkers.

IntroductiontoKeyWordsandPhrases

Hazard

Thispartofthecourseisaboutriskmanagement.Beforelookingattheprocessesandideasinvolveditisimportanttobeclearaboutthemeaningofsomeofthewordsandphrasesused.

Hazardscanbebroadlyclassifiedas:

Physical–thingswhichcauseharmbecauseoftheirphysicalcharacteristics(e.g. electricity, work at height, radiation, vibration, noise, heat, trip hazards,movingmachineparts,vehicles).

Chemical – things which cause harm because of their chemicalcharacteristics(e.g.lead,mercury,sulphuricacid,silica,cementdust).

Biological–livingmicro-organismsthatcausediseaseandillhealth(e.g.hepatitisBvirus(HBV),Legionellabacteria(responsibleforLegionnaires’disease),rabiesvirus).

Ergonomic – stress and strain put on the body through posture andmovement (e.g. frequent repetitive handling of small boxes leading toinflammationofthetendonsintheelbowjoint).

Psychological–thingsthathavethepotentialtocauseinjurytothemind

ratherthanthebody(e.g.exposuretohighlytraumaticeventsthatcanleaveapersonunabletoadjusttoanormallifeaftertheevent,aconditionsometimesreferredtoasPost-TraumaticStressDisorder(PTSD)).

For example, a lorry moving around a site road is a physical hazard because it might run over a worker. Sodiumhydroxide(causticsoda)isachemicalhazardbecauseitisahighlyalkalinechemicalcapableofcausingcorrosiveburns.

Notethatahazardisthe‘something’thatcausestheharm.Ifanofficeworkerreceivesanelectricshockfromanitemof electrical equipment that has a damaged cord, then electricity is the hazard, not the damaged cord. It is electricitythat causes the harm; the damaged cord is the failure in the controls or preventive measures. If the cord were notdamagedthenthehazardwouldstillbepresent(electricityisstillrunningthroughtheequipment)butitwouldbeproperlycontrolledandtheelectricshockwouldnotoccur.

Risk

Risk can be described qualitatively using words such as ‘high’, ‘medium’ or ‘low’. Therewill always be some subjectivity involved since the words represent one person’s opinionoftherisklevel.Differentindividualshaveverydifferentpersonalitycharacteristicsandsotwopeoplemaydisagreeonthelevelofriskinherentinahazard.

Risk can also be defined quantitatively using hard data. This type of quantified riskassessmentisfarmorerigorousthanqualitativeriskassessmentandisbeyondthescopeofthiscourse.

RiskProfiling

The outcome of risk profiling will be that the rightrisks have been identified and prioritised for action, therightcontrolmeasureshavebeenidentifiedandimplementedandminorriskshavenotbeengivenadisproportionatepriority.

RiskAssessment

Risk assessment is a process that people do automatically all the time. When you cross the road you carry out arisk assessment; when you drive a car you carry out a risk assessment; when you boil a kettle you carry out a riskassessment.But,ofcourse,thisassessmentisnormallydoneveryquicklyandwithoutconsciousthoughtoreffort.Peoplewhoarenotverygoodatthisprocesstendtohaveaccidents.

Thereareoccasionsinnormallife,however,whenyoumightbecomemoreawarethatyouareassessingrisks.Ifyoulookafterveryyoungchildrenyouwillconsciouslythinkabouttheparticularhazardsthatpresentarisktoachild.

Ifyoustarttotakepartincertainsportsoractivities,suchasrockclimbingorscubadiving,youwillstarttoassessrisksinyourconsciousmindratherthandoingitautomatically.

Aworkplaceriskassessmentissimplyanextensionofthisautomaticself-preservationmechanismthathasbeenformalisedtomeetorganisationalrequirements.

RiskProfiling

The risk profile of an organisation refer to the range of risks that threatenthe organisation along with some recognition of the likelihood andprobably impacts should those risks occur. The risk profile takes intoconsiderationtheriskmanagementcontrolsthatareinplacesothattheireffectiveness can be assessed and further risk management controlsidentifiedandprioritised.

Each organisation will have its own risk profile. For example, a smallmetalworkingcompanymayundertakevarioustypesofweldingworkand therefore the risk associated with welding (such as fire and weldingfume exposure) will be relevant. A healthcare provider is unlikely toundertake welding so these risks will not be relevant. Instead there maybesignificantrisksassociatedwithhomevisitsandloneworking(suchaswork-relatedviolence).

Theriskprofileofanorganisationinformsallaspectsofitsapproach

to leading and managing health and safety. It isthe starting point for

determiningthesignificanthealthandsafetyissuesfortheorganisation.

Differenttypesofworkcarrydifferenttypesofrisk

Ariskprofileexaminesthe:

Natureandlevelofthethreatsfacedbytheorganisation.

Likelihoodofthoseadverseeffectsoccurring.

Levelofdisruptionandcostsassociatedwitheachtypeofrisk.

Effectivenessofcontrolsinplacetomanagethoserisks.

The outcome of risk profiling will be that the rightrisks have been identified and prioritised for action, therightcontrolmeasureshavebeenidentifiedandimplementedandminorriskshavenotbeengivenadisproportionatepriority.

Because the risk profile of an organisation informs every aspect of its approach to health and safety managementit is important that it is carried out at a strategic level within the organisation, for example, at board level. It should,therefore, involve input from directors and senior managers as well as competent health and safety practitioners(whomightneedtobebroughtinasexternaladvisers).

TheRiskProfilingProcess

Atheart,theprocessofriskprofilingisquitestraightforward.Itinvolvesidentifyinghealthandsafetythreatstothe organisation and then prioritising those threats on the basis of their likely impacts and their probability ofoccurrence.Thisprocesswillbebrieflydescribedhere.

Identifythehealthandsafetythreatsfacedbytheorganisation

A range of health and safety risks threaten all organisations. These risks are created by the nature of thework that the organisation does. They will include things such as work at height, vehicle movements, liftingoperations, manual handling, noise, ionising radiation and work-related violence. Many of these threats arediscussedinmoredetailinElements5to11ofthiscourse.Someorganisationswillhavejustafewofthese.Others will have all of the main health and safety risk covered and will have a range of special risks that areparticulartotheirtypeofwork(suchasanimalhandlingorgeneticallymodifiedorganisms).

Identifythehealthandsafetyimpactsandthebusinessimpactsthatmightresult

Eachthreatidentifiedwillhavealikelyhealthandsafetyimpactshoulditoccur.Forexample,ifanunprotectedworker falls from height itis likely to resultin a fatality. Ifworkers are engaged insignificant manual handlingtheymightbeinjuredbutthiswillmostlikelyresultinlosttimethatmightbereportableasanover-seven-dayinjury.Thesetwoimpactsareclearlyofadifferentscale.

Each threat will also have a likely business impact. This looks beyond the physical and health effect to look atthe impactonthe organisationasawhole. Forexample,awork-related fatalitywillinvolvean investigationbytheauthorities,massivebusinessdisruptingasadirectconsequence,thepotentialforverydamagingpublicityand a catastrophic drop in worker morale. These impacts can go on for weeks, months and sometimes yearsresultinginenormousdirectandindirectfinancialdamagetotheorganisationsrevenues.

Identifyhowwelleachthreatiscurrentlycontrolled

The reality is that many organisations will already have a lot of control measures in place to minimise thelikelihood of these threats and reduce their impacts should they occur. These control measures must beconsidered duringthe riskprofilingprocess toensurethat wellcontrolledthreats arenotgiven disproportionateattention.

Identifythelikelihoodofeachthreatoccurring

One way toidentify thelikelihood ofeach threatoccurring isto thinkabout thetimescale overwhich thatthreatmight happen, given the control measures in place. For example, in an organisation that does a lot of work atheight, butwherethecontrol measuresareverywell implemented,thelikelytimescale overwhichafallfromheight might happen could be between one and five years. In another organisation that does a lot of manualhandling,thatisnotwellcontrolled,thelikelytimescaleforamanualhandlinginjurymightbewithindaysorweeks.

Identifythepriorityofeachthreat

The last step of the process is to prioritise the identified threats. This involves ordering them in terms ofimportance based on all of the information that has been described above. The intention is to recognise thethreatsthatwillhavethemostsignificantimpacts,butthatarenotcurrentlywellcontrolled,sothattheyreceivethetimeandattentionthattheydeserve.Whileensuringthatthreatsthatwillhavelittleimpact,orthatarealreadywellcontrolled,donotreceivedisproportionateattention.

Inthecontextofhealthandsafetymanagement,riskprofilingisconcernedwithhealthandsafetyrisks(such

as death or serious injury from machinery operation). However, in the context of business risk management, riskprofiling will be concerned with all of the risks that threaten the assets and revenues of an organisation. Some ofthesebusinessriskswillbehealthandsafetyrelated(suchaspersonalinjuryandfire)butmanywillnotbe(suchasproductrecall,contractionofnationaleconomyandcompetitioninthemarketplace).

ThePurposeofRiskAssessment

Riskassessmentifoftenalegalrequirement.Forexample,inBritainandtheEU,thereisastatutorydutyonemployerstocarryoutandrecordgeneralriskassessmentsforallworkactivities.

Specifichealthandsafetylawoftenrequiresthatsomesortofspecificriskassessmentiscarriedout.Thesespecificrisk assessments focus solely on one type or category of hazard covered by the legislation. For example, in Britainthe Control of Substances Hazardous to Health (COSHH) Regulations require an assessment of the risk tohealthofexposuretohazardoussubstances.

OtherGBexamplesinclude:

fireriskassessmentrequiredundertheRegulatoryReform(FireSafety)Order2005;

noiseassessmentsrequiredbytheControlofNoiseatWorkRegulations2005;and

DisplayScreenEquipment(DSE)workstationassessmentrequiredbytheHealthandSafety(DSE)Regulations1992.

In each case, a topic-specific risk assessment is required because of thetechnical nature of the hazards and the need to focus exclusively on thatonehazardtypeinordertoensurethattherisksareadequatelymanaged.

Incontrast,theriskassessmentmethodoutlinedhereisnothazard-or

topic-specificandsocanbereferredtoasageneralriskassessment.

Theaimofriskassessmentistoensurethathazardsareeliminated,orrisksminimised,bythecorrectapplicationofrelevantstandards.

Theobjectivesofriskassessmentaretoprevent:

Deathandpersonalinjury.

Othertypesoflossincident.

Breachesofstatutelaw,whichmightleadtoenforcementactionand/orprosecution.

Thedirectandindirectcoststhatfollowonfromaccidents.

Theseobjectivesrelatedirectlytothemoral,legalandfinancialarguments

wediscussedinElement1.

Themainobjectiveofriskassessmentisthepreventionofaccidents

ASuitableandSufficientAssessment

Ariskassessmentshouldbe‘suitableandsufficient’.Inotherwords,itshouldbegoodenoughtofulfillegal

requirementsandpreventforeseeableinjuriesandillhealthfromhappening.

Toexpandonthislastpoint;theassessmentshouldbeproportionatetotherisksintheworkplace.Inotherwords:

A low-riskworkplacewitha fewstraightforward,oftenpredictablehazards (e.g.aretailshop) shouldhavea relatively simple risk assessment carried out by a competent person (perhaps the manager) that makesreferencetosomebasicguidancedocuments.

Ahigh-riskworkplace(e.g.achemicalworks)shouldhaveafarmorecomplexriskassessmentcarriedoutbycompetentpersons(PhDindustrialchemists,etc.)usingdetailed,complexreferencematerial.

Thefirstassessmentmighttakeafewhourstocomplete;thesecondmighttakeweeks.

TheFiveStepsofRiskAssessment

Riskassessmentcanbedescribedasa5-stepprocess:

Identifythehazards.

Identifythepeoplewhomightbeharmedandhow.

Evaluatetheriskanddecideonprecautions.

Recordthesignificantfindingsandimplementthem.

Reviewandupdateasnecessary.

Step1–IdentifytheHazards

Thefirststepintheriskassessmentprocessistoidentifyallthesignificanthazardsassociatedwiththework.

As discussed earlier, hazards are the things with the potential to cause harm. It is important to identify both thesafetyhazardsthatmightgiverisetoimmediatephysicalinjury,andthehealthhazardsthatmightcausediseaseorillhealth.

SafetyHazards

Therearemanyhazardsthatarecapableofcausingimmediatephysicalinjury:

Workatheight.

Stackedmaterials.

Movingvehicles.

Manualhandlingoperations.

Movingpartsofmachinery.

Electricity.

Toxicorcorrosivechemicals.

Deepwater.

Anakedflame,e.g.litpropanetorch.

Animalssuchasdogs.

Violent people.

HealthHazards

Somehazardscancauseoccupationaldiseaseorill-healthconditions.

This can follow a single event (such as a needlestick injury infectingaworkerwiththehepatitisvirus),butmoreoftenoccursasaresultofprolonged exposure to the hazard over a period of weeks, months oryears.Thesehealthhazardscanbecategorisedintofivegroups:

Physical,e.g.radiation,vibration,noise,extremesoftemperature,etc.

Chemical,e.g.lead,mercury,sulphuricacid,silica,cementdust,etc.

Biological,e.g.HBV,Legionellabacteria(responsibleforLegionnaires’disease),rabiesvirus,etc.

Ergonomic,e.g.veryrepetitivemovement,stooping,twisting,manualhandling,etc.

Psychological,e.g.stressandtrauma.

InformationSources



Exposuretoexcessivelyloudnoisecanhavearangeofeffects

Health and safety can be surprisingly complex. There is a wealth of information available which may need to beconsultedduringtheriskassessmentprocess.Thisinformationcomesfromtwoprincipalsources:thoseinternalandthoseexternaltotheorganisation.

InternalInformationSources

Internalinformationsourcesgiveaninsightintothenatureofahealthandsafetyissueatalocal,organisationallevel.Internalsourcesinclude:

Accidentrecords.

Ill-healthdata/absencerecords.

Medicalrecords.

Riskassessments.

Maintenancerecordsandreports.

Safetyrepresentativeinspections.

Auditandinvestigationreports.

Safetycommitteemeetingminutes.

Forexample,anorganisation’saccidentrecordscangiveaninsightintothefrequencyandseverityofmanualhandlinginjuriesthatcanthenbeusedtotailorpreventiveandcontrolmeasuresintheorganisation.

ExternalInformationSources

External information sources are useful not only because they give aninsightintostandards,butalsobecauseofthe‘biggerpicture’thatcanbegained.Externalsourcesinclude:

Nationallegislation(e.g.regulations).

ApprovedcodesofpracticeandguidancenotespublishedbytheHSE

andotherauthorities(suchasfireauthorities).

StandardspublishedbytheBritishStandardsInstitution(BSI)orEuropean and international authorities such as the InternationalOrganizationforStandardization(ISO).

Manufacturers’informationsuchasoperatinginstructionsforplantandmachinery,andmaterialsafetydatasheetsfromchemicalsuppliers.

Tradeassociations,suchastheChemicalIndustriesAssociation(CIA).

Safetyjournalsandmagazines.

Internationalbodiesandagencies,suchastheEuropeanUnion(EU)andInternationalLabourOrganization(ILO)whichsetinternationallaw.

Tradeunionsforaparticularindustryorsector(e.g.firebrigadeunion).

Charitiesornot-for-profitorganisationsthathaveaninterestinaparticulartypeofworkplaceorworkactivity

(e.g.SuzyLamplughTrust)andloneworking.

Forexample,asmallorganisationmaynotfullyappreciatethehazardsandrisksinherentinaworkactivity,suchas work at height, because that activity has been carried out by the organisation without incident over manyyears. However, reference to the national statistics relating to work at height may change the perspective of theorganisationbyrevealingthefullextentofthefrequencyandseverityofinjuryonanationalscale.

HazardIdentificationMethods

Therearevariousmethodsthatcanbeusedinhazardidentification,suchastaskanalysis,referencetolegal

guidance,manufacturers’informationandincidentdata.

TaskAnalysis

This is a useful method for identifying hazards, since it allows hazards to be spotted before work starts,ratherthanaftertheworkhasstarted.Taskanalysisinvolvesbreakingajobdownintocomponentstepsand

identifyingthehazardsassociatedwitheachstep,sothatthesafeworkingmethodcanthenbeestablishedtodeal with each hazard. This can be done before work starts as part of the planning process, and is how safesystemsofworkaredeveloped.

Legislation

Knowledgeofthelegalstandardsthatapplytoaparticularworkplacewillhelpenormouslyinidentifyingsignificant hazards.Forexample,knowledgeofthelawrelatingtoworkatheight willallowacompetentassessor to identify which tasks might be defined as work at height and which can be ignored. Legislation isoftenaccompaniedbyguidancedocuments,whichcanalsobeveryusefulintheidentificationofhazards.IntheUK,forexample,guidancedocumentsexisttospelloutallthehazardsthatexistinengineeringworkshops.

Manufacturers’Information

When a new item of plant, machinery or equipment is purchased it usually comes with an instructionbook,whichcontainsinformationaboutalltherelatedhazardsandinstructionsforsafeuse,cleaningand

maintenance.Similarly,whenanewsubstanceispurchaseditcomeswithlabelsandasafetydatasheet,which

clearlyidentifiesthehazardsofthesubstance.

IncidentData

Internal accident and near-miss data can be useful in identifying hazards. The main limitation here is that ahazard may be very significant but may not yet have caused harm in the organisation and may therefore gounnoticed.Externaldata,suchasnationalstatisticspublishedbytheauthorities,canbemoreusefulsincetheyidentifytherealhazardsandrisksbasedonamuchlargerpopulationsize.

Remember that a risk assessment is a tool for identifying all of the significant hazards that exist in a workplace – allthe things that have the potential to cause harm. It is not a tool for only identifying those hazards that are poorlycontrolled.So,forexample,inanewofficewithmoderncomputerscreensandkeyboards,wheresomeonehasleftapile of boxes in front of a fire exit door, the hazards are electricity, use of DSE, fire and poor housekeeping – not justthe pile of boxes in front of the fire exit door, because that would ignore all the other hazards that exist in the office.Inanoffice,youarearguablyatfargreaterriskfromdeathbyelectricshockthandeathbyboxesleftinfrontofafireexitdoor.Thefirstassessmenttakestheelectricalhazardintoaccount,thesecondignoresitandthereforefails.

Step2–IdentifythePeopleatRisk

Whenidentifyingpeopleatrisk,thinknotonlyofthosecarryingoutparticularactivitiesbutalsoofthosewhomay

beaffectedbythoseactivities.Individualsdonotneedtobenamed;rathergeneralgroupsorpopulationsidentified:

Workers/operators – may be directly involved with the activity, working nearby or passing by. Some hazardscreate risk only for the worker carrying out the work (e.g. a worker up a ladder is at risk from falling) while otherscreate general risk for all employees (e.g. a vehicle traffic route that all employees may have to cross in order toreachastaffcarpark).

Maintenance staff – are often involved in the removal of the usual safeguards present in the workplacebecause of the nature of maintenance work (e.g. the lift engineer who has to climb onto the top of a liftcarriage in the lift shaft, or the engineer who has to remove machine guards to repair a breakdown). If thenormalsafeguardsarebeingremovedorbypassed,thenrisktotheseworkersincreasesandothermethodshavetobefoundtocontrolthisrisk.

Cleaners–maybeexposedtogreaterriskbecausecleaningworkmayinvolvetheremovalofsafeguardsoradditional activities that create additional risk (e.g. window cleaning from an access cradle). Many cleanersalsoworkalone,outsidenormalworkinghours,andthereforeloneworkingbecomesanissue.

Contractors – may be carrying out work independent of the work being carried out by employees, or may beworkingalongsideemployees.Theworkplacecreatesrisksforthesecontractorsandthecontractorscreaterisksfortheworkplace.Alltheseriskshavetobeconsideredthroughtheriskassessmentprocess.

Visitors–totheworkplacemaynotbeworkingbutarestillexposedtocertaintypesofrisk(e.g.fire).

Members of the public – may simply be in the vicinity of the workplace, yet still affected by certain types ofhazard.Forexample,areleaseoftoxicchlorinegasfromanindustrialsitewillaffectpassersbyandthosewholive near the site. In some instances, trespassers (uninvited visitors) may get onto the site. This is particularlyimportant with regard to the possibility of children coming onto the premises (e.g. playing on building sites, ornearrailwaylines).

In certain instances, identifying general groups of people who might be harmed by hazards is inadequate and amore specific focus has to be applied to a particular person, or type of person, who is more vulnerable for onereasonoranother.Youngpeople,newandexpectantmothers,disabledworkersandloneworkersareallspecialcases(seelaterinthiselement).

Step3–EvaluatetheRiskandDecideonPrecautions

Havingidentifiedaparticularhazardandthepeoplewhomightbeharmedbyit,thenextstepintheriskassessmentprocessistoanswerasimplequestion:is thelevel of risk generated by thehazard acceptable, or does it needto bereduced?

Thequestionmaybesimple,buttheanswercanattimesbecomplex.

Likelihood,SeverityandRiskRating

Riskisacombinationofthelikelihoodthatahazardwillcauseharmandtheforeseeableseverityofinjury,shouldharmoccur.

Whilesomehazardscreaterisktosafety,i.e.immediatephysicalinjury,manyhazardscreateriskstohealth.Forexample,manychemicalscreatehealthrisks.Thesehealthrisksmaybeacuteorchronicinnature.

Acute health effects are short-term effects often experienced immediately after exposure to the hazard. Forexample,exposuretohighlevelsofcarbonmonoxidegaswillcauseimmediateunconsciousnessfollowedbydeathwithinafewminutes.

Chronichealtheffectsarelong-termeffects.Theseoftenoccurasaresultofroutineexposuretothehazard.Forexample, noise-induced hearing loss can occur as a result of frequent exposure to excessively loud noise overmonthsoryears.

Risk can be qualitatively described using words such as ‘very high’, ‘high’, ‘medium’, ‘low’ or ‘insignificant’. Theproblemwiththeseorsimilarwordsisthattheymeandifferentthingstodifferentpeople,andsotheyarenotusedconsistently.

An alternativeapproachthatis commonlyadoptedisto breakriskdowninto itstwocomponentparts anddefine

eachseparately:

Risk=Likelihood×Severity

Bysimplyassigninganumberscoretoeachworditispossibletocalculateanumericalriskratingforaparticularhazard.Forexample:

Likelihood

Severity

1=extremelyunlikely

1=veryminorinjury

2=unlikely

2=first-aidinjury

3 = possible

3=lost-timeinjury

4=likely

4=hospitaltreatment

5=veryprobable

5=disablinginjury

Usingthisscoringsystem,thenumericalriskratinggeneratedbyatrailingelectricalcordpositionedacrossabusycorridormightbecalculatedas5×4=20(veryprobable×hospitaltreatment).

Thesameelectrical cordtrailing onthe floorclose tothe rearwall ofararely visitedplant roommight berated as

1×4=4(extremelyunlikely×hospitaltreatment).

Note that in both instances the severity of injury is the same. This will sometimes be the case when the samehazardisbeingconsidered,butnotalways.Forexample,putthetrailingcordinacarehomefortheelderlyandtheforeseeable injury becomes more severe simply because the elderly have brittle bones and suffer severe injurieswhentheyfallover.

There is no one right or wrong way to calculate the risk. Different organisations use different numbers anddescriptionsoflikelihoodandseverity.Itisthegeneralprinciplethatisimportanthere,nottheexactwordsandmeanings.

Riskassessmentmatrix

Thegraphicdemonstrateshowrisklevelscanbecategorisedusingnumbersandcolourcoding.Inthisexample,

greenidentifiesalowriskandredidentifiesahighrisk,andintermediaterisksareshowninbetween.

Usinganumericalriskratingsystemsuchastheexampleshownabovecanbeusefulforseveralreasons:

Clarityofthinking– people tend to think more carefully about likelihood and severity of foreseeable injurywhentheyareaskedtousethistypeofscoringsystem,andsoitgivesamoreaccurateendresult.

Consistencyofapproach–differentpeoplecanusethissystemandwillgetsimilarresults.

Prioritisation–sinceriskisnowrepresentedbyanumber,andthehigherthenumberthegreatertherisk,itispossibletoeasilyseparateoutthevariousriskspresentedbyseveralhazardsandranktheminorder.

GeneralHierarchyofControl

When hazards are identified through the risk assessment process, it is necessary to decide on the precautionsneededtocontrolthosehazardstoanacceptablelevel.Thisisthemostimportantpartoftheriskassessment–identifyingthefurtheractionthatisneededandtakingthataction.

When tryingtodecidewhatfurtherprecautionsmightbeappropriatetoaparticularsituation,auseful approachcanbetouseariskcontrolhierarchy.

Thecontroloptionsexplainedabovearesetoutasahierarchy:eliminatingthehazardisthepreferredoption,sincethe risk associated with that hazard is then also eliminated. If this is not possible, the next best option should beconsidered:substitutethehazardwithsomethinglesshazardous.Ifthiscannotbedone,thenengineeringcontrolsshouldbeconsidered.TheleasteffectiveoptionsaretorelyonadministrativecontrolsandPPE.

You will remember that human factors have a part to play in effective health and safety management, so it makessensethatatechnicalengineeringcontrolwillbemoreeffectivethanaproceduraladministrativeone,andthataproceduralcontrolwill,inturn,bemoreeffectivethanonethatreliesonbehaviour(e.g.wearingPPE).Inthisway,we can think of the various control options as a hierarchy, where controls at the top of the hierarchy are the mosteffectiveandthoseatthebottomaretheleasteffective.

Eachstepofthehierarchyisoutlinedinthefollowingsection.

Elimination

If a hazard can be eliminated, then the risk created by that hazard disappears. This might be done by completelyavoiding an activity that gives rise to risk. For example, an assembly workshop could stop welding steel in ordertoavoidtherisksinherentinweldingoperations,andcouldbuyinpre-fabricatedmetalcomponents.Theobvious

limitation tothis approachisthat itis notpossibleto applyitto mostof theactivitiescarried outin theworkplace.Inthiscase,itmaybepossibletoeliminateoneormorehazardsinherentinanactivity.

For example, hazardous substances can sometimes be replaced with materials that do the same job but presentnorisktohealth(i.e.theyarenon-hazardous).Liftingequipmentsuchashoistsandliftscanbeusedtocompletely

eliminatemanualhandling.Machinerycanbepurchasedthatgenerateslessnoisetosuchanextentthatthereisnoriskofhearingdamage.

Substitution

Sometimes, hazard elimination cannot be achieved, but it is possible to substitute one hazard with another thatcreateslessrisk.Forexample,onehazardoussubstanceclassifiedas‘toxic’(i.e.lethalinsmalldoses)issubstitutedwith one that is ‘irritant’. The replacement substance is still hazardous, but far less hazardous. A handling aid suchas a sack truck does not eliminate manual handling, but it does reduce the risk of injury associated with movingboxesaroundinaworkplace.

EngineeringControls

Engineeringcontrolsinvolvetheuseofanengineeringsolutiontopreventexposuretothehazard.Thismightbedoneby:

Isolationortotalenclosure–theaimhereistoisolatethehazardphysicallysothatnobodyisexposedtoit.This might be done by total enclosure or containment of the hazard (e.g. total enclosure of a process whichgeneratesdusttopreventitsescape,acousticenclosureofanoisymachinetoreducethenoiseexposureofthosenearby,orguardsaroundmovingmachinerytopreventcontact).

Separation or segregation – simply placing the hazard in an inaccessible location. An example would beoverheadcableswhereanelectricalconductorhasbeenplacedoutofreach.Inthiscase,precautionshavetobetakentoensurethatsafedistancesaremaintainedatalltimes(e.g.theuseofgoalpoststowarnplantoperatorsonaconstructionsiteofthesafetydistancesforliveelectricaloverheads).

Partialenclosure–forexample,ahazardoussubstancemightbehandledinafumehoodorpartialenclosurewhich the worker can reach into for handling purposes. Air is extracted from the top or back of this partialenclosuresothatanyairbornecontaminantisextractedfromtheenclosureawayfromtheworker.

Safety devices and features that ensure that the item is used in the correct way and not an unsafe way. Forexample,interlockswitchesarefittedtomovableguardsonmachinerytoensurethat,whentheguardisopen,themachinewillnotoperate(butwhentheguardisclosed,itwill).

AdministrativeControls

Administrativecontrolsarethosethatrelyonproceduresandbehaviour,suchas:

Safe system of work – this is a formal procedure which defines a method of working that eliminates hazardsorminimisestherisksassociatedwiththem.Safesystemsofworkarenecessarywheneverhazardscannotbephysically eliminated and some element of risk remains. This applies to any task involving significant risk. So,there is a specified routine for setting and detonating explosives in a quarry. The safe system is essential toprevent accidents or other incidents. Certain high-risk work activities may be controlled by a permit-to-worksystem(describedlater)asapartofthesafesystemofwork.

Reduce exposure – if the degree to which a worker is exposed to a hazard can be reduced, then that worker isfar less likely to have an accident with that hazard. For example, an engineer who spends all day working onmachinery with hazardous moving parts is more likely to suffer injury than an engineer who only spends onehouroftheirworkingdayexposedtothesamehazard.Thedurationofeachexposure(e.g.for10minutesorfor8hours)andthefrequencyofexposure(e.g.onceaweekor10timesaday)willbothplayaparthere–thelesstimeandthelowerfrequently,thebetter.

Reduce time of exposure – many health hazards in the workplace cause a degree of harm that is entirelydependentonthedosethataworkerreceives(e.g.theharmcausedbynoise,vibration,radiationandmosthazardouschemicals(suchaslead)).Thedoseisdeterminedbytwoprincipalfactors:

Theconcentration,intensityormagnitudeofthehazardpresent.

Thetimeofexposure.

Forexample,theharmtohearingcausedbyexposuretoloudnoiseisentirelydeterminedbythenoiseintensity(measuredindecibels)andthedurationofexposure:

Ifyouareexposedtothesamenoiseintensityfortwiceaslong,itgivesyoutwicethedoseofnoise;ifyouareexposedforhalfaslong,itgivesyouhalfthedose.

Thedoseofnoisedeterminesthedegreeofdamagedone:thegreaterthedose,themoreharmdone.

In all of the cases where harm is dose-related, limiting the time of exposure is an important control measure thatcanbepracticallyusedintheworkplace.

Information,instruction,trainingandsupervision–trainingisinstrumentalinenablingemployeestobecomecompetent. A competent employeeis equipped withall relevant informationand is fullyaware of thehazardsandtheuseofappropriatepreventivemeasures.

One way that an employer might provide basic health and safety information is through the use of safety signs(seebelow).

Supervision – refers to management routinely checking workers and exercising their authority to controlbehaviour.Supervision,whichisofcriticalimportanceasamanagementcontrol,doesnotnecessarilymeanconstant oversight of workers and the workplace. It is possible to supervise workers by making occasionalcontactwiththematsuitableintervalsthroughoutaworkingperiodanditispossibletosuperviseworkersremotely(i.e.fromadistance).

TOPICFOCUS

SafetySigns

Safety signs combine shape, colour and pictograms to convey specific health and safety information orinstructions.Whilethereareregionalvariations,thestandardsafetysignsaredividedintofivecategories:

Prohibition –directedatstoppingdangerousbehaviour,e.g.‘Nosmoking’.Thesignsarecircularwithablackpictogramonawhitebackgroundwitharedborderandreddiagonalcrossbar.

Warning–tellpeopletobecarefulofaparticularhazard,e.g.‘Forklifttrucksoperatinginthearea’.Thesignsaretriangularwithablackpictogramonayellowbackgroundwithablackborder.

Mandatoryaction–instructpeopletotakeaspecificaction,oftenrelatingtowearingpersonalprotectiveequipment,e.g.‘Eyeprotectionmustbeworn’.Theyarecircularwithasolidbluebackgroundandawhitepictogram.

Safecondition–identifysafebehaviourorplacesofsafety,e.g.‘First-aidstation’.Theyarerectangularorsquarewithawhitepictogramonagreenbackground.

Fire-fightingequipment–identifyparticularitemsofequipment,e.g.‘Hosereels’.Theyarerectangularorsquarewithawhitesymbolorpictogramonaredbackground.

Prohibition

NoUnauthorisedEntry

WarningToxicMaterial

Mandatory

Safety Boots MustBe Worn

Safe ConditionEmergencyEscapeRoute

Fire-Fighting EquipmentHoseReel

Examplesofsafetysigns

Pictogramsmustbeusedonthesigns,notjusttext.Thisistoovercomeanylanguagebarrierthatmightbe created if text alone were used (as a result of illiteracy, learning difficulties, language or certaineyesightimpairments).

It is important to recognise that workers may not know the meaning of the safety signs in use in aworkplace(someareobviousbutothersnot)andthereforesafetysignsmustbeincludedininductionorjob-specifictraining.

PersonalProtectiveEquipment(PPE)

Thereareinstanceswherenoneoftheabovecontrolmeasurescanbeusedandtherearetimeswhensomeofthemcan but residual risk still remains. If this is the case, then it may be necessary to use PPE. Many different types ofPPEareavailable,suchas:

Eardefendersfornoise.

Glovestopreventcontactwithsubstanceshazardoustotheskin.

Respiratoryprotectionagainstsubstanceshazardousbyinhalation(breathingin).

Eyeprotectionagainstsplashesofchemicalsandmoltenmetals,mists,spraysanddusts,projectilesandradiationincludinglaserlights.

ThebenefitsandlimitationsofPPEaresummarisedinthetablebelow:



WorkerwearingvarioustypesofPPE

WhyaHierarchy?

Thecontrolsoptionsexplainedabovearesetoutasahierarchy:eliminatingthehazardisthemostpreferredoptionand PPE the least preferred. The reason for this relates directly back to the human factors we discussed earlier inthiselement.

Workers do not behave in an ideal way in the workplace – they break rules knowingly and are subject to humanerror.AdministrativecontrolsandPPEareveryreliantonpersonalbehaviourandthereforearelikelytobetheleasteffectiveofallofthecontroloptions.

ILO-OSH2001referstotheabovehierarchyofpreventiveandprotectivemeasures,andalsostatesthathazardpreventionandcontrolproceduresorarrangementsestablishedshould:

beadaptedtothehazardsandrisksencounteredbytheorganisation;

bereviewedandmodifiedifnecessaryonaregularbasis;

comply with national laws and regulations, and reflect good practice; and

considerthecurrentstateofknowledge,includinginformationorreportsfromorganisations,suchaslabourinspectorates,occupationalsafetyandhealthservices,andotherservicesasappropriate.

UseofGuidanceandLegalStandards

Thenumericalriskratingsystem(Risk=Likelihood×Severity)describedearlierisveryusefulasapracticaltoolfortheday-to-daymanagementofriskinafast-changingworkplace.Itallowsforasimpleandconsistentapproachtothemanagementofriskandthedecision-makingprocess.However,theonethingthatthissystemdoesnot

considerislegalstandards.Ifthereareclearlegalstandardsaboutthecontrolsthatshouldbeappliedtoaparticularhazard in a workplace, then the use of a scoring system and risk prioritisation and timescales, etc. becomes largelyredundant.Theonlyquestionthatreallymattersis:arewedoingwhatthelawrequires?

If there is no clear legal standard, or where the legal standard is open to interpretation, there may still be guidancepublished by the authorities that clearly identifies the controls that are expected. Reference to the law, any semi-legalcodesofpractice,andguidancepublishedbyenforcementagenciesisthereforeimportantindeterminingwhattheprecautionsshouldbeforaparticularhazardintheworkplace.

Residual,AcceptableandTolerableRisk

Oncecontrolmeasureshavebeenintroducedandaretakenintoaccount,thecurrentrisklevelcanbeestimatedusinglikelihoodandseverity.

Theriskthatremainsoncetheseneworexistingcontrolshavebeentakenintoaccountiscalledtheresidualrisk:

Iftheresidualriskislowthenitmightbeconsideredacceptable–theexistingcontrolsareadequate.Nothing

moreneedbedone.Ineffect,theriskassessmenthasconfirmedthatthecurrentsituationisacceptable.

Iftheresidualriskishigh,adecisionhastobemadeaboutwhetherthisresidualriskistolerableor

unacceptable:

Tolerable implies that it is not acceptable but it can be tolerated for a short time while interim controls areputintoplace.

Unacceptableimpliesthat therisk levelis toohighfor workto beallowed tocontinue.

Inthecaseofbothtolerableandunacceptablerisk,additionalcontrolswillneedtobeputinplacetoreducetheriskdowntoanacceptablelevel.Oncethesecontrolshavebeenimplementedanewresidualriskleveliscreated.

PrioritiesandTimescales

A straightforward linkcan bemade betweenthe levelof riskassociated with aparticular hazardand theprioritisationofthathazard:thehighertherisk,thehigherthepriority.

You might also assume that a high risk demands a short timescale for corrective action and a low risk can beallowedtopersistforalongerperiodoftime,buttheproblemwiththissimplelinkisthataninspectormightnotaccept that a long timescalecould be applied toa simple, low-cost remedy; itshould be implemented immediatelybecauseitiseasytodoimmediately.

So, priority and timescale are linked but they are not the same thing. Priority is the relative importance or urgencyofanissueandwillusuallybelinkedtotherisklevel.Timescaleisthelengthoftimegivenforcorrectiveactionandmustbedecidedbasedontherisklevel,cost,practicaldifficulty,etc.ofthecontrolmeasure.

Step4 – Record Significant Findings and Implement

Thesignificantfindingsofariskassessmentshouldberecordedtoprovidea statement of the hazards in the workplace, the extent of the risks thattheypresent,andtheactiontakentocontrolthoserisks.

Thereisnostandardformatforriskassessments,sodifferentorganisationscan adopt a format that is most appropriate to their circumstances. Typicalcontentwouldinclude:

Identificationoftheactivity/areaassessedandofthesignificant

hazards.

Identificationofgroupsatriskandthoseespeciallyatrisk.

Evaluationoftherisksandtheadequacyofexistingcontrolmeasures. Atypicalriskassessmentform

Actionplansforimplementingfurtherprecautionsneeded.

Dateofassessmentandnameofthecompetentpersoncarryingouttheassessment.

Reviewdate.

Step5–ReviewandUpdate

Ariskassessmentmustbereviewedandamendedasnecessaryifthereisreasontosuspectthatitisnolonger

validoriftherehasbeenasignificantchange.

SpecialCasesandVulnerableWorkers

Therearetimeswhenariskassessmenthastofocusononeperson,oronespecificgroupofworkers,becausethey

aremorevulnerabletoparticularhazards(ormoreatrisk).

YoungPersons

Ayoungpersonisoftendefinedbylocallaw(e.g.intheUKayoungpersonisanyoneundertheageof18years).

Thereareseveralreasonswhyayoungpersonmightbemorevulnerabletoriskinaworkplace:

Lackofexperienceinworkplacesingeneral.

Physicaland,perhaps,mentalimmaturity.

Poorperceptionofrisk.

Heavilyinfluencedbypeergrouppressure.

Eagertoshowawillingnesstowork.

Lessdevelopedcommunicationskills.

Forthesereasons,youoftenneedtothinkmorecarefullyabouttheworkthatayoungpersonisdoing.Itmaybenecessaryto:

Carryoutriskassessmentsspecificallywithyoungpersonsinmind.

Prohibitayoungpersonfromcarryingoutcertainhigh-riskactivities(e.g.operatingcomplicatedmachinery).

Restrict theirworkpatterns andhours(nonight-shift workorovertime).

Trainandsupervisethemmorethanotherworkers.

Providementorstomonitorandsuperviseyoungpersonsmorecloselythanotherworkersandtoprovideclearlinesofcommunication.

Providespecifichealthsurveillance.

NewandExpectantMothers

Pregnantwomenandnewmothers(whilebreastfeeding,orforthefirstsixmonthsaftergivingbirth)aremoreatrisk from certain types of hazard. In most of these instances, the hazard presents a risk not only to the woman butalsotothebaby.Manyofthesehazardscancausemiscarriage,birthdefects,orillhealthinthebaby.Consequently,newandexpectantmothersareoftenpickedoutbylocallawwhichrequiresthattheybegivenspecialconsiderationthroughtheriskassessmentprocess.

Inallcaseswhereawomanreportsthatsheispregnant,ariskassessmentshouldbecarriedoutfocusingontheworkthatsheisdoingandthehazardsthatmightincreaserisktoherandthechild.Itmaythenbenecessaryto:

Change thetypeof workortheway thatitis done.

Changethehoursofwork.

Suspendthe woman from theworkplace.

These optionsareusuallysubjectto localstatutelaw,andrememberthat therewillusuallybeothergeneralemployment and anti-discrimination legislation that shouldbe considered, not just health andsafety law.

DisabledWorkers

People with disabilities may be at greater risk from particular hazards, depending on the nature and extent oftheirdisability.Forexample,avisually-impairedworkermaybeabletocarryoutapackagingoperationattheir

workstationwithoutanyrisktothemselvesorothers,buttheymayfinditverydifficulttoevacuatefromthebuildingduringafireusinganescaperoutethatisunfamiliartothem.Inthisinstancetheymayneedsomeassistanceintheformofan‘evacuationbuddy’(assistant).

Duringtheriskassessmentprocessitmaybenecessaryto:

Identifycertainhealthandfitnesscriteriaforsomejobsandthenevaluatestaffagainstthesecriteria.Thismayresult in those with a certain disability being excluded from doing these jobs (e.g. forklift-truck drivers shouldhavetheireyesightcheckedbeforebeingallowedtodrive).

Identifyworkerswithknowndisabilitiesandconsiderwhattheimplicationsoftheirparticulartypeandlevelofdisabilitymightbe.

Again,rememberthatthereisusuallyotheremploymentandanti-discriminationlegislationthatshouldbeconsideredatthesametimeasanyrelevanthealthandsafetylaw.

LoneWorkers

Peoplewhoworkentirelyontheirownforperiodsoftime,orthosewhoarenotalonebutarenotwithcolleaguesonwhomtheycanrelyonforhelp,mightbeclassifiedasloneworkers.Forexample,aserviceengineerwhospendsfour hours alone in a plant room servicing machinery is a lone worker, but so is a healthcare worker who travelsaround in the local community visiting elderly patients to provide care (even though they may be in sight of otherpeopleatalltimesduringtheirworkingday).

Loneworkersareagroupofworkerswhoareespeciallyvulnerableincertaininstances:

Theymaybemoreatriskofviolence,particularlyiftheworkerisexposedtomembersofthepublic,hastotraveloutintothe

community,orisinvolvedinworkthatbringsthemintocontactwithviolentpeople(e.g.inprisonsormentalhealthinstitutions).

Theymaybemoreatriskiftheyareinjuredorfallill.Certaintypesofwork involve a high risk of personal injury or ill health (e.g. confinedspace entry). In these situations, lone working may be inappropriateor additional precautions may be necessary to protect the individual.Wewilldiscussprecautionsthatmightbeadoptedtosafeguardloneworkersinmoredetaillaterinthiselement.

TheprecautionsthatmightbeadoptedtosafeguardloneworkersarecoveredinmoredetailinElement5.

STUDYQUESTIONS

Whyisthedistinctionbetweenhazardsandriskssoimportanttohealthandsafetymanagement?

Whatisthepurposeofriskassessment?

Whattechniquesareusedforidentifyinghazards?

Identifytwointernalandtwoexternalsourcesofinformationabouthealthandsafety.

Whatarethefivecategoriesofhealthhazard?

Whatarethefivestepsinvolvedinriskassessment?

Apart from office workers, what particular people or groups might require special consideration during ariskassessmentinanofficeenvironment?

Whattwofactorsareusedtoestimaterisk?

Whatisresidualrisk?

Whatisthegeneralhierarchyofcontrol?

Whatconditionsmighttriggerariskassessmentreview?

Whattypeofsignisrepresentedbythefollowingpictograms?

(a)

(b)

(c)

(d)

WhenshouldPPEbeused?

(SuggestedAnswersareattheend.)

TheManagementofChange

INTHISSECTION...

Variouschangescanhaveanimpactonhealthandsafetyatwork.Thisincludestemporaryworkssuchasshort-termbuildingprojectsandchangestoworkprocess,equipmentandprocedures.

Thecontrolmeasuresforthemanagementofchangeincluderiskassessment;effectivecommunicationand

co-operationbetweenthoseundertakingtheworkandthosewhomightbeaffected;appointmentofcompetentpeople to manage and undertake the work; effective segregation of work areas; amendment to emergencyprocedureswherenecessaryandappropriatewelfareprovisionfortheworkers.

TheImpactofChange

Workplacesexperiencechangeroutinely.Changesmaybeduetoconstructionwork(oftenreferredtoastemporaryworks),changeofprocess,changeofequipmentorchangeofworkingpractices.

Temporary works include short-term building projects, building maintenance, renovation, demolition and excavationworks. Temporary works can be very minor, short-duration work, such as painting and decorating a small office,repair of damage to coping stones on top of a brick wall or excavation of a shallow trench to give access to buriedtelephonewires.Theycanalsoincludemajorconstructionprojects,suchastheconstructionofalargeextensiontoadistribution depot,demolitionofaderelictbuildingonfactorypremisesormajorrefurbishmentworkstoboththeexteriorandinteriorofa100-year-oldcivicbuilding.

The hazards of temporary works can present a risk to the workers andothersaffectedbythetemporaryworks.Theseworkersmaybecontractorsworking for an external employer engaged to undertake the work (such asa building company engaged by a client to undertake construction work).They may be in-house employees (such as the employer’s own in-housebuilding maintenance team). The workers may be a mixture of in-houseemployeesworkingalongsideexternalcontractors.

Very importantly, the hazards of temporary works can also present risk toothers who are working in the workplace when the work is underway andthosewhomightbevisitingorpassingthroughorbytheworkarea.

Forexample,externallampcleaningandmaintenanceworkundertakenby external contractors at a leisure centre run by a local council couldpotentiallypresentriskto:

Theworkersthemselves.

Leisurecentrestaff.

Leisurecentrecustomers(includingchildren,theelderlyandthedisabled).

Membersofthepublicpassingbyoutsidethesite.

Even minor temporary work presentsrisk

The establishment of a temporary work site within an existing workplace can disrupt the ‘usual’ control measuresthat will already exist within that workplace. Again, the disruption caused will depend very much on the nature oftheexistingworkplaceandthenatureofthetemporaryworks.Exampleswouldinclude:

Disruptiontotheone-waysystemofanon-sitevehicletrafficroutecausedbyemergencydrainrepairworkstopartofthetrafficroute.

Isolationof partof anautomatic firedetection systembecause ofhot worksin onepart ofa multi-storey

building.

Closureofafireescaperoutebecauseofrefurbishmentworkstothecorridorandstairwaythatformsapartof

theescaperoute.

ManagingtheImpactofChange

RiskAssessment

The temporary works or other change and its impact on the existing workplace must be fully risk assessed. Thisassessmentmustincludeconsiderationofthehazardsassociatedwiththeworkandthosecreatedbytheimpactofthe work onthe existingworkplace. Properconsideration must begiven toall ofthe people whomight beaffectedbythehazardswithspecialconsiderationgiventovulnerablegroupssuchaschildren,theelderly,thedisabled,etc.

It is the employer’s duty to carry out a suitable and sufficient risk assessment for the work activity. This duty wouldtherefore fall to any contractor engaged in the work activity but would also fall to any employer occupying aworkplacewheretheworkwastakingplace.Theriskassessmentrequirementis,ineffect,asharedduty.

CommunicationandCo-operation

Effective communication and co-operation between the various parties undertaking the work and all those affectedby the work is essential. This must be achieved by proper planning of the temporary works or change. Informationonthehazardsandriskspresentintheexistingworkplaceandcreatedbythetemporaryworksmustbeexchanged.In this way, the employer in control of the existing workplace can anticipate foreseeable risks to their employeescreatedbytheworks.

Thiscommunicationandco-operationisbestachievedbypre-workplanningmeetingsofallofthepartiesinvolved.

Suchmeetingsarebestconductedattheworkssiteinordertoanticipatesite-specificissues.

AppointmentofCompetentPeople

All of the people involved in temporary works or change must be competent. This includes not only the workersinvolved in the work itself, but also those involved in the management of the work. ‘Competent’ means sufficienttraining,skills,experienceandknowledge(andperhapsotherabilitiessuchasattitudeandphysicalability)tobeabletocarryouttheirworksafely.

Segregation

The area where the temporary works or change is to take place must be effectively segregated from the existingworkplace. This should be accomplished by use of physical barriers and signage. Access points to the work sitemustbecontrolledtopreventunauthorisedaccess.Signagemayneedtobeusedattheseaccesspointstoindicateadditionalrulesthatmayapplywithintheworkarea(suchasuseofPPE).

Segregation is necessary to prevent unauthorised people getting into the areas where the temporary works aretaking place. This might include employees of the workplace where the work is taking place, customers andmembers of the public who want to pass through the work area. Segregation is also necessary to protect the workerengaging in the work from other routine work activities taking place in their vicinity, such as workplace vehiclemovements.

EmergencyProcedures

Consideration must be given to the emergency procedures that may have to be established because of the natureof the temporary works or change. For example, work involving the use of cherry pickers (mobile elevating workplatform)mayrequirethedevelopmentofanemergencyprocedureincaseaworkershouldbecomestrandedinthe

cradleofthemachine.Inevitably,someemergencyprocedureswillinvolvetheexistingworkplacewheretheworkistaking place. For example, procedures for dealing with a chemical release might have to be adopted if a hazardouschemicalwereusedasapartofthework.

Considerationmustalsobegiventoexistingemergencyproceduresthathavetobemodifiedasaconsequenceof

theimpactofthetemporaryworks.Forexample:

Alternative fire detection and alarm procedures that are put in place because of the temporary isolation of partofanautomaticfiredetectionandalarmsystemduringhotworks.

Alternativeemergencyescaperoutesthathavetobedesignatedbecauseoftheclosureofanexistingescaperoute.Thismayrequiretheuseoftemporarysignageandemergencylighting.

WelfareProvision

Adequate welfare provision must be made for the workers engaged in thetemporaryworksorchange.Thiswillincludeissuessuchasaccessto:

Drinking water.

Changingrooms.

Storageforclothing.

Sanitaryconveniences.

Washingfacilities.

Restandeatingfacilities.

Review

It is important that as the planned changes are introduced andimplemented,thereisaregularreviewprocesstoensurethathealthand

safetyrisksarecontrolled.Thisreviewshouldinvolvealloftherelevantstakeholdersandformsaninherentpartofthe communication and co-operation process outlined above. It will also involve review and perhaps update of therelevantriskassessments.

Areviewshouldalsotakeplaceoncompletionofthechanges.Thiscanbeusefulfortwomainreasons:

toaddressproblemsandopportunitiespresentedbythechangethathasbeenmade,and

tohighlightlearningopportunitiesforthechangemanagementprocesssothatfuturechangescanbecarriedoutinamoreeffectiveway.

SafeSystemsofWork

INTHISSECTION...

ASafeSystemofWork(SSW)isaformalprocedurebasedonasystematicexaminationofworkinordertoidentify the hazards. It defines safe methods of working that eliminate those hazards, or minimise the risksassociatedwiththem.

ItistheresponsibilityoftheemployertodevelopSSWswiththeinvolvementofbothcompetentpersonsandemployeeswhowillbecarryingoutthework.Thesesafesystemsmustbedocumented.

SSWs are usually developed using the process of task analysis, which involves breaking work down into aseriesofstepssothathazardscanbeidentifiedandriskcontrolledateachstepusingtechnical,proceduralandbehavioural controls. Once developed, safe systems must be implemented and monitored to ensure continuedeffectiveness.

IntroductiontoSafeSystemsofWork

ASafeSystemofWork(SSW)isaformalprocedurebasedonasystematicexaminationofworkinordertoidentifythehazards.Itdefinessafemethodsofworkingthateliminatethosehazards,orminimisetherisksassociatedwiththem.

WecanidentifythreekeyelementsfromthisdefinitionofaSSW:

TheSSWisformal–documentedorrecordedinsomeway.

It resultsfrom asystematic examinationof workinorder toidentify thehazards –it istheresult ofriskassessment.

Itdefinessafemethods–itisthesafeprocedureorworkinstruction.

So,simplyput,theemployershouldcarryoutasystematicriskassessment,identifythehazardsandnecessaryprecautionsandthenformallyrecordthesafewaytocarryoutthetask,takingthisallintoaccount.

It is the responsibility of the employer to ensure that SSWs are available for all work activities that create significantrisk, just as it is the responsibility of the employer to carry out risk assessment of all work activities. SSW becomeparticularly important when significant residual risk remains after control measures have been introduced into workprocesses. They are also particularly important when the normal control measures present in the workplace areremoved,asoftenhappensduringmaintenancework,cleaningorconstructionwork.

SSWs should be developed by people with the relevant knowledge, experience, training and skills to understandthe work under analysis. This implies that the people responsible for SSW development must be competent. In theabsenceofcompetence,keyhazardsmaybemissedandkeyrisknotaddressed.ThismightresultinaflawedSSWthatdoesnotactuallycontroltherisktoanacceptablelevel.

WorkerInvolvement

Thecompetentpersonmustworkcloselywiththeworkerswhowillbedoingthework.TheworkersinvolvedshouldtakeanactivepartinallstagesofboththedevelopmentandreviewofSSWs.Theirpracticalknowledgeandskillsprovideavaluablesourceofinformationaboutthenatureoftherisks,includingunusualones,andmethods

ofworking.Theycanalsocontributebyassessingplansandwrittendocumentation,andprovidefeedbackontheeffectivenessofthesysteminpractice.

Involvementinthiswayenablesworkerstogainadeeperunderstandingofthehazardsandrisks,andofthewayinwhichtheSSWwillminimisethoserisks.Thisencouragesownershipof,andcommitmentto,safeworking

methodsamongworkers.Asmanagementhaveinvolvedandengagedtheworkforce(ratherthansimplyenforcingaproceduretheyhavedeveloped)thiscanhelpdevelopapositivehealthandsafetyculture.

WrittenProcedures

Documenting SSWs provides a precise reference for all workers, andensures consistency of method, especially as the procedure may becomplex or detailed – passing information via ‘word of mouth' is anunreliablemethodofcommunicationandpronetoerrors.Italsoprovidesa reference for use in training and instruction in safe procedures and, asmost procedures will need to be consulted on more than one occasion,the creation of a definitive document is a way of ensuring consistencywhenevertheprocessiscarriedout.

SSWs may be recorded in the form of short notes, or perhaps manualsdetailingexactlywhatstepstotakewhencarryingoutmorecomplexandlengthy procedures, such as calibrating and setting up grinding wheels.SSW documentation can be accompanied by checklists for employees touse as aids to ensure that all the correct steps are taken, and to tick offdetailsbeforecontinuingwiththenextsteporstartingoperations.Written

SSWs also establish a standard that can be audited, and provide theemployer with a written record, which may be required for legal reasons,suchasinincidentinvestigationsorduringenforcementaction.

ChecklistscanbeausefulpartofaSSW

Technical,ProceduralandBehaviouralControls

ASSWwillinvolvealltheelementsofcontrolthatweidentifiedearlierinthegeneralhierarchyofcontrols:

Technicalcontrols–applieddirectlytothehazardinordertominimisetherisk.Thismayinvolvefencingorbarriersofdifferentkindstoisolateworkersfromthehazardasfaraspossible,orsecuritydevicesbuiltintoequipmenttostopitsoperationifthereisafault.

Proceduralcontrols–thewayinwhichworkshouldbecarriedoutinrelationtothehazard.Theywillspecifythe exact tasks involved, their sequence and the safety actions and checks that have to be taken. Often,procedureswillrelatetothecorrectoperationoftechnicalcontrols.

Behaviouralcontrols–howtheindividualworkeractsinrelationtothehazard.Theyincludegeneralpointsof

goodpracticeintheworkplace(e.g.goodhousekeeping,andspecificmeasuressuchastheuseofPPE).

Aswenotedearlierinthesectiononriskassessment,technicalcontrolsarepreferabletoproceduralones,which,inturn,arepreferabletobehaviouralones.Thisisbecausebehaviouralcontrolshaveaveryheavyrelianceonpersonalbehaviour whereas technical controls do not require people to do the right thing in the right circumstances all of thetime.

DevelopingaSafeSystemofWork

Asapartoftheplanningprocess,SSWsaredevelopedbytaskanalysispriortoworkcommencing.Taskanalysisisthe process of breaking a job down into its component steps and then identifying the hazards associated with eachstep.Thesafeworkingmethodcanthenbeidentifiedtodealwitheachhazard.

TaskAnalysis

CanyourememberwhattheabbreviationSREDIMrepresents?Weexplaineditearlieronwhenwediscussedhazardidentificationandtaskanalysis.

Selectthetasktobeanalysed.

Recordthestepsorstagesofthetask.

Evaluatetherisksassociatedwitheachstep.

Develop the safeworking method.

Implementthesafeworkingmethod.

Monitortoensureitiseffective.

So,forexample,avehiclebreakdownandrecoverycompanymightperformtaskanalysisonthejobofchangingthewheelonacustomer’scar.

Thisanalysismightidentifythekeystepsofthetaskas:

Step1:Parkbreakdownvehicle.

Step2:Removefaultywheel.

Step3:Fitsparewheel.

Step4:Leave.

The risks associated with each of these steps would then be evaluated.For example, at Step 2, one of the risks identified might be movement ofthecustomer’scarafterithasbeenraisedup,causingittocollapse.Beingstruck by passing traffic might be another risk. Essentially this is the riskassessmentprocessappliedduringtheplanningstageofajob.

IntroducingControlsandFormulatingProcedures

Theremaybemanyrisksinvolvedwitheachstepofatask

Oncetheriskshavebeenevaluated,theappropriatesafeworkingmethodcanbedeveloped.Inourexample,oneof the controls would be for the worker to check that the car’s handbrake has been firmly applied and that thehandbrakeactuallyworks.Anotherwouldbefortheworkertowearhigh-visibilityclothingatalltimes.

Implementing the SSW is often more problematic than developing the safe working method, becauseimplementationrequiresworkerstoadoptthenewworkingproceduresandusealltheidentifiedcontrols.Wenotedearlier that people’s behaviour can be difficult to control. One way of overcoming or minimising this difficulty is toconsult with and involve workers in the development process so that they are able to raise objections and concernsatanearlystage;theythenhavesomeownershipofthenewmethods.

InstructionandTraining

A key step in the implementation of any safe working method is the provision of information, instruction and training.In some cases, if the workers have the competence to interpret and correctly follow new methods, simply informingthem of changes to existing methods will be sufficient. In other instances, detailed theoretical and practical trainingwillhavetobeprovidedtoensurethatworkersunderstandandcanapplythesafeworkingmethods.

Monitoring

Thelaststepofthetaskanalysisprocessismonitoring;oncethesafeworkingmethodhasbeenputintoplaceitshouldbecheckedperiodically.Thisistoensurethat:

The new safe workingmethod is beingcorrectly followed andapplied. If it isnot, then supervisionmust beimproved.

Thenewmethodis,infact,safe.Ifitisnot,thenitwillhavetobereviewedandamendedaccordingly.

Permit-to-WorkSystems

INTHISSECTION...

Permit-to-worksystemsformpartofasafesystemofworktocontrolhigh-riskworkactivities,suchashotwork.

Apermitsystemformalisesthecontrolofhigh-riskworktoensurethatalltheriskshavebeenidentified,alltheprecautionshavebeenputinplaceandthatappropriateinformationhasbeencommunicatedtoallrelevantparties.

Apermittoworkusually hasfourmainsections:

Issue.

Receipt.

Clearance.

Cancellation.

Permit-to-worksystemsrelyontheuseofpaperpermits,butultimatelytheyonlycontrolriskproperlywhencorrectlyused.

Permits to work are typicallyused to control hot work,work on live electrical systems,entry into confined

spaces,workatheightandsomeformsofmachinerymaintenancework.

Definition

A Permit-To-Work (PTW) system is a formal, documented safetyprocedure, forming part of a safe system of work, which ensures that allnecessaryactionsaretakenbefore,duringandafterparticularlyhigh-riskwork.

The high-risknatureoftheworkisthe keyfeaturethatthesetypesofworkhave in common, which makes them subject to permit control. If the workis not carried out in precisely the right way, then workers and others maybekilled.Theaimofthepermitsystemistofocuseverybody’sattentiononthehigh-risknatureoftheworktoensurethat:

Thecorrectsafetyprecautionsareinplacebefore,duringandafterthework.

Allthepeoplewhoneedtoknowabouttheworkdoactuallyknowaboutit.

Workatheight

OperationandApplication

APTWsystemisamanagementsystemthatissupportedby,andmakesuseof,permits,whicharepaperdocuments(orelectronicdocuments).

PTWs are formal documents specifying the work to be done, hazards, and the precautions to be taken. The permitprovides a clear written record, signed by a responsible manager or supervisor, that all foreseeable hazards havebeenconsideredandallthenecessaryactionshavebeentaken.Itmustbeinthepossessionofthepersoninchargeoftheworkbeforeworkcancommence.

Permitsareoftentriplicate-copydocumentswithauniqueidentificationnumberforcross-referencepurposes.

Theoperationof apermit oftenfollows asequenceas indicatedby thesections ofaPTW inthe followingway:

Issue

Thissectionofthepermitdefinesthework,identifiesthehazardsanddeterminesthenecessarysafety

precautions.

Anauthorisingmanagermustcompletethissection.Thiswillrequirethemtocarryoutariskassessmentofthework in order to identify all the relevant hazards and precautions. The manager must be competent to do this.Theauthorisingmanagermustspecify:

Theexactnatureofthework.

Wheretheworkcantakeplace.

Thenamesofeachoftheworkersauthorisedtocarryoutthework.

Thedate andtime thatwork canstart.

Theperiodoftimethepermitisvalidfor.

Thecontrolmeasuresthatmustbeinplacebefore,duringandafterthework.

Anyrestrictions.

Any otherpermits thatmay berelevant.

Theauthorisingmanagersignsthepermittoformallyconfirmthatallnecessaryprecautionshavebeentakenand that work can now start, providing the necessary precautions are adhered to. The manager’s name andsignature,alongwiththedateandtime,shouldbeclear.

Receipt

Here,thehandoverprocesstoallowwork tostartisformalised.

Theworkerssignthepermittoformallyconfirmthattheyunderstandallthehazards,risksandprecautionsand

thattheywillcomplywithallnecessarycontrolmeasures.

Namesshouldappearclearlyincapitalletterswithsignatures,datesandtimes.

Clearance/ReturntoService

Theworkerssignthis sectionofthe permittoconfirm thattheyhave lefttheworkplace inasafe condition,that

workiscompleteandthatnormaloperationsmayresume.

Cancellation

Theauthorisingmanagersignsthissectiontoacceptthehand-backoftheworkplacefromtheworkers.Thisalsohastheeffectofcancellingthepermitsothatnofurtherworkcantakeplaceunderitsauthority.

Extension

Thissectionisincludedinsomepermitsystemsincasethereisanyoverrunofthework.Itallowstheauthorisingmanagertograntanextensiontothetimescaleofthepermit.

Permitsareoftenissuedintriplicate:

Onecopyisdisplayedintheareawheretheworkistakingplace.

Onecopystayswiththeauthorisingmanager.

Onecopyisdisplayedinacentrallocation(oftenonapermitboard)whereotherpermitsarealsodisplayedforclearcommunication.

Remember that a PTW is just a piece of paper; it does not ensure safety. What ensures safety is the managementsystem that it represents. In some cases, permits are treated simply as unnecessary paperwork – to be filled inbecausesomeoneatheadofficesaysso.Thiscanencouragecasualpractices,suchasauthorisingmanagersissuingpermits without actually checking that control measures have been put in place, which can lead to unfortunateconsequences.

Agoodpermitsystemisonlyasgoodasthepersonsusingit.Toworkeffectively:

Onlyauthorisedpersonsshouldissuepermits.

Permitissuersmustbefamiliarwiththehazardsoftheworkplaceandthejobtobecarriedout.

Precautionsmustbecheckedbeforepermitsareauthorised.

Permitsmustneverbeamended.

The permitmustbetreatedwithrespect.

All permitconditions mustbe adheredto.

Staffmustbetrainedandcompetent.

Thesystemmustbemonitoredtoensureitiseffective.

ThePTWsystemmustbeappropriateforthenatureofthebusiness(e.g.abakerymayrequirealesscomplexsystemthananoilrig).

Sufficient time must be allowed to ensure permits are issued correctly, and staff trained to understand this.Contractors,forexample,maybecomestressediftheprocessistime-consuming,butmustunderstandthattheyarerequiredtoadheretothesystem.

TypicalUsesofPermitSystems

HotWork

Permit systems are commonly used to control hot work where nakedflames will be used (e.g. propane, butane or oxyacetylene torches) orwhere a significant ignition source will be created (e.g. welding or grindingoperations).

Typicalprecautionsforcontrolofhotwork:

Flammablematerialsareremovedfromtheworkarea.

Itemsthatcannotberemovedarecoveredwithfire-retardantblankets.

Floorissweptclean.

Woodenfloorisdampeddown.

Asuitablefireextinguisherisathand.

A‘fire-watcher’ispresentinthearea.



Cuttingwithanoxy-acetylenetorchrequiresapermittowork

Theworkareaisvisitedroutinelyaftertheworkhasfinishedtochecktheareaforsmouldering.

FiresafetyiscoveredasatopiclaterinthecourseinElement10.

WorkonElectricalSystems

Workonnon-liveelectricalsystemsisoftensubjecttopermit-to-workcontrolinordertoensurethattheelectricalsystem has been correctly de-energised and securely isolated. The high risk associated with working on, or near,liveelectricalsystemsmeansthatthistypeofworkisalsousuallysubjecttopermitcontrol.Inparticular,permitsareusuallyrequiredforanyformofwork(liveornon-live)on,ornear,high-voltagesystems(e.g.>1000VAC).

Apermitsystemisusedtoensurethat:

Workingliveisjustified(i.e.itisnotpossibletoworkwiththepoweroff).

Allprecautionsareinplace.

Theworkersarecompetenttodothework.

ElectricalsafetyiscoveredasatopiclaterinthecourseinElement11.

MachineryMaintenance

Maintenance work often involves the removal or disabling of safeguardsand control systems. For large, complex industrial machinery, more thanone person may be involved in the work and they may be required toworkinsidethemachinery.Thiscangeneratehighriskthatmightbebestcontrolledusingapermitsystem.

Apermitsystemisusedtoensurethat:

Workiscarefullyplanned,assessedandcontrolled.

The nature of thework is communicatedto those who needto knowaboutit.

Powersourcesareisolatedandlockedoff.

Storedenergyisreleasedorsecured.

Theworkersarecompetenttodothework.

WorkingwithmachineryiscoveredasatopiclaterinthecourseinElement9.

Confined Spaces

Entryintoconfinedspacescanbeextremelyhazardous,soshouldalmostalwaysbeunderthecontrolofaPTWsystem. This will require a competent person to carry out a risk assessment and then develop a SSW, whichidentifiesallthenecessaryprecautionsforentryandtheemergencyarrangementsthatmustbeputinplace.

ConfinedspaceentryiscoveredasatopiclaterinthecourseinElement8.

WorkatHeight

Some work at height may be controlled under a permit to work. This could detail the areawhere work is permitted,the method of access (ladder, stairs, etc.), safe access routes and fall prevention and fall arrest precautions to betaken.

WorkatheightiscoveredasatopiclaterinthecourseinElement8.

EmergencyProceduresandFirstAid

INTHISSECTION...

Anorganisationshoulddevelopemergencyprocedurestodealwithforeseeableincidentssuchasfire,bomb

threatandchemicalspill.

These procedures should cover the internal arrangements for dealing with the foreseeable incidents, which willinclude:

Theforeseeableemergencies.

Proceduresforraisingthealarm.

Procedurestofollow.

Provisionofsuitableequipment.

Nominationofresponsiblestaff.

Provisionoftrainingandinformation.

Drillsandexercises.

Contactingtheemergencyservices.

Anemployermustprovideappropriatefirst-aidservicesfortheiremployees.Thiswillincludefirst-aid

equipmentandappropriatelytrainedpersonnel.Theymustinformtheirworkersofthesearrangements.

To determine what needs to be provided, an employer will have to undertake a first-aid needs assessment,whichshouldconsidervariousfactors,suchasthehazardsandrisksinherentinthework,thenumberandworkpatternofworkers,andthegeographiclocationandspreadoftheworkplace.

TheNeedforEmergencyProcedures

Despite all the controls that can be introduced into an organisation, things can still go wrong. Accidents andincidentsdohappen.Whentheydo,itiscriticalthattheorganisationhasemergencyproceduresthatcanbebroughtinto effect without delay, otherwise there may be a poor or inappropriate emergency response that makes thingsworse,ratherthanbetter.

EmergencyProcedureArrangements

Having identified the foreseeable incidents, the organisation should makeinternalarrangementstodealwitheachofthem,shouldtheyoccur.Thesearrangementsshouldinclude:

Foreseeableemergencies:anoutlineoftheforeseeableemergenciesthat mightoccur alongwith thecircumstancesin whichthey mightoccur and their foreseeable outcomes. This will identify what theemergenciesareandwhyproceduresneedtobefollowed.

Procedures for raising the alarm: workers needs to know how therelevant alarms are raised for different types of emergency and anyescalation procedure that might apply. For example, manual callpointsmightbeusedtoraisethealarmintheeventoffire,butradioortelephone notification to a control centre might be used in the event ofasecurityincident.

Procedurestobefollowed:intheeventofafire,forexample,normalpractice is for workers to exit the building using the signed escaperoutesandassembleatadesignatedplace.Intheeventofabomb



Clean up afteroil spill

threat, the procedure is often the exact opposite: to go to a room inside the building, away from windows andexternalwalls.

Provision of suitable equipment: if there is a chemical spill, for example, absorbent granules or booms mightbeusedtocontainthespillandPPEusedtopreventharmtothoseinvolvedinthecontainmentoperation.Intheeventofareleaseoftoxicgas,respiratoryprotectiveequipmentmaybeneeded.

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 berequired,whosejobwillbetochecktheareawherethefireissuspectedtobe.

Dealingwiththemedia:itisforeseeablethatsomeemergencieswillattractmediaattention.Proceduresforhandling the media should be developed and nominated staff trained in media handling techniques (such ashowtoanswerquestionsfromnewspaperandradioreporters).

Arrangementsforcontactingemergencyservices:whileinternalemergencyarrangementsmustbemadeby the organisation to deal with foreseeable incidents, these responses will normally also involve contactingexternalemergencyservicesforhelp.Thereshouldthereforebeappropriatearrangementsinplace:

Communicationequipment(e.g.landlineandmobilephones,satellitephones,orVHFradio).Themore

remotethelocation,themoredifficultcommunicationbecomes.

Contactdetails(e.g.nationalandlocalemergency-servicenumbers).Thismayinvolveinternationalmedicalevacuationaswell.

Responsibleindividualswiththenecessaryinformationandknowledgenominatedtomakethecall.Inmanyinstances,theemergencyservicescanprovideamoreeffectiveresponseiftheyaregivencriticalinformationquickly.

TrainingandTesting

Workers will only know what to do when these various emergencies occur if they have been provided withinformation and training. Any nominated individuals will require additional training in their roles in the emergency,and in the safe handling of any equipment (e.g. PPE) that they might have to use. Members of the public mayrequireinformationonemergencyprocedures,whichmightbeprovidedintheformofnotices,orbymeansofpublicaddresssystemannouncements.

Emergency procedures should be practised to ensure that people are familiar with the actions they might beexpectedtotake.Inthisway,people’sresponsesbecomeautomatic.Forexample,fireevacuationdrillsshouldbeconducted routinely in all workplaces, and multiple casualty accident exercises should be practised if they are aforeseeableevent.

First-AidRequirements

An employer has a duty to provide appropriate first-aid services for theiremployees. This is to allow an immediate emergency medical responsetoforeseeableinjuriesthatmightoccurintheworkplace.Threeelementsmustbeprovided:

Facilities–an appropriatelocation wherefirst-aidtreatment canbe

given.

Equipment–suitablystockedfirst-aidkitsandotherequipmentas

necessary.

Personnel–staffwithappropriatetrainingtodeliverfirst-aid

treatment.

The employer must notify staff of these first-aid arrangements and, inparticular,theidentityoftrainedfirst-aidpersonnel.

Specificfirstaidatworkrequirementsmaydifferbetweencountriesasthey



First-aid training

areoftendictatedbylocallegislation;thenextsectionisbasedontheUKlegalrequirements.

First-AidFacilities

Suitable facilities should be provided where first-aid treatment can be given. As a minimum, this might consist ofaroomthatisusedforotherpurposesbutcanbequicklyconvertedintoatreatmentarea.Inalargerworkplace,adedicatedtreatmentroomshouldbeprovided.

Thisroomshouldbe:

Centrallylocatedinanareathatcanbeaccessedbytheemergencyservices.

Cleanandadequatelyheated,ventilatedandlit.

Providedwithhand-washfacilities,achairandaclinicalwastebin,etc.

First-AidEquipment

As aminimum, onefullystocked first-aidkit(box) mightbeprovided fora small,low-riskworkplace.

Inlarger workplaces, multiple first-aid kitsshould be positioned at various

locations throughout theworkplace, as wellas:

Eye-washstations.

Emergencyshowers.

Blankets.

Splints.

Resuscitationequipment.

Stretchers.

Wheelchairs.

Otherequipment,asrequired.

First-AidPersonnel

RoleofFirstAiders



Eye-washstation

Theessentialroleoffirstaidersistokeeptheinjuredcasualtyaliveuntilprofessionalmedicalassistancecantake

over.ThisissometimesreferredtoasthethreePs:

Preservelife.

Preventdeterioration.

Promoterecovery.

Firstaidersalsoprovidesimpletreatmentforminorinjuriesthatdonotrequireprofessionaltreatment.

TypesofFirst-AidPersonnel

Minimumprovisionwouldbeapersonavailabletotakechargeofthefirst-aidarrangements,whichmeanslookingafter the first-aid equipment and facilities and calling the emergency services when required. Such ‘AppointedPersons’ should be available at all times while people are at work. Appointed persons are not necessary wherethereareadequatenumbersoffirstaiders.

Appointed persons do notneed to betrained as firstaiders, but itwould be ofbenefit if they weretrained toEmergencyFirstAidatWork(EFAW)level.Thenumberofappointedpersonsand/oremergencyfirstaiderswilldependonafirstaidneedsassessment.

Wheretheneedsassessmentshowsthereisahigherlevelofrisk,firstaiderstrainedtotheFirstAidatWork(FAW)

standardshouldbeappointedinnumbersappropriatetotheriskandnumbersofworkers.

EFAWandFAWpersonnelmusthavesuitabletrainingandholdavalidcertificateofcompetence.EFAWcoursesareusuallyonedayduration.FAWcoursesusuallyrunoverthreedays.Requalificationtrainingforthesecoursesusuallytakesoneandtwodays,respectively.

TheHSEprovidesinformationtohelpemployersselectsuitablefirst-aidtrainingproviders.TheHSEalsoadvisesthat EFAW and FAW personnel should have annual refresher training to prevent ‘skills-fade’, although this is notcompulsory.

HSE guidance also states that the employer may decide to make provision for mental ill health by training someworkerstoallowthemtoidentifyandprovidesupporttosomeonesufferingmentalillhealth(sometimesreferredtoas‘mentalhealthfirstaid’).

SelectingStafftobeFirstAiders

Thereareanumberoffactorsthatshouldbetakenintoaccountwhenselectingpersonstofulfiltheroleofafirst

aideratwork.Theseinclude:

Beingreliable,havingagentledispositionandgoodcommunicationskills.

Awarenessoftheirownlimitationsandlimitationsofthetraining.

Havingtheaptitudeandabilitytoabsorbnewknowledgeandlearnnewskills.

Having the abilityto cope withstressful situations andaccept responsibility.

Physicallyfitenough todeal withthedemanding natureof someaspects offirstaid.

Considerationoftheneedforfirst-aidersconsideringgender,ethnicityandreligiousconvictions.

Theperson’snormaldutiesshouldbesuchthattheycanleavetheirworkimmediatelyatanytimetoattendanemergency.

First-AidCoverage

Anemployershouldundertakeafirst-aidneedsassessmentinordertodeterminewhatfirst-aidfacilities,equipment

andtrainedpersonneltoprovide.

Thereshouldbeadequatefirst-aidcover onallshiftsworkedinthe workplace,withweekend,morning,afternoon

andnightshiftworkpatternsalladequatelyprovidedfor.

The geographic location is an important issue to consider when determining first-aid provision. Workplaces withineasyreachoftheemergencyservicescanperhapsprovideminimalcover,butworkplacesinremotelocations,whichtheemergencyservicesmaytakehourstoreach,musthaveadequatefacilitiesandskilledpersonnelavailable.

Summary

This element has dealt with certain topics relating to the Organising section of a health and safety managementsystem.

Inparticular,thiselementhas:

Definedhealthandsafetyculture(asthesharedattitudes,values,beliefsandbehavioursrelatingtohealthand

safety)andmadealinkbetweenhealthandsafetycultureandhealthandsafetyperformance.

Outlinedhowhealthandsafetyculturemightbeassessedbylookingatindicatorssuchasaccidents,illhealth,complianceandcomplaints.

Lookedindetailatsomeof theissuesthatmustbedealt withinordertoimprove healthandsafetyculture:

Clearmanagementcommitmentwithvisibleleadershipandappropriatedisciplinarymeasures.

Competentstaff(training,knowledge,experienceandskills).

Communicationofsafetyinformationinverbal,writtenorgraphicformthroughtheuseofnoticeboards,posters,etc.

Consultation.

Trainingatappropriatetimes(e.g.inductiontrainingfornewstaff).

Discussedthethreehumanfactorsthatinfluenceaworker’sbehaviour:individual,jobandorganisationalfactors.

Defined the terms ‘hazard’ (something with the potential to cause harm), ‘risk’ (the likelihood that a hazardwillcauseharmincombinationwiththeseverityofoutcome),and'riskassessment’(aformalisedprocessofidentifyinghazards,assessingtherisktheygenerateandtheneithereliminatingorcontrollingtherisk).

Identifiedtheaimofriskassessment–toensurethathazardsareeliminatedorriskisminimisedbythecorrect

applicationofrelevantstandards.

Explainedthefive-stepapproachtoriskassessment:

Identifythehazards.

Identifythepeoplewhomightbeharmedandhow.

Evaluatetheriskanddecideonprecautions.

Recordthesignificantfindingsandimplementthem.

Reviewandupdateasnecessary.

Consideredthathazardscangeneraterisktobothsafetyandhealthandcanbeidentifiedbyvariousmethods,

includingtaskanalysis,legislation,manufacturers’informationandincidentdata.

Notedseveraloftheinternalandexternalsourcesofhealthandsafetyinformationthatareavailable.

Explainedthegeneralhierarchyofpreventiveandprotectivemeasures,whichrelyonthecorrectselectionoftechnical,proceduralandbehaviouralcontrols.

Defined ‘safe systems of work’ as formal procedures that define safe methods of working to eliminate orminimiserisk,andarebasedonasystematicexaminationofworkequipmentandprocessestoidentifythehazardsinvolved.

Identifiedtheroleofbothcompetentpersonsandworkersindevelopinganddocumentingthesesafesystems.

Outlinedtheprocessoftaskanalysis,whereataskisbrokendownintoaseriesofstepssothathazardscanbe

identifiedandriskcontrolledateachstep.Thissafeworkingmethodmustthenbeimplementedandmonitored.

Outlinedpermit-to-worksystemsasawayofformalisingthecontrolofhigh-riskactivities.

ExplainedtheIssue,Receipt,ClearanceandCancellationsectionstypicalofapermittoworkandoutlinedtheuseofpermitsinthecontrolofhotwork,workonelectricalsystems,machinerymaintenance,confinedspacesandworkatheight.

Discussedwhyanorganisationmustdevelopemergencyprocedurestodealwithforeseeableincidents,theinternalarrangementsthatmightbemade,andthearrangementsforcontactingtheemergencyservices.

Outlinedtheneedforanemployertoprovideappropriatefirst-aidservicesforemployees,toincludefirst-aid

facilities,equipmentandappropriatelytrainedpersonnel.

Consideredthefactorsthatmustbeassessedwhendecidingonadequatefirst-aidprovision.

ExamSkills

Question1

ApproachingQuestion1

Thinkabout thesteps you wouldtake to answerthe question:

Step 1 – the first step is to read the scenario carefully. Note that this is a newly appointed manager and you arepreparingnotesforthemeeting.Thediscussionyouhavewiththenewmanagershouldbeeasytounderstand–examples help with the process of understanding. Even though they have not been mentioned in either the taskorthescenario,youranalyticalapproachguidesyoutouseexamples.

Step2 –nowlookatthetask–preparenotes(andexamples)on:

What riskis, withan example.

Thekeystagesinariskassessment(linkthesetothescenariowhereyoucan).

Reasonswhyariskassessmentshouldbereviewed.

Step3– next, consider the marks available. Inthis task, there are 10 marks so it isexpected that around 11or12differentpiecesofinformationshouldbeprovided.Thetaskdoesnotsplittheavailablemarks–youwill

needtoconsiderhowthemarkswillbeapplied.Ifyougive8reasonsforreviewingariskassessment,theyareunlikely to gain 8 marks – that would only leave 2 marks for the rest of the information and there are at least 5keystagestotheriskassessmentyouwillwanttocover.

Step4–readthescenarioandtaskagaintomakesureyouunderstandthemandhaveaclearunderstandingofrisk,riskassessmentandthereviewprocess.(Re-readyourstudytextifyouneedto.)

Step5– the nextstage is to develop a plan– there are various ways to dothis. Remind yourself, first of all,thatyouneedtobethinkingabout‘risk’.Itmighthelpyoutothinkofariskassessmentyouhaveseenordone,andthestagesyouorsomeoneelsewentthrough.Rememberyouarecreatingnotes,notabullet-pointedlist;however,theanswer plancanbe abullet-pointed listthatyou useto developintonotes foryour meeting.

SuggestedAnswerOutline

Risk:

Severity×Likelihood=Risk.

Drivingacar/vanasanexample.Riskassessment:

Identifyhazards.

Whomightbeharmedandhow.

Evaluatetherisk.

Record.

Review.Reasonsforreview:

Significantchangesrelatingtoprocess,substances,equipment,workplaceenvironment,personnel.

Suspecttheassessmentisnotvalidduetoaccidents,illhealth,changeinlegislation.Nowhaveagoatthequestionyourself.

ExampleofHowtheQuestionCouldbeAnswered

Risk is the likelihood that an unwanted event will occur, together with the severity of its consequences in termsof injury or damage. When driving a delivery van, there is a likelihood that you may be involved in a road-trafficaccidentwithothervehicles.Theriskassociatedwithdrivingisthereforeacombinationofthelikelihoodofinjuryandthepotentialconsequences.

Thekeystagesinaworkplaceriskassessmentareto:

Identify the hazards; these are the things with the potential to cause harm. They can be classified as physical,chemical,biological,ergonomicandpsychological.

Identifywhomaybeharmedandhow;considervulnerableworkers,thosewithmedicalconditionsthatmakesomehazardsparticularlyharmful.Anexamplewouldbesomeonewhoexperiencesbreathingdifficultiesbeingexposedtofumesinthewarehousedespatcharea.

Evaluate the risk and decide on precautions. Risk is a combination of likelihood and severity. When consideringprecautions the principles of prevention should be used and applied through a hierarchy of control measures toreducethelikelihoodorseverityofharm..

Recordthesignificantfindingsandimplementthem.It’simportantformanagerstomakesureidentifiedcontrolsareimplementedinatimelymanner.

Reviewandreviseasnecessary.Theriskassessmentmustbereviewedifthere’sareasontothinkit’snolongervalid.Riskassessmentsthatareseveralyearsoldshouldcauseconcern.It’shighlylikelythatsomethinghaschangedinanextendedtimeperiod.Themanagerisrighttobeconcerned.

Reasonsforreviewingariskassessment:

Iftherehasbeenasignificantchangeinthewayordersarepackedanddespatchedorthevehiclesthesalesteamdrivethenriskassessmentsshouldbereviewed.Withanewmanagerintheareaareviewisalsorecommended.If there have been any accidents, these may indicate that a hazard has been missed or that a control measure isineffective–thiswouldtriggerareview.

ReasonsforPoorMarksAchievedbyExamCandidates

Gettingconfusedoverthekeystagesinariskassessmentprocess.

Notmentioningseverityorconsequenceswhendefiningrisk,leadingtoquiteaprotracteddefinition.

Defininghazard ratherthan risk– you mustfit yournotes (answer)to the taskset.

Not considering the scenario – in this case a new manager – so overly complexexplanations or highly detailedexamplesmaynotattractmarks.

Exceedingtheoverallwordcountforthewholeexambymorethan10%.Theexaminermaynotreadexcessivelylongexplanations.

Question2

ApproachingQuestion2

Thinkabout thesteps you wouldtake to answerthe question:

Step1–thefirststepistoreadthescenariocarefully.Thereisevidencethatriskassessmentsarenotsuitableand assigned actions for control measures have not been completed. You are going to send an e-mail to theFacilitiesManagerthatneedstobeconvincingenoughtoencourageactiontobetaken.YouhavebeenadvisedthatconvincingtheFacilitiesManagertotakeactionmaybedifficult.

Step2–nowlookatthetask.Youneedtoprovidereasonswhyemergencyproceduresshouldbepractised.

Step3–next,considerthemarksavailable.Inthistask,thereare10marksavailablesoitisexpectedthataround10or11differentreasonsforpractisingemergencyproceduresneedtobeprovided.

Step4–readthescenarioandtaskagaintomakesureyouunderstandthemandhaveaclearunderstandingofwhyweshouldpractiseemergencyprocedures.(Re-readyourstudytextifyouneedto.)

Step5– thenextstageistodevelopaplan –therearevariouswaystodothis.Remind yourself,firstofall,thatyou need to be thinking about ‘reasons to practise emergency procedures’. So, the answer plan will take theformofabullet-pointedlistthatyouneedtodevelopintoyouranswer.

SuggestedAnswerOutline

Reasons:

Legalrequirement.

Internalpolicyrequirement.

Insurancecompanyrequirement.

Vulnerablepersons.

Reducelikelihoodofpanic.

Testcommunications.

Identifyweaknesses.

Establishthealarmcanbeheard.

Thosedesignatedtoassistcanpractiseskills.

Familiariseemployeeswithemergencyprocedures.

Managementcommitment.

Nowhaveagoatthequestionyourself.

ExampleofHowtheQuestionCouldbeAnswered

Reasonswhywemustpractiseemergencyproceduresinclude:

ItisarequirementofConventionC155topractisecertainprocedures(e.g.firedrills).

Anorganisation’sownpolicyandproceduresmaystipulatethatemergencyproceduresmustbepractised.

It’squitelikely,becauseofthenatureofbusinessforourorganisation,thatourinsurancecompanywillrequireemergencyprocedurestobepractised.

Practising emergency procedures allows for a speedy and correct response where vulnerable persons areinvolved. We have a clear duty of care for vulnerable workers, e.g. expectant mothers or lone workers. It wouldbeinexcusableif,throughourinaction,harmwascaused.

Itwillreducethelikelihoodofpanicifarealemergencysituationarises.It’sdifficulttopredicthowpeoplewillbehaveinanemergency.Butifworkerspanic,thelikelihoodofsomeonebeingharmedwillincrease.

Practice may reveal shortfalls in communication, either radio communication or verbal communication. We couldsimulateoneexitbeingunavailableduetotheemergency.Wecouldthenobservepeople’sbehaviourandchangeanyshortfallsinourprocedures.

Itallowsthosewithspecialdutiestoalsopractisetheirduties.TheorganisationhasappointedFireMarshalstoassistintheeventofanemergencyduetofire.

Itmayhighlightproblemsandweaknessesintheemergencyresponsethatcanthenbeaddressed.Wecanestablish,undersafeconditions,thattheemergencyassemblypointiswellidentifiedandeveryoneknowswhereitis.

Practisingemergencyproceduresdemonstratesmanagement’scommitment.Workers’moralecanbeimproved iftheybelievetheorganisationcaresforthemaspeople–notjustworkers.

Sounding the alarm in a premises will ascertain that the alarm can be heard in all parts of the premises. Itcertainlysoundsloudenoughwhenyouareunderneathoneofthesounders,butweneedtoestablishit’sloudenoughwhenalltheequipmentisoperatingalso.

ReasonsforPoorMarksAchievedbyExamCandidates

Providingashortanswerthatonlyaddressesoneortwopoints,probablyduetonotresearchingtheanswerornotpayingattentiontotheamountofmarksbeingawarded.Thisapproachwillonlyachievelowmarks.

Wastingtime bygiving tworeasons (usuallylegal andfamiliarising employees),then goingon todiscuss the

dutiesfiremarshalsmayhave.Thisisfartoonarrowaviewandcannotattractmanymarks.

LearningObjectives

Onceyou’vestudiedthiselement,youshouldbeableto:

usedtomonitortheeffectivenessofmanagementsystems.

2 Explain why and howincidents should beinvestigated,recordedandreported.

andhowtheyareusedtoevaluateamanagementsystem.

ofhealthandsafetyperformanceareneeded.

ActiveandReactiveMonitoring 4-3

IntroductiontoActiveandReactiveMonitoring 4-3

ActiveMonitoring 4-3

SafetyInspections,SamplingandTours 4-5

ArrangementsforActiveMonitoring 4-6

ReactiveMonitoring 4-8

Investigating,RecordingandReportingIncidents 4-11

IntroductiontoIncidentInvestigation 4-11

TypesofIncident 4-12

BasicInvestigationProcedures 4-14

ReportingofEventstoExternalAgencies 4-21

HealthandSafetyAuditing 4-23

IntroductiontoAuditing 4-23

TheStagesofanAudit 4-24

ExternalandInternalAudits 4-26

ReviewingHealthandSafetyPerformance 4-27

PurposeofRegularReviews 4-27

IssuestobeConsideredinReviews 4-28

OutputsfromtheReviews 4-28

Summary 4-30

ExamSkills 4-31

ActiveandReactiveMonitoring

INTHISSECTION...

Activemonitoringisaboutcheckingtoensurethatstandardsaremetandthattheworkplaceis,infact,safeandfreeofhealthrisksbeforeanyunwantedeventtakesplace.

Safety inspections, sampling and tours are three active monitoring methods that can be used to checkconformancetostandardsandthatplayanimportantroleinensuringthatsafetystandardsareacceptableintheworkplace.

Activemonitoringmethodsareoftencalledleadingindicatorsbecausetheygiveanindicationofthedirectionoffuturehealthandsafetyperformance.

Variousfactorsmustbeconsideredwhensettingupanactivemonitoringsystem,suchas:

Typeofinspection,tourorsamplingexercise.

Frequencyofactivemonitoring.

Responsibilitiesforcarryingitout.

Competenceandobjectivityofthepersondoingthemonitoring.

Useofchecklists.

Actionplanningforproblemsfound.

Reactivemonitoringisaboutmeasuringsafetyperformancebyreferencetoaccidents,incidents,illhealthandotheruntowardeventsthathavealreadyoccurred.

Reactivemonitoringusuallymakesuseofstatisticssuchasaccidentrates.Theseareoftencalledlaggingindicatorsbecausetheygiveanindicationofthedirectionofpasthealthandsafetyperformance.

IntroductiontoActiveandReactiveMonitoring

Healthandsafetyperformanceshouldbemonitored.Thiscanbedoneusingvariousmethodsthatfallintotwobroadcategories:

Active monitoring – checking to ensure that health and safetystandardsarecorrectintheworkplacebeforeaccidents,incidents,orillhealtharecaused.

Reactivemonitoring–usingaccidents,incidentsandillhealthasindicatorsofperformancetohighlightareasofconcern.

In allworkplacesbothtypesofmonitoringareuseful.

Monitoringshouldbealine-managementfunction,butrememberthatseniormanagementhasresponsibilityforensuringthateffectivehealthandsafetyperformancemonitoringsystemsareinplace.

ActiveMonitoring

Activemonitoringisconcernedwithcheckingstandardsbeforeanunwantedeventoccurs.Theintentionistoidentify:

Conformancewithstandards,sothatgoodperformanceisrecognisedandmaintained.

Non-conformancewithstandards,sothatthereasonforthatnon-conformancecanbeidentifiedandcorrective

actiontaken.

Therearemanydifferentwaysofactivelymonitoringhealthandsafetyperformance(someofwhichwewilloutlineinthefollowingsections).Thevariousactivemonitoringmethodsareoftencalledleadingindicators.

Leadingindicatorsareindicatorsthatshowthedirectionoftravelbeforeunwantedevents(suchasanaccident)occur.Ifleadingindicatorsaremovinginapositivedirection,thenthechanceofhavingaccidentsisreduced.

Conversely,ifleadingindicatorsaremovinginanegativedirection,thenthechanceofhavingaccidentsisincreased.

For example, if safety inspections are being correctly carried out and very few issues are being spotted duringthose inspections (because the workplace is being well managed), then this is a leading indicator that is positive.It indicates that health and safety standards are being met and so there should be a low chance of accidentshappening. However, if there is a decline in the number of inspections being carried out, or the inspections beingdonearenotbeingdoneproperly,orthereisanincreaseinthenumberofdefectsfound,thisisaleadingindicatormoving in a negative direction. It indicates that health and safety standards are not being met and so there is anincreasingchanceofaccidentshappening.

Inmanyworkplaces,activemonitoringplaysacrucialroleincheckingthatthestandardsthatshouldbemetare,infact, met. It allows management to resolve problems before those problems become critical. It also allows workersto see that checks are being carried out and perhaps get involved in the checking process. Worker and seniormanagementinvolvementinthishelpstoreinforceapositivehealthandsafetyculture.

PerformanceStandards

Activemonitoringofhealthandsafetyrequiresidentificationofexactlywhattomonitorandwhatlevelof

performanceisacceptable,i.e.theperformancestandard.

Performance standards can be concerned with the physical control of workplace hazards and conditions. Forexample,therearestandardsthatascaffoldstructureshouldmeet(i.e.conformto)withregardstheworkplatform,toe boards and guardrails in order for it to be considered safe (more on this topic later in the course in Element 8).Thiscanthenbeactivelymonitored(checked)bycarryingoutaroutineinspectionofthescaffoldinordertoensurethatitmeetsthestandard.

In this way active monitoring is concerned with checking the physical condition of the workplace and the way thathazardsarebeingcontrolled.

Butyoucanalsocouldactivelymonitorhealthandsafetymanagementactivitiestogiveameasureofconformancetoperformancestandards.Forexample:

Numberandqualityofriskassessmentscoveringworkactivities.

Provisionofhealthandsafetytrainingtoschedule.

Completionofconsultativecommitteemeetingstoschedule.

Completionofworkplaceinspectionstoschedule.

Completionofsafety-reviewmeetings toschedule.

All ofthesehealthandsafetymanagementactivitiesarelikelyto betakingplaceintheworkplace,soitis possibletoassesswhethertheyarehappeningornot.Inmostinstances,youcanalsomeasurethedegreetowhichtheyarehappening and sometimes even their quality. For example, a standard might be that when contractors start newwork on site there should be suitable and sufficient risk assessments to cover their work. The presence or absenceofriskassessmentscanbechecked.Thenumberofriskassessmentscanbemeasuredtoquantifyconformance.Thequalityofeachriskassessmentcanbejudged.Inthisway,afullpictureofconformancecanbebuiltup.

SafetyInspections,SamplingandTours

There arethreeslightlydifferentmethodsofactivemonitoringthat wewillcoverinthecourse,eachofwhichhasaplaceinanactivemonitoringregime. (Remember that the actual names given to these methods mayvarybetweenworkplaces.)

SafetyInspections

The term ‘safety inspection’ implies an examination of the workplaceandworkingconditionssothatcomparisonscanbemadetoexpectedperformancestandards(whetherin-houseorastatutorystandard).

Examplesinclude:

The routine general workplace inspection to determine if generalstandardsofhealthandsafetyareacceptable,orifcorrectiveactionisnecessary(e.g.aquarterlyhousekeepinginspectioninanoffice).

The statutory inspection of an item by a competent person to fulfil alegalrequirement(e.g.theannualthoroughexaminationofanitemofliftingequipment).



Weeklyinspectionbyasitesupervisor

TheperiodicinspectionofplantandmachineryaspartofaPlannedPreventiveMaintenance(PPM)programme(e.g.amechanicinspectsthebrakesonalorryonaregularbasistoensuretheyarenotexcessivelyworn).

Thepre-usecheckscarriedoutbyworkersbeforetheyusecertainitemsofplantandmachinery(e.g.thestart-upcheckscarriedoutbyaforklift-truckdriver).

Alltheseinspectionscanberepeatedroutinelytoformaninspectionregime,andcanallberecordedtoprovideevidenceofinspection.

GeneralWorkplaceInspections

Tofocusonthefirstoftheseactivemonitoringmethods,onepopularwaytoactivelymonitorhealthandsafety

performanceistocarryoutgeneralworkplaceinspections.Theseinspectionsoftenfocuson‘thefourPs’:

Plant–machinery,equipmentandvehicles.

Premises– the workplace and the working environment.

People–working methodsand behaviour.

Procedures–safesystemsofwork,methodstatements,permitstowork,etc.

Aninspectionmightconcentrateonone,severalorallfouroftheseareas.Systematicgeneralworkplaceinspectionregimesusuallyexistinmanydifferentformswithindifferentworkplaces.

Forexample,inadistributionwarehouse(depot)theremightbe:

Adailyinspectionregimewhereforklift-truckdriversinspecttheirownvehiclesatthestartofeachshift–plant.

Aweeklyinspectionregimewheresupervisorscheckthatforklifttrucksarebeingdrivensafely–people.

Amonthlyinspectionregimewherethemanagercheckstheentirewarehouseforhousekeeping–premises.

Asix-monthlyinspectionofeachforklifttruckbyacompetentmechanictoensurethesafetyofthevehicleasapartofthePPM–plant.

Anannualformalinspectionofthestoragerackingtoensurestructuralintegrity–premises.

If this series of inspections is in place then it is possible to monitor the degree to which each is being carried outsuccessfully.Inthisway,twodifferenttypesofactivemonitoringarebeingcarriedout:oneontheworkplacedirectly(thefourPs),andoneonthesafetymanagementsystem.

SafetySampling

Thisisthetechniqueofmonitoringconformancewithaparticularworkplacestandardbylookingatarepresentativesample only. If a big enough sample is collected, then there is a strong likelihood that the results of the sample willreflecttheresultsfortheworkplaceasawhole.

Forexample,ifthelegalstandardinalargeofficecomplexisthatall1,200fireextinguishersmustbeinspected

annuallybyacompetentengineer,thenthereareseveralwaystomonitorthisstandard:

Checkthemaintenancerecordstoensureeachandeveryfireextinguisherhasbeensignedoff.

Checkall1,200fireextinguishersdirectlybyinspectingeveryonetomakesureithasthecompetentengineer’s

signatureonit.

Checkarepresentativesampleof,say,50extinguishersselectedatrandomfromvariouslocationsaroundthe

complex.

The last method in this example is safety sampling. It provides better evidence of compliance to the standard thansimply checking the engineer’s maintenance records, since they may have signed extinguishers off without everinspectinganyofthem.Itisalsofarlesstime-consumingandonerousthancheckingall1,200extinguishersdirectly.

Safetysamplingasanactivemonitoringmethoddoesnotguarantee100%conformancetostandard.Insteaditprovides an assurance that the standard is being met, or gives an indication of where there are problems withconformance.

SafetyTours

A safety tour is a high-profile inspection of a workplace carried out byagrouporteam,includingmanagers.Thetourmaybeformal,butcanalsobeinformal–awalk-aroundlookingatpointsofinterest(usually

unscheduled). The group carrying out the tour should include the managerof the area being inspected and possibly a worker or worker representative,ahealthandsafetyspecialist,anoccupationalhealthspecialistandperhapsan engineer. Ideally the group would also include a senior manager (suchasasenioroperationsmanagerordirector).

Unlikeasafetyinspection,whichwilloftenbeconductedbyonepersonandhaveaverynarrowandspecificfocus,asafetytourusuallylooksatanyhealth and safety issuethat come tolight during thewalk around. Itis often

unconstrainedanddoesnotsimplylookatanarrow,predeterminedtopicorissue.

One of the keyfeatures of asafety tour is thatthe group interactswith workers asthey go about theirnormal work

routines.Thisisahigh-profile,visibleeventwheremanagementhavetheopportunitytointeractwithworkersandshowtheirinterestin,andcommitmentto,healthandsafetytotheworkforce.Thiscanhaveaverysignificant

impact on raising the profile of specific health and safety problems found. Equally importantly it can have a powerfuleffect on improvingthe health andsafety culture asit provides anopportunity for managersto not onlyidentify anddiscussproblemsandissues,butalsorecogniseandpraisegoodperformance.

ArrangementsforActiveMonitoring

Certainfactorsmustbeconsideredbeforeanactivemonitoringsystemisintroduced,including:

Thetypeofactivemonitoring–activemonitoringiscarriedoutforanumberof differentreasonsanddifferentmethodsexaminedifferentaspectsofsafetyintheworkplace.Isthis:

Ageneralinspectionofaworkplacetoensurelegalconformancewithacompanystandard?

Asamplingexercisetolookataspecifictypeofitemorequipment(such

aliftingaccessories)?

Ahigh-profilesafetytourofanentiredepartment?

Thefrequencyofmonitoring–likelytobedeterminedbyboththetypeofinspectionandthelevelofrisk.For

example, a general workplace inspection might be conducted in an office once a month, but once a week inaworkshopenvironment toreflectthe higherrisk. Thefrequencywill alsobe affectedbythe practicalitiesof

doingthemonitoringandtheavailabilityofpeople.Safetytoursinvolvingseniormanagersareoftenconductedmonthlyforthisreason.

Allocationofresponsibilities–thoseresponsibleforensuringthattheactivemonitoringtakeplaceshouldbe

identified,asshouldthepeoplewhowillbetaskedwithcarryingitout.

The competence and objectivity of the inspector – essential characteristics of whoever is conducting theactivemonitoring;thepersonshouldhavethenecessarytraining,knowledgeandexperience.Insomeinstances,certification to a specific standard will be required. In other situations, all that is necessary is an understandingoftheworkplace,healthandsafetyprinciples,andawillingnesstoaskquestions.Aninspectoralsoneedstobeimpartial and objective in their approach, even when looking at an area that they are very familiar with. Trainingmayberequiredforthosewhowillbeconductinginspections.

Theuseofchecklists–thesearevaluabletoolsforuseduringtheactivemonitoringprocess.Checklistsensurethat:

Allpointsarecoveredbythecheck.

Thereisaconsistencyofapproachtotheprocess.

Thereisa formofwritten recordof themonitoringand itsfindings.

However, checklists do have theirweaknesses, the most importantbeing that an inspector mightonly deal with thepointsonthechecklist.Theymayignoreissuesthatexistintheworkplaceiftheyarenotincludedonthechecklist.

Action planning for problems found – so that appropriate action is taken following the active monitoring toresolveissuesinatimelymanner.Aninspectionsystemthatidentifiesaproblemorissuebutthendoesnotresultinactionbeingtakenisaflawedsystem.Theremustbeclearidentificationofthe:

Correctiveactionrequired.

Personsresponsiblefortakingthataction.

Priorities/timescales.

Theactivemonitoringsystemcanbedocumentedandformalisedonceproceduresbasedonallthesefactorshavebeenagreedupon.

ExampleInspectionSystem

The head office of a bank introduces an inspection system to actively monitor general health and safety standards.Asetofformalarrangementsisdocumentedandincludedinthesafetypolicyofthecompany.Thesearrangementsdescribe:

Thepurposeoftheinspectionsystem–tomonitorgeneralhealthandsafetystandards.

Thefrequencyoftheinspections–onceamonthforallareas.

Competenceofinspectors–theneedforinspectingmanagerstoattendaone-daycourseontheinspectionsystem.

Thepersonsresponsible–managersofaparticularlevelforensuringthatinspectionsarecarriedout,managersofthenextleveldownforactuallydoingtheinspections.

Inspectionchecklist–agenericchecklistthatisappropriatetoallofficeareas,whichmaybetailoredbythe

inspectorifnecessary.

Follow-uparrangements–anactionplantableiscreatedandincludedontheinspectionchecklist.

Itisworthnotingthatstudentswillbecarryingoutaworkplaceinspectioninthesecondhalfoftheirstudiestoidentifyhazardsandcorrectiveactionsaspartofthepracticalassessment.

ReactiveMonitoring

Reactive monitoring uses incidents, ill health and other unwanted eventsand situations as indicators of health and safety performance to highlightareasofconcern.Bydefinition,thismeans‘reacting’afterthingshavegonewrong.Thisindicatestwoweaknesseswithreactivemonitoring:

Thingshavealreadygonewrong;thingsarebeingputrightaftertheeventratherthanbefore.

Itmeasuresfailure,whichcanbeanegativeaspecttofocuson.

Despite these weaknesses, reactive monitoring is a valid tool for anorganisationtouse,aslongasvariousformsofactivemonitoringarebeingcarried out as well. Reactive monitoring can be carried out by learninglessons:

Fromoneindividualevent,suchasanaccident,dangerousoccurrence,nearmissorcaseofillhealth.

Fromdatagatheredfromlargenumbersofthesametypesofevent.

Thefirstmethodinvolveseventreporting,recordingandinvestigation(seelaterinthiselement).Thesecond

methodisconcernedwiththecollectionanduseofstatistics.

Reactivemonitoringmethodsareoftencalledlaggingindicators,thatis,indicatorsthatshowthedirectionoftravelafterunwantedevents(suchasanaccident)occur.Iflaggingindicatorsaremovinginapositivedirectionthen

thechanceofaccidentshasreduced.Conversely,iflaggingindicatorsaremovinginanegativedirectionthatisanindicationthatthechanceofaccidentshasincreased.

For example, if the accident rate at a workplace reduces month-on-month over a period of time (because of varioussafety improvements introduced in the workplace) then this is a lagging indicator that is moving in a positivedirection. It shows that the chance of accidents has reduced over recent time. However, if there was an increase intheaccidentrate,thisisalaggingindicatormovinginanegativedirection.Itshowsthatperformanceisdeterioratingandtherehasbeenalossofcontrol.

Laggingindicatorstellyouinformationaboutwhatyourperformancewasinthepast.Incontrast,leadingindicators(asoutlinedintheActiveMonitoringsection)tellyouwhatyourperformanceislikelytobeinthefuture.

Statistics

Data can be collected and reported about a number of different unwantedevents,suchas:

Accidents.

Dangerousoccurrences.

Nearmisses.

Casesofillhealth.

Complaintsfromtheworkforce.

Thenumberandtypeofformalenforcementactionstakenagainsttheorganisation.

Thenumberandvalueofcivilclaimsforcompensationagainsttheorganisation.

Costofaccidents(e.g.damagerepairs).

Thisdatacanthenbeanalysedtoseeifthereareany:

Trends–consistentincreasesordecreasesinthenumberofcertaintypesofeventoveraperiodoftime.

Patterns–collectionsorhot-spotsofcertaintypesofevent.

Thisanalysisusuallyinvolvesconvertingtherawdata(i.e.theactualnumbers)intoanaccidentratesothatmoremeaningfulcomparisonscanbemade.

Onecommonlyusedaccidentrateusedtomeasureanorganisation’ssafetyperformanceistheLost-timeAccidentFrequencyRate:

= Number oflost-timeaccidents duringaspecifictime period×100,000

Numberofhoursworkedoverthesameperiod

(Theansweris inunitsof ‘lost-timeaccidentsper 100,000hoursworked’.)

The reason why a rate might be used rather than the actual numbers is because it allows for a more meaningfulcomparisonofaccidentstatisticsfromoneyeartothenext,eventhoughthenumbersofworkersintheworkplacemayhavechangedortheremaybemoreworktodo(andhencemorehoursworked).

Investigating,RecordingandReportingIncidents

INTHISSECTION...

Incidentsshouldbeinvestigatedforseveralreasons,perhapsthemostimportantofwhichistodiscoverthecausessothatcorrectiveactioncanbetakentopreventsimilarincidentsfromhappeningagain.

Incidentscanbecategorisedintermsoftheiroutcome:nearmiss,accident(injuryand/ordamage),dangerousoccurrenceandillhealth.

The level of investigation used should be determined by considering the foreseeable consequences of theincidentshouldithappenagain,andnotsimplybylookingattheactualoutcomethatoccurredonthisoccasion.

Basicincidentinvestigationprocedureisto:

Gatherfactualinformationabouttheevent.

Analysethatinformationtodrawconclusionsabouttheimmediateandrootcauses.

Identifysuitablecontrolmeasure.

Plantheremedialactions.

Arrangementsshouldbemadefortheinternalreportingofallwork-relatedincidents,andworkersshouldbeencouragedtodoso.

Recordsofwork-relatedinjuriesshouldbekept.

Certaintypesofincident–suchasfatalities,majorinjuries,occupationaldiseasesandsomedangerousoccurrences–havetobereportedtoexternalagencies.

IntroductiontoIncidentInvestigation

Unfortunately, in spite of an organisation’s best efforts, accidents dohappen. When they happen, it is important that the incident is reported,recordedandinvestigatedinanappropriateandtimelymanner.

Therearemanyreasonsforconductinginvestigations,butoneofthemostimportant is that having happened once, an incident may happen again;andwhenithappensagaintheoutcomemaybeasbadas,orworsethan,itwasthefirsttime.Itisthereforeimportanttounderstandexactlywhythe incident occurred so that corrective action can be taken to prevent arecurrence. Often the only thing that separates a near-miss or a minor-injuryaccidentfromaserious-injuryaccidentisluck(orchance).Theplacewhere one worker trips and stumbles on the steps one day, may be theplacewhereanotherworkerwilltrip,fallandbreaktheirarmthenext.Itfollowsthatallincidentsshouldbeexaminedtodeterminethepotentialforseriousharm,injuryorloss.Wherethispotentialexists,athorough

investigationshould be carried out to prevent that potential from becoming actual.

Itis also likely thatif near-miss events are rigorouslyreported there will be afar greater number ofevents to

consider,providingmoredata,whichcanhelphighlightthedeficienciesinthesafetymanagementsystem.

Thisisnottosaythatallincidentsshouldbethoroughlyinvestigatedingreatdepthanddetail–thatwouldbeawasteoftimeandeffortinmanycases–butthatallincidentsshouldbeexaminedforpotentialsothata

decisioncanbemadeastowhetheramoredetailedandthoroughinvestigationisrequired.Thisideaissometimesformalisedintoanorganisation’sinvestigationprocedures.

TypesofIncident

Incidentscanbecategorisedaccordingtotheirnatureandoutcome:

Accident

For example, a worker on the ground is struck on the head and killed by a brick dropped by another worker on a5m-highscaffold;or,alorrydrivermisjudgestheturningcircleoftheirvehicleandknocksoverabarrierattheedge

ofasiteentrance,crushingthebarrierbeyondrepair.Notethatinbothoftheseexamplestheactsarenotcarriedoutdeliberately.Anaccidentisunplanned.Anydeliberateattempttocauseinjuryorlossisthereforenotanaccident.

Accidentscanbefurthersubdividedinto:

Injuryaccidents–anunplanned,unwantedeventwhichleadstopersonalinjuryofsomesort.

Damage-only accident– anunplanned, unwanted eventwhich leadsto damage toequipment or property.

NearMiss

Forexample,aworkerdropsabrickfroma5m-highscaffoldanditnarrowlymissesanotherworkerstandingontheground. No injury results and the brick is not even broken. The only thing that separates accidents and near missesistheoutcomeoftheevent.Anaccidentcausesloss,anearmissdoesnot.

DangerousOccurrence

Forexample,undertheUK’sReportingofInjuries,DiseasesandDangerousOccurrencesRegulations2013(RIDDOR)certain types of event have tobe reported to the relevant authority, eventhough no injury or ill healthmay have resulted. For example, the failure of the load-bearing parts of a crane is a dangerous occurrence. Noperson has to be injured by the failure, the failure itself is reportable. This topic is dealt with in more detail later inthiselement.

Reportingofthesedangerousoccurrencestotherelevantauthoritiesisusuallyarequirementoflawinmostcountriesandregionsaroundtheworld.

Work-RelatedIllHealth

For example, dermatitis is a disease of the skin often caused by workactivities, especially when the handling of solvents, detergents or irritantsubstancesisinvolved.

Work-related ill health includes diseases and conditions related toexposureto:

Toxicsubstances(e.g.leadpoisoningcausedbyexposuretoleadfumes).

Harmfulbiologicalagents(e.g.Legionnaires’diseasecausedbyexposuretoLegionellabacteria).

Physicalorergonomichazards(e.g.noise-inducedhearinglosscausedbyexposuretoexcessivenoise).

Ergonomichazards(e.g.upperlimbdisordercausedbyrepetitivehandling).

Psychologicalhazards(e.g.clinicaldepressioncausedbyexcessivepressure).



Dermatitis

Illhealthcanresultfromasingleincident.Forexample,itispossibletodevelopdermatitisasaresultofasingleexposure to an irritant substance. However, many forms of ill health do not result from a single incident but fromongoingorlong-lastingworkingconditionsormultipleexposures.

LevelofInvestigation

The amount of time, money and effort put into an incident investigation should be proportionate to the riskassociated with the incident should it happen again. This risk estimation must be made based on the foreseeableandpossibleseverityofharmorlossassociatedwiththeincident.Itmustnotbebasedsolelyontheactualseverityofharmorlossassociatedwiththeincidentthistime.

So, for example, the effort put into investigating an accident that resulted in a worker breaking their arm should notbedeterminedsimplybylookingatthefactthattheoutcomewasabrokenarm(whichis,ofcourse,aseriousinjury).The foreseeable and possible severity of harm associated with a repeat event must be taken into account. If a fatalinjury is a very likely outcome from this event (and the worker was lucky to escape with just a broken arm on thisoccasion)thenmoretime,moneyandeffortmustbededicatedtotheinvestigationprocess.

Similarly,theeffortputintoinvestigatinganearmissmustbedeterminedbytheforeseeablepossibleharmorlossifthe event happens again. Not simply on the basis that the near miss did not cause any harm or loss. So a near missthatmightforeseeablyresultinalost-timeinjuryshouldbeinvestigatedwithaproportionatelevelofinvestigation.

Whendeterminingwhatlevelofinvestigationtoapplytheriskassociatedwitheachincidentcanbeestimatedinordertoallocateappropriateresources.AsweknowfromElement3,riskcanbeestimatedbyconsideringthelikelihoodofoccurrenceandforeseeableseverityofharmorloss.

Thiscanbeusedtodeterminewhetheraninvestigationshouldbe:

Minimal–immediatelinemanagerandnotexcessivetimeoreffort.

Low–linemanagerperhapswithsomesupportandmoretimeandeffortinvolved.

Medium–middlemanagerwithsupportandsignificanttimeandeffort.

High–senior managementoversight with team based approach and significanttime and effort.

BasicInvestigationProcedures

Wheninvestigatinganaccidentorothertypeofincident,therearesomebasicprinciplesandproceduresthatcanbeused:

Step1:Gatherfactualinformationabouttheevent.

Step2:Analysethatinformationanddrawconclusionsabouttheimmediateandrootcauses.

Step3:Identifysuitablecontrolmeasures.

Step4:Plantheremedialactions.

However,beforetheinvestigationcanbegin,therearetwoimportantissuesthatshouldbeconsidered:

Safetyofthescene–istheareasafetoapproach?Isimmediateactionneededtoeliminatedangerevenbeforecasualtiesareapproached?

Casualtycare–anyinjuredpeoplewillrequirefirst-aidtreatmentandmayneedhospitalisation.Thisis,of

course,apriority.Itisalsoworthconsideringthewelfareofuninjuredbystanderswhomaybeinshock.

Onceimmediatedangerhasbeeneliminatedandcasualtieshavebeenattendedto,adecisionhastobemadeaboutthetypeorlevelofinvestigationasoutlinedabove.

Itmaybeusefulforanorganisationtodevelopachecklisttoguidetheinvestigatorthroughtheprocessandactasamemoryaide.

Step1:GatheringInformation

Securethesceneassoonaspossibletopreventitbeingaltered.

Collect witnesses’ details quickly, before they start to move away. Insomecasesitmayhelptoremovewitnessesfromthesceneandaskthem to wait in a separate area. If there are many witnesses it maybe better to separate them from each other to prevent them fromconferringwitheachotheranddevelopingan‘agreed’story.

Collectfactualinformationfromthesceneandrecordit.Thismightbedonebymeansof:

Photographs.

Sketches.

Measurements.

Videos.

Writtendescriptionsoffactorssuchaswindspeed,temperature,etc.

Physicalevidencesuchassamples,ortheequipmentthathasfailed.

Markingupexistingsite/locationplans.



Accident investigator takingmeasurements

Theinvestigatorshouldcomepreparedwiththeappropriateequipmenttorecordthisinformation.

Oncethescenehasbeenthoroughlyexamined,moveontothesecondsourceofinformation:witnesses.

Witnessesoftenprovidecrucialevidenceaboutwhatoccurredbefore,duringandafterincidents.Theyshouldbeinterviewedcarefullytomakesurethatgood-qualityevidenceisgathered.

Oncewitnesseshavebeeninterviewed,moveontothethirdsourceofinformation:documentation.Variousdocumentsmaybeexaminedduringanaccidentinvestigation,suchas:

Companypolicies.

Riskassessments.

Trainingrecords.

Safesystemsofwork.

Permitstowork.

Maintenancerecords.

Siteplans,arealayoutplans.

Previousaccidentreports.

Sicknessandabsencerecords.

Step2:AnalysingInformation

Thepurposehereistodrawconclusionsabouttheimmediateandrootcausesoftheincident.

Immediatecausesaretheobviouscausesthatgaverisetotheeventitself.Thesewillbethethingsthatoccurredatthetimeandplaceoftheaccident.For example, a worker slips on a patch of oil spilt on the floor, injuring theirback as they fall backwards and hit the ground. The immediate cause ofthe back injury is hitting the ground, but there are many contributors to thiscause. It is common to think of these in terms of unsafe acts and unsafeconditions. So here, for example, we might have the slippery oil (unsafecondition),andtheworkerwalkingthroughit(unsafeact).

Underlying or root causes are the things that lie behind the immediatecauses.Often,rootcauseswillbefailuresinthemanagementsystem,suchas:

Failuretoadequatelysuperviseworkers.

FailuretoprovideappropriatePPE.

Failuretoprovideadequatetraining.

Lackofmaintenance.



Theremaybemorethanonecauseforanaccident

Inadequatecheckingorinspections.

Failuretocarryoutproperriskassessments.

For example, with the slip we described above, the root causes might be a poorly maintained machine that hasleakedoilontothefloor,andapoorlyinspectedandmaintainedworkshopwithbrokenlightfittingsandinadequatelighting levels. Here, the worker might be blameless on the basis that, given those conditions, the accident wasboundtohappeneventually.

Many of the accidents that happen in workplaces have one immediate cause and one underlying or root cause. Ifthatonerootcauseisidentifiedanddealtwith,thentheaccidentshouldnothappenagain.Forexample,ifaworkertwists theirankleinapothole inthepavement,thenthe obvioussolutionistofill thepotholein.Itmight alsobeworth askinghowlongthepotholehadbeen there.Ifithadbeentherefora longtime,whywasitnotspottedsooner? And if it had been spotted, why had it been left unrepaired with no interim measure being taken to protectpeople?

Thesequestionsmightidentifyanunderlyingcause,suchasinadequateinspectionandmaintenance,orfailuretoputinterimmeasuresinplacewhilewaitingformaintenanceworktobecarriedout.

In contrast to this single-cause idea, some workplace accidents are complex and have multiple causes: there areseveralimmediatecausesfortheaccidentandeachofthesehasunderlying,orrootcauses.Forexample,aworkermightbestruckbyaloadbeingcarriedbyaforklifttruck.Immediatecausesforsuchanaccidentmightbe:

Failuretosecuretheloadonthepallet.

Poorroadpositioningofthetruckclosetoapedestrianexit.

Aggressivebrakingbythetruckdriver.

Aninattentivepedestriansteppingoutinfrontofthetruck.

Oninvestigation,eachoftheseimmediatecausesmighthavetheirownseparaterootcauses,suchas:

Notrainingforthedriver,whoisnewtotheworkplace,hasnotworkedwiththistypeofloadbeforeandisunawareoftheload-securingtechniquerequired.

Lackofsegregationofpedestrianandtrafficroutes;nobarriersandnomarkingstoseparatethetwo.

Lack of proper driver induction into their new workplace so they are unaware of the layout and position ofpedestrianexits,etc.

Poormaintenanceofthetruck.

Norefreshertrainingforexistingstaff,meaningthatexperiencedstaffhavebecomecomplacent.

Iftherearemultiplecausesfortheaccident,thenitisimportantthateachofthesecausesisidentifiedduringthe

investigation – otherwise, incompleteremedial action willbe taken andsimilar accidents may happenin the future.

Step3:IdentifyingSuitableControlMeasures

Once the immediate and underlying causes of the accident are known,appropriate control measures can be identified. It is important that thecorrect control measures are established – otherwise, time, money andeffortwillbewastedoninadequateandunnecessarymeasuresthatwillnotpreventsimilaroccurrencesinthefuture.

Control measures must be identified to remedy both the immediate andunderlyingcauses.Immediatecausesareusuallyeasytoidentify–ifthereis a spill of oil on the floor, clean it up; if the guard is missing from themachine,reattachit.

Controlmeasuresmeanaccidentsarelesslikelytorecur

Underlyingcausescanbehardertodeterminebecausetheyreflectfailureofthemanagementsystem.However,itisessential that the correct control measures to remedy the failure of the management system are identified becausethiswillhelppreventsimilaraccidentsoccurringinsimilarcircumstanceacrosstheentireorganisation.Forexample,ifaworkerslipsonsomeoilthathasleakedoutofavehicleinthedistributiondepot,anemployermay:

Cleanuptheoilleakingoutofthevehicle(theimmediatecause),butfailtodealwiththeunderlyingcause(lackof inspection and maintenance). This could lead to more leaks, which in turn may lead to more pedestrian slips(andperhapsvehicleskids).

Cleanuptheoilleakingoutofthevehicleanddealwiththeunderlyingcause(byintroducingaproperinspectionand maintenance system). In this instance, there is a good chance that most oil leaks will be prevented in thefutureforallvehiclesinthefleetatalllocations.

Perhapsthemostimportantquestionstoaskwhenidentifyingcontrolmeasuresare:

Ifthisactionistaken,willitpreventthesameaccidentfromhappeninginexactlythesamewayatthislocation?

If this action is taken, will it prevent other similar types of accident from happening in similar locations in thefuture?

Iftheanswertobothofthesequestionsis‘no’,thenyouneedtoidentifyothercontrolmeasures.

Step4:PlanningtheRemedialActions

Anincidentinvestigationshouldleadtocorrectiveactionbeingtaken,injustthesamewayasaworkplaceinspectionwill.Remedialactionscanbepresentedinanactionplan:

RecommendedAction

Priority

Timescale

ResponsiblePerson

Introduce inductiontraining forall newdrivers

Medium

1month

Warehousemanager

Whentheactionplanisbeingprepared,appropriateimmediateandinterimcontrolmeasuresmustbegivensuitableprioritiesandtimescales.

Unsafe conditions must not be allowed to persist in the workplace.Dangerous practices and high-risk activities must be dealt withimmediately. This means that immediate action must be taken to remedythesecircumstanceswhentheyarediscovered.Machineryandequipmentmay have to be taken out of action, certain work activities suspended, andlocationsevacuated.Theseresponsescannotbeleftuntiltheinvestigationhas been completed. They will have to be implemented immediately toensuresafetywhiletheinvestigationisinprogress.

There may be interim control measures that can be introduced in the short-tomedium-termtoallowworktoproceedwhilelonger-termsolutionsarebeing worked out. For example, hearing protection might be introduced asashort-termcontrolmeasureuntilthemaintenanceofapieceofmachinerythat is producing excessive noise has been completed. A perimeter guardmight be fitted around an overheating machine that would ordinarily be

protected with a fixedenclosed guard whilenew cooling unitsare sourced

anddelivered.

Hearingprotectioncouldbeashort-term

controlmeasure

Underlyingcauseswilloftendemandsignificanttime,moneyandefforttoremedy.Itisessential,therefore,thattheremedial actions that will have the greatest impact are prioritised and timetabled first. There may be actions thathave to be taken (to address a management weakness, or to achieve legal compliance) that will not be as effectiveinpreventingfutureaccidents.Theseactionsshouldstillbetaken,butwithalowerpriority.

RecordingandReportingRequirements

Work-related incidentsshouldbe reportedinternallybyworkers tomanagement.Thesystemputinplacebyanorganisationtoallowforthisshould be described in the Arrangements section of the organisation’ssafetypolicy.

It is standard practice for workers to verbally report incidents to theirimmediate line manager, followed by completion of an internal incidentreport form. There are occasions when this simple verbal reportingprocedureisnotappropriate,andamorecomplexreportingprocedurethenhas to be introduced. For example, a lone-working contractor visiting aclient’s premises may have to report their accident to the client as well astotheirimmediatelinemanager.

InternalIncidentReportingSystems

Whenestablishinganincident-reportingpolicy,theorganisationshouldbeclear aboutthe type ofincident that hasto bereported by workers.It



Internalreportingtolinemanager

is usual to include a list of definitions in the policy so that workers understand the phrases used. For example, ifthe organisation wantsworkers toreport near-misses, itmust specifythis in thepolicy andbe clear aboutwhat thephrase‘near-miss’actuallymeans.

Having established an incident-reporting policy, the organisation must encourage workers to report all relevantincidents.Unfortunately,therearemanyreasonswhyworkersdonotreportincidents.

Theorganisationshouldtrytoremoveeachofthesebarrierstoensurethateveryrelevantincidentisreportedinatimely manner. Most of these barriers can be dealt with by having a well-prepared, clearly-stated policy, adoptinguser-friendlyproceduresandpaperwork,andtrainingstaffintheprocedures.Anorganisationcantakedisciplinaryactionagainstworkerswhofailtoreportincidentsiftheyhavebeengiventhetrainingandmeanstodoso.

If fatal or major injuries, high-cost events, high-profile incidents or environmental events occur, it will be necessarytonotifycertaininternalpersonnelimmediately.Seniormanagement,humanresources,safetyand/orenvironmentalmanagementandworkerrepresentativesmayallhavetobenotified.Actionbythesestaffmaythenberequired

toinformexternalpartiesasnecessary(e.g.thefamilyofthecasualty,externalauthorities,insurancecompanies,publicrelationsadvisers).Theseinternalandexternalcontactprocedures,orescalationprocedures,shouldbedocumentedintheincidentreportingsectionofthesafetypolicy.

IncidentRecording

Whenawork-relatedincidentisreported,arecordisusuallycreatedofthatevent(insomeinstancesthereportis

filedinwrittenform,soreportingandrecordingareoneandthesamething).

As a minimum, organisations should keep a record of all work-related accidents that result in personal injury. Thisisusuallydictatedbyregionalstatutelawandthereisoftenastandardaccidentrecordformorbookthatshouldbeused. This record must then be kept by the organisation; the length of time that it has to be retained is usually alsosubjecttostatutelaw.

Separateformscanalsotakeaccountofnearmissesandreportsofillhealth.Thesedonotneedtoincludestandardaccidentbookdataasthereisnoexplicitlegalrequirementtokeeparecordofmostnearmisses.

Organisationsoftenhaveseparateformsfortherecordingofaccidents(asabove)andtherecordingofaccidentinvestigations.Thisisanimportantdistinctiontomake;theaccidentrecordistheinitialrecordofthebasicfactsoftheinjury;theaccidentinvestigationreportisthedetailedexaminationofwhatcausedthatinjuryandwhyit

happened(immediate,underlyingandrootcauses)aswellasthecorrectiveactionsrequiredtopreventrecurrence.Thesedonothavetoberecordedinthesamedocument.

ReportingofEventstoExternalAgencies

Most countries have statute law that requires certain types of event to be reported to relevant governmentappointedagencies.Allcountriesagreethatfatalaccidentsmustbereported,howeverthelevelofdetailofothertypesofeventthatneedtobereporteddiffersbetweencountries.

Typicalreportableeventsinclude:

Accidentsresultinginmajorinjury(e.g.anamputation,suchaslossofahandthroughcontactwithmachineparts).

Dangerousoccurrences(e.g.thefailureofanitemofliftingequipment,suchasthestructuralfailureofapassengerliftduringuse).

Occupationaldiseases(e.g.mesothelioma,aformofcancerofthelining of the lung, as might be contracted by someone exposed toasbestos).

Other typesof eventoftenfall intothisreporting regime,suchas lost-timeinjuries, where workers are unable to perform their normal duties for acertain time period. Local statute law usually specifies how these reportsaremadeandthetimescalesforreporting.

Lungcancercanbecausedbyworkingwithasbestos

The International Labour Organization (ILO) has published several international standards on recommendedreporting procedures. The principal reference is the 2002 Protocol to the Occupational Safety and HealthConvention 1981 (P155); this greatly expands on the general reporting standards of Article 4 of the OccupationalSafety and Health Convention 1981 (C155). It is supported by Recommendation 194, which lists types ofdiseasesthatshouldbereportedtonationalgovernments.

HealthandSafetyAuditing

INTHISSECTION...

Auditingisthesystematic,objective,criticalevaluationofanorganisation’shealthandsafetymanagementsystem.

Preparationshavetobemadebeforeanauditcommences.

Duringanaudit,threedifferenttypesofevidencewillbesought:documentsandrecords,interviews,anddirectobservationintheworkplace.

Auditreportsfeedinformationbackintothereviewprocesssothatactioncanbetakenforcontinualimprovement.

Auditscaneitherbeconductedbyexternalpersonnelorinternalstaff.Therearestrengthsandweaknessestobothtypes.

IntroductiontoAuditing

TheUK’sHealthandSafetyExecutivepublicationManagingforhealthandsafetydefineshealthandsafetyauditing

as:

“Thestructuredprocessofcollectingindependentinformationontheefficiency,effectivenessandreliabilityof

thetotalhealthandsafetymanagementsystemanddrawingupplansforcorrectiveaction.”

Health and safety audits share many common features with financial,qualityandenvironmentalmanagementaudits;thebasicprinciplesarethesame.

Auditingisamechanismforverifyingthatanorganisation’ssafetymanagementsystemisinplaceandoperatingeffectively.Itis:

Systematic–theauditfollowsaseriesoflogicalstepsandstagesandfollowsapreparedplan.

Objective–allfindingsareevidence-based.

Critical –it highlightsareasof non-complianceornon-conformance.

Theintentionofanauditistoprovidecriticalfeedbackonthemanagementsystem so that appropriate follow-up action can be taken. The auditprocess can, therefore, be viewed as rather negative, since it will tend tofocusonareasofweaknessandnon-conformance.Infact,someauditsdonot make any mention of any positive aspects of the safety managementsystematall;theyfocusentirelyontheweaknesses.Thisis,however,



Audit–structuredprocessofcollectinginformation

inherentinthepurposeoftheaudit–toidentifyweaknessessothattheycanbedealtwith.

Onthepositiveside,auditingisaveryeffectivewayofenhancingorganisationallearning.Itisanopportunitytoimprove:

Themanagementsystem.

Thesafetypolicy.

Thearrangementsmadeforspecificissues.

Healthandsafetyperformance.

Auditing is, in effect, another form of active monitoring. A positive audit report (or a verification audit that results incertification)providesanassurancethathealthandsafetymanagementsystemisrobustandeffective.

TheDistinctionBetweenAuditsandInspections

Anauditfocusesonmanagementsystems:

Itexaminesdocuments,suchasthesafetypolicy,arrangements,procedures,riskassessments,safesystemsofwork,methodstatements,etc.

Itlookscloselyatrecords,suchasthosecreatedtoverifytraining,maintenance,inspections,statutoryexaminations,etc.

Itverifiesthestandardsthatexistwithintheworkplacebyinterviewanddirectobservation.

Aninspectionisasimplerprocessofcheckingtheworkplaceforuncontrolledhazardsandaddressinganythatarefound.

It is important that the term ‘audit’ is used correctly; an audit is the thorough examination of the managementsystem,fromthedocumentsthroughtowhatishappeninginpracticeintheworkplace.

Forexample,wemightinspectthefireextinguishersinabuildingtoverifythattheyarewheretheyshouldbe,

correctly signed, labelled with an in-date inspection, tagged and pinned.

Butwecanauditthefireextinguishermanagementsystemforasitetoverifythat:

Thereisanadequatepolicyonfireextinguishers.

Annualextinguishermaintenancerecordsarecompleteandup-to-date.

Weeklyextinguishervisualinspectionsarebeingdoneandrecorded.

Trainingrecordsonextinguisherusearekeptandarecompleteandup-to-date.

Incidentreportsarecreatedandkeptofanyeventrequiringtheuseoffireextinguishers.

Workersappeartounderstandhowtousefireextinguisherscorrectly.

Thefireextinguishersareinthecorrectlocationandarelabelled,taggedandpinnedasexpected.

Mostofthisinformationcanbegatheredbylookingatdocumentsandrecords,butsomeifithastobecollectedbytalkingtopeopleanddirectobservationintheworkplace.

TheStagesofanAudit

Differentauditsareruninslightlydifferentways.Whatfollowsisafairlytypicalauditprocess.

Pre-AuditPreparations

Beforetheauditstarts,thefollowingshouldbedefined:

The scope of the audit – will it cover justhealth and safety, or environmental management as well?

Theareaoftheaudit–onedepartment?Onewholesite?Allsites?

Theextentoftheaudit–fullycomprehensive(whichmaytakeweeks),ormoreselective?

Whowillberequired–auditorswillneedtobeaccompaniedduringtheirvisitandwillneedaccesstomanagers

andworkersforinformation-gathering,thereforethoserequiredforinterviewsshouldbenotifiedinadvance.

Information-gathering – it is common practice for auditors to ask for copies of relevant documentation beforestartingtheauditsothattheycanprepare.

Theorganisationwillhavetoensurethattheauditoriscompetent,i.e.thattheyhavetherelevantqualifications,experience and knowledge to do the job well. This can apply to both internal and external auditors. If internalstaffareusedasauditors,sufficienttimeandresourceswillhavetobeallocatedsothattheycanbetrainedanddevelopedinthatrole.

Alloftheseelementsoftheauditprocessrequiretheallocationofsufficientmanagementtimeandresources.

DuringtheAudit

Auditors usethree methodsto gatherfactualinformation:

Referencetopaperwork– thedocumentsandrecordsthatindicatewhat should be happening and what has happened relevant to aparticularissue.

Interviews–word-of-mouthevidencegivenbymanagersandworkers.

Directobservation– oftheworkplace,equipment,activitiesandbehaviour.

Auditors will sometimes seek to collect evidence so that their findingscannot be refuted; this can be done by copying paperwork, takingphotographsandhavingawitnesstocorroborateword-of-mouthevidence.

Anauditor’sfavouritephrasesare:‘Showme’and‘Canyouproveit?’

AttheEndoftheAudit

Verbalfeedbackisusuallyprovidedattheendofanaudit;forsomeaudits,thiswillinvolveapresentationto the management team. This verbal feedback will be followed by a written report. The report will makerecommendationsforimprovementandindicateprioritiesandtimescales.

The verbal feedback and report are usually presented to senior management for action and/or praise, as required.This is a demonstration of leadership and, in some cases, it is a requirement in the standards being audited. Themanagementteamhavetheauthorityandresourcestotakeactionwhererequired,andmayalsoneedtoadjusttheorganisationalgoalsandobjectives.

Aftertheaudit,thefeedbackandreportmaycontainanumberoffindingsthatrequireaction.Thesemaybeclassifiedaccordingtotheirsignificance.Forexample,intheISOsystems,thefeedbackisprioritisedas:

Major non-conformance – a significant issue or breach, which requires urgent action. This could result in thefailureofthesafetymanagementsystemand/orresultininjury.InISOterms,amajornon-conformancewouldbegroundsforrefusingcertification.

Minor non-conformance – an issue that is less serious in nature and unlikely to result in injury or a breakdownofthesystem.InISOterms,aminornon-conformancewouldrequirecorrectiveaction,butcertificationwouldbegranted.

Observations–anopiniongivenbytheauditor,whichtheorganisationcoulddecidetoacton.

It is essential that an audit is followed up with action to correct non-conformities. These corrective actions willusuallybecheckedduringthenextaudit.Insomeauditingsystems,thiswillbedonethroughaninterimfollow-upvisitorauditthatsimplylooksatthewaythatthepreviousauditrecommendationshavebeenaddressed.

ExternalandInternalAudits

Auditsareoftencarriedoutbysafetyspecialistsfromoutsidetheorganisation.Theycanalsobedonebyin-housestaff. In many instances both types of audit are carried out at different frequencies by the organisation. There areadvantagesanddisadvantagestobothtypes.

Advantages

Disadvantages

ExternalAudits

Independentofanyinternalinfluence.

Freshpairofeyes.

Mayhavewiderexperienceofdifferenttypesofworkplace.

Recommendationsoftencarrymoreweight.

Expensive.

Timeconsuming.

May not understand thebusinessandmakeimpracticalsuggestions.

May intimidate workers so getincompleteevidence.

InternalAudits

Lessexpensive.

Auditors already know the business soknowwhatcanberealisticallyachieved.

Improvesownershipofissuesfound.

Buildscompetenceinternally.

Auditors may not notice certainissues.

Auditors may not have goodknowledgeofindustryorlegalstandards.

Auditors may not possessauditingskillssomayneedtraining.

Auditors are not independentso may be subject to internalinfluence.

ReviewingHealthandSafetyPerformance

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Health and safety performance should be reviewed by managers at all levels within the organisation on aroutinebasistoensurethatmanagementsystemsareworkingeffectively.

Reviewingperformancereliesondatagatheredfromvarioussources,suchasaccidentdata,inspectionreports,absencedata,safetytoursandaudits.

Reviewsenableactiontobetakensothathealthandsafetyperformanceiscontinuallyimproved.

PurposeofRegularReviews

Reviewing health and safety performance is a key part of any health andsafety management system. The purpose of a review is to identify any keyareasthatneedtobeaddressedandshouldbecarriedoutbymanagersatalllevelswithintheorganisationonaroutinebasis.Eachreviewislikelytohave a different focus and will be conducted at different planned intervals.Forexample:

Afullreviewofsafetymanagementmightbeundertakenatthehighestleveloftheorganisation(boardofdirectors/seniormanagement)onanannualbasis.

Themanagementteammaymeeteveryquartertocarryoutareviewtoensure that performance remains on track (clearly, reviewing progressonly once a year is not enough!). This information will feed into theannualreview.

A review of departmental performance might be conducted everymonth,withtheinformationinthedepartmentalreviewsbeingfedintothequarterlymanagementteamreview.

Theessenceofthereviewprocessistoanswerthequestions:

Areweontarget?

Ifnot,whynot?

Whatdowehavetochange?

Management teams should carry outregularperformancereviews.

For example, if the board of directors set an objective for the organisation to achieve a 5% reduction in the lost-timeaccidentincidenceratewithinoneyear,andtheboardreviewsperformanceattheendofthatyearanda6%

reductionhasbeenachieved,thenclearlytheorganisationisontarget(forthisobjective)andanewobjectivecanbesetforthecomingyear,withtheintentionofachievingcontinualimprovement.

Effectiveperformancereviewsprovideinformationnotonlytotheboardofdirectors,summarisingthehealthandsafety performance of the organisation, but also to the workers. This demonstration of commitment to continualimprovementcanboostmoraleandhelpestablishapositivehealthandsafetyculture.

Recordsofroutineperformancereviewshouldbekepttodemonstratethatthesereviewsaretakingplace.Theserecordscanthemselvesbeusedasaperformanceindicatorandformadatasourceforthereviewprocess.

IssuestobeConsideredinReviews

Reviewing health and safety performance relies to a great extent on having good quality, reliable information aboutcurrentandpastperformance,whichusuallydependsondatagathering.Oneofthefirststepsinthereviewprocessisgatheringthisinformationanddata.

Thereareawiderangeoftopicsforconsiderationinthereview,including:

Legalcompliance–theorganisationmustbeawareofanylegalcomplianceissues,andthereforethereviewshouldrecogniseanyareasoflegalnon-compliance.

Accidentandincidentdata–concerninginjuryaccidents,property-damageaccidents,lost-timeaccidents,reportable events, etc., often taken from accident records and accident investigation reports, together withthe review of corrective and preventive actions arising from investigations, to ensure that these have beenimplemented.

Safetytours,samplingandinspections–informationanddatagatheredfromgeneralworkplaceinspectionreportsandstatutoryinspectionsmayprovideevidenceofconformanceornon-conformancetostandards.

Absenceandsicknessdata–concerningwork-relatedillhealth;gatheredfromabsencemonitoringrecordsorperhapstheoccupationalhealthdepartment(ifoneexists).

Auditreports–findingsofinternalandexternalauditsshouldbereviewed,whichmaypresentdetailedand

comprehensiveinformationonthesafetymanagementsystemanditseffectiveness.

Achievementofobjectives–wherespecifictargetshavebeensetfortheorganisationasawholeorpartsof

theorganisation,achievementtowardsthesetargetscanbemeasured.

Enforcementaction–suchasreportsfrominspectors,enforcementnoticesandprosecutions.

Previousmanagementreviews–inparticular,thecompletionofactionsidentifiedduringthosereviews.

Legal and best practice developments – it is important that the organisation remains up-to-date with its legalresponsibilitiesandrespondstoanychanges.Theremayalsobetechnologicalorbestpracticechangesthatcanbetakenintoconsiderationtofurtherimprovetheworkplace.

Othersources–suchas:

Qualityassurancereports.

Resultsofparticipationandconsultation.

Communicationsandcomplaintsfromexternalsources.

Monitoringdata/records/reports.

Theseperformanceindicatorscanthenbeusedtoevaluatetheperformanceoftheorganisationagainsttherequiredstandards.

Thesestandardsmightbe:

Legalstandardsestablishedbylegislation.

Organisationalstandardsthatgoaboveandbeyondlegalcompliance.

OutputsfromtheReviews

Various outputs will arise from the review process. Records of management reviews should be retained. There mayberetentiondurationssetwithinstandards,but,inanycase,thereviewsshouldberecordedinordertodemonstratethat an adequate review was carried out in accordance with legal requirements (e.g. in Britain, the Management ofHealth and Safety at Work Regulations 1999). Records of reviews will often take the form of minutes of reviewmeetingsandactionplansshowingthatagreedactionshavebeencompleted.

Some organisations will also be required to report annually to shareholders on their health and safety performancethroughtheannualcompanyreport.

Finally,thereviewprocessshouldformpartofthecontinualimprovementprocessoftheorganisation.Strategictargets are set by senior management – these targets are then channelled down through the organisation andreviewedbylinemanagementatdifferentlevels:

Seniormanagementsetstrategictargets.

Middlemanagementreviewperformanceintheareasundertheircontrolandsetstargetstobringtheirareainlinewiththestrategictargets.

Junior management review performance and sets local targets that will collectively allow the strategic targetstobeachieved.

Thismeanshealthandsafetyreviews,atalllevels,mustfeeddirectlyintoactionplans.Theseplansshouldidentifythe actions to be taken by responsible persons by appropriate deadlines. In this way, continual improvement ofhealthandsafetyperformancecanbeachieved.

Summary

Thiselementhasdealtwithactiveandreactivemonitoring,investigatingincidentsandrecordingandreportingincidents.

Inparticular,ithas:

Differentiatedbetweenactivemonitoring(checkingtoensurethatstandardsaremetbeforeanyuntowardeventtakesplace)andreactivemonitoring(measuringsafetyperformancebyreferencetodataonaccidents,incidentsandillhealththathavealreadyoccurred).

Outlinedsomeactivemonitoringmethods(inspections,samplingandtours)andexplainedthefactorsthatmustbeconsideredwhensettingupanactivemonitoringsystem.

Consideredthereasonsforaccidentinvestigation,perhapsthemostimportantofwhichistodiscoverthecausessothatcorrectiveactioncanbetakentopreventsimilarincidentsfromhappeningagain.

Categorisedincidentsintermsoftheiroutcome:near-miss,accident(injuryand/ordamage),dangerousoccurrenceandillhealth.

Describedabasicinvestigationprocedure:

Gatherfactualinformationabouttheevent.

Analysethatinformationtodrawconclusionsabouttheimmediateandunderlying/rootcauses.

Identifysuitablecontrolmeasures.

Planremedialactions.

Outlinedthearrangementsthatshouldbemadefortheinternalreportingofallwork-relatedincidentsandtherecordsofwork-relatedinjuriesthatshouldbekept.

Definedthetypesofincidentthathavetobereportedtoexternalagencies,suchasfatalities,majorinjuries,

occupationaldiseasesanddangerousoccurrences.

Definedauditingasthesystematic,objective,criticalevaluationofanorganisation’shealthandsafety

managementsystem.

Outlinedthestepsofanauditprocess,consideredthetypesofinformationthatmightbeusedasevidence,and

identifiedthe strengthsand weaknessesof externaland internalauditing.

Outlined the part thathealth and safety performancereview has to playin ensuring continual improvement.

Identifiedtheinformationsourcesthatmightbeusedinreviewingperformanceandtherolethatsenior

managementhasinestablishingprioritiesandresources.

ExamSkills

Question1

ApproachingQuestion1

Thinkabout the stepsyou would taketo answer thisquestion:

Step 1 – the first step is to read the scenario carefully. Note in this scenario that the number of incidents hasbeenrisingandyouareconcernedabouthealthandsafetyperformance.Thenotesareforyourself,butapplyingyouranalyticalskillswillcauseyoutoreflectonwhere/whenthenoteswillbeused.Whowillbetherecipientsoftheinformationtheyprovide?

Step 2–nowlookatthetask.Youwillbemakingnotesonhowaccidentdataandsafetyinspectionsdatacanbeusedtoimprovesafetyperformance.Soyouneedtogivethemostimportantfeaturesofaccidentdataandsafetyinspections.

Step3–next,considerthemarksavailable.Inthistask,thereare10marks,soitisexpectedthataround10or11differentpiecesofinformationshouldbeprovided.Thereisnosignpostastohowthemarksaredistributed.Yournotesmaytreateachdatasetasequallyimportantoronedatasetasofhigherimportance.Thefirstdataset will consider how accident data may be used to improve safety performance. The second data set is onsafetyinspections.

Step4–readthescenarioandtaskagaintomakesureyouunderstandthemandhaveaclearunderstandingofhowyoucanimprovesafetyperformanceusingaccidentdataandsafetyinspections.(Re-readyourstudytextifyouneedto.)

Step5– thenextstageistodevelopaplan –therearevariouswaystodothis.Remind yourself,firstofall,thatyou need to be thinking about ‘improvements to safety performance’; firstly how accident statistics can improveperformance, and secondly how safety inspections can improve performance. So, the answer plan will take theformofabullet-pointedlistthatyouneedtodevelopintoafullanswer.

SuggestedAnswerOutline

Accidentdata:

Identifytrendsandproblemareas.

Allocationofresources.

Benchmarking.

Showthecostofaccidents.

Focusmindsanddiscussion.

Safetyinspections:

Demonstratemanagementcommitment.

Involveemployeesandsafetyrepresentatives.

Promptactionstosafetyconcernsimprovemorale.

Checkconformancetostandards.

Identifyproblemsbeforeanaccidenthappens.Nowhaveagoatthequestionyourself.

ExampleofHowtheQuestionCouldbeAnswered

Accident data may be used to improve an organisation’s safety performance by identifying accident trends (e.g. slipsand trips) in specificareas (e.g. kitchens)and to enablemanagement to focusresources on thesespecific aspects

toreducetherecurrencerate.Theorganisationmayuseaccidentdatatocompareitselfwithasimilarorganisation(benchmarking) to establish whether it should be doing more to improve safety, or to establish whether the cost ofnot managing safety is reducing the organisation’s market competitiveness. Accident data can be used to calculatethecostofnotmanagingsafetytoensurebusinesscasesforsafetyinitiativescansucceedonacost/benefit

basis. Accident data can be discussed at safety committees or provided as information to employees to stimulatediscussionatteambriefingsormeetingsandtoengageemployeesinsafetyimprovements.

Safetyinspectionscarriedoutbymanagementcanbeusedtoimprovesafetyperformancebydemonstrating

top-levelcommitment.Safetyinspectionscanalsobeusedpositivelytoinvolvetheemployeesbyinvitingthemtotake part in the inspection (to see failings at first hand) or by holding meetings to discuss the findings from safetyinspections,increasingworkerownershipinsafety.Safetyinspectionswillidentifyconformancetostandards,givingmanagementanopportunitytorectifynon-conformancebeforeanaccidenthappens.

ReasonsforPoorMarksAchievedbyExamCandidates

Wastingtimebyconcentratingonreasonsforcollectingaccidentdataandnotsayinghowitcanbeusedtoimprovebusinessperformance.

Describing howa safetyinspection shouldbe conducted,who shouldtake partand frequency–this isnot thequestionsetandwillgainnomarks.

Question2

ApproachingQuestion2

Thinkabout thesteps you wouldtake to answerthe question:

Step 1 – the first step is to read the scenario carefully. Note in this scenario that you will be meeting theleadershipteam.Thisisagoodopportunitytoimprovehealthandsafetyattheorganisation,soyouwanttobeconvincingwhenyoumeeteveryone.

Step 2 – now look at the task. Note that for part (a) of the task you are required to give the meaning of a term,soyouneedtoprovide,withoutexplaining,themeaningof‘healthandsafetyaudit’.Part(b)requiresyoutopickthe most important features of a health and safety audit. Part (c) requires you to explain how the findings fromanauditcanbeusedtoimproveperformance,soyouwillneedtogiveaclearaccountofthisprocess.

Step 3 – next, consider the marks available. This task has 15 marks available. In part (a) of the task, you areaskedtogivethemeaningoftheterm,whichisworth2marks.Soyoushouldbeabletoprovidethismeaninginonesentence.Part(b)isworth8markssoyouneedtoexplainatleast10factorstogainallthemarksavailable.Part (c) is worth 5 marks. This is an important section for you – convincing managers to take action. To improvethechancesofsuccessfullyconvincingmanagers,thissectionshouldbepresentedintheformofsentences;youwillneedbetweenfourandsixsentences.

Step4–readthescenarioandtaskagaintomakesureyouunderstandthemandhaveaclearunderstandingofaudits.(Re-readyourstudytextifyouneedto,andHSG65Managingforhealthandsafetyifyoucan.)

Step5– thenext stageis todevelop a plan– thereare variousways todo this.First, remindyourself thatthistask is all about auditing, what an audit is, what it entails and how audits benefit the organisation. To constructyour sentence for part (a), list the elements in an audit and then write them into a sentence. For part (b), againlist the key factors that the audit will cover so that you can construct your outline answer by placing each factorinto a sentence. Using examples to illustrate your answer will help convince the leadership team (and theexaminer) that you understand the requirements. For part (c), you will need to list how the findings can benefittheorganisation–eachbullet-pointeditemonthislistshouldhaverelateddetailtogiveyouthedepththatisneeded to convince the leadership team to take action. So, the answer plan will take the form of bullet-pointedliststhatyouneedtodevelopintoafullanswer.

SuggestedAnswerOutline

Part(a):

Structured.

Systematic.

Critical.

Independent.

Information.

Effectiveness.

Reliability.

Correctiveactions.Part(b):

HealthandSafetyPolicy.

Allocationofrolesandresponsibilities.

Riskassessments.

Specifichazardcontrol.

Firesafety.

Firstaid.

Contractors.

Accidentreporting.

Consultation.

Maintenancerecords.

Recommendations.Part(c):

Compliancev.non-complianceandreasonsforfailure.

Strengthsandweaknesses,enablingbenchmarking.

Informingandenablingremedialaction.

Evidenceofcommitmenttohealthandsafety;communicatefindings.

Prioritisingandresourceallocation.

Continualimprovement.

Whenyouhaveananswerplanthatmeetstherequirementsofthequestion,haveagoatprovidingafullanswer.You will not be penalised in the exam for poor grammar or spelling, as long as your answer is clear and can beunderstood.

Remember,youcanalwayscontactyourtutorifyouhaveanyqueriesorneedanyfurtherguidanceonhowtoanswerthistask.

Whenyouhavefinishedyouranswer,readthesuggestedanswerbelowandcompareittoyouranswer.

ExampleofHowtheQuestionCouldbeAnswered

A structured, systematic, critical review of independent information collected on the effectiveness and reliabilityoftheorganisation’shealthandsafetymanagementsystemandsuggestedcorrectiveactions.

The key areas to be covered by a health and safety audit would be the organisation’s health and safety policy,ensuring that one existedand that it wascommunicated to the employees.The audit shouldcheck that rolesand responsibilities for health and safety have been allocated to individuals and that they understand their roles.The audit can review risk assessments to ensure they are suitable and sufficient, they are current and actionsidentified on them completed. The audit should ensure that specific hazards such as manual handling, work atheightorthecontrolofsubstanceshazardoustohealthareappropriatelymanaged.Auditorscanensurethatfiresafety is properly managed with emergency procedures in place. Arrangements for first aid can be audited toensureprovisionisadequate,aswellasauditingarrangementsforthecontrolofcontractors.Auditorsmaycoveraccidentreportingbothinternallywithintheorganisationandexternalreportingtotheauthorities.Auditorsshould review thearrangements forconsultation withinthe organisation andestablish thatconsultation doestake place. Auditors can cover maintenance records of machinery to establish that guarding to machines ismaintained, as well as those machines with a statutory requirement for maintenance are maintained. Auditorsshouldalsoproviderecommendationsforimprovingtheexistingsystem.

The findings from a health and safety audit may be used to distinguish areas of compliance with legislationfromthoseareasthatdonotmeetthenecessarystandardtocomply.Theauditshouldalsoidentifythereasonswhy non-compliance exists and the nature of the non-compliance. The audit may have distinguished areas ofstrength from areas of weakness in the management of health and safety. This may facilitate benchmarking bymanagement with other organisations to ensure they are managing health and safety responsibilities in linewith industry standards and assist management to direct often scarce resources where they are most required.The findings from the audit can be communicated to staff to ensure that standards are maintained or improvedand to indicate that management is motivated to be proactive in the provision of a safe place of work, keepinghealth and safety on the business agenda. An audit enables management to follow a programme of continualimprovementbyfocusingoneliminatingdeficiencies.

ReasonsforPoorMarksAchievedbyExamCandidates

Confusinganauditwithaninspection.

Givingthereasonsforcarryingoutanauditratherthanoutliningthekeyareasanauditshouldcover.

Providinginsufficientdetailtomeettherequirementsofthequestion.

Beingunabletoexplainhowthefindingsfromanauditcanbeusedtoimprovehealthandsafetyperformance.

Notbeingwellprepared–youmustreadandre-readyourstudytext.

Nowthatyouhaveworkedyourwaythrough the course material, thissection contains some reminders tohelp you prepare for your NEBOSHopen-bookexam.Itsummarises

the advice on how to approach yourrevisionandtheexamitselfandhassomehintsandtips.

PreparingfortheExam

Open-book exams require advance planning. As you work through your studies, it’s important to familiarise yourselfwiththestudymaterialssothat,atthetimeoftheexam,youcanfindwhatyouneedquickly.RRC’scoursematerialscover all the syllabus topics but to ensure that you do well in the exam, we recommend doing some additionalreading. The study text provides some useful links to external sources - look out for the ‘More…’ boxes within thematerials,thesecontainusefullinkstorelevanttopics.

‘More…’boxesproviderelevantlinkstofurtherreadingmaterial(takenfromRRC’sIG1StudyText)

At the time of the exam, you should not be reading information from your course materials for the first time or evenre-readingthestudytext,youwillsimplyrunoutoftime.Beingfamiliarwiththematerialswillgiveyoumoretimetoconcentrateonthescenarioandlessonfranticsearching!

Don’tforgetthatthenormalrequirementsofaninvigilatedexamdon’tapply,soyoucanhighlightandannotateyourmaterialstohelpyoulocatetopicseasilyanduseyournotesontheday.TheUKOpenUniversitywebpagehas

somegreattipsonhighlightingandannotatingmaterialsforrevisionpurposes,andcanbeaccessedat:https://help.open.ac.uk/highlighting-and-annotating.

Keepyournotesorganisedinadvance;bydoingso,youwillbeabletoeasilyidentifytherelevantpartstocomposeyouranswers.Thiswillensureyouoptimiseyourtimeduringtheexam.

RevisingfortheExam

One of the most common misconceptions about open-book exams is that there’s no need to revise for them. Infact, you should study for them just as you would for any other exam! You won’t be asked to recall information inthe same wayas for aclosed-book exambut you stillneed the knowledgein order toapply iteffectively and you

needtobeabletodemonstratethatyouhavemetthelearningoutcomes.Remember,theexampresentsyouwithaproblem intheform ofascenario towhichyou willneedto giveasolution, soyouwill needtouse yourknowledgeandapplyittosolvetheproblem.

RevisionTips

ThereissomeusefulinformationinyourUnit1StudyTextonhowtotacklerevisionsohereisareminderofthemainpoints,togetherwithsomeadditionaladvice.

UsingtheRRCCourseMaterial

Readthroughallofthetopicsmultipletimes.ThismightbedonebyskimmingoverallofthecontentofUnit1togeta feel for structure and topics, followed by a more thorough read-through that jumpsover the most complex topicareas,thenadetailedreadwhereyouattempttocrackthecomplextopics.

Remember that understanding the information, and being able to remember and recall it, are two different skills. Asyoureadthecoursematerial,youshouldunderstandit.Intheexam,youhavetobeabletoremember,recallandapplyit.Todothissuccessfully,mostpeoplehavetogobackoverthematerialrepeatedly.

CheckyourbasicknowledgeofthecontentofeachelementbyreadingtheelementSummary.TheSummaryshouldhelp you recall the ideas contained inthe text. If it does not, thenyou may need to re-visit the appropriatesectionsoftheelement.

UsingtheSyllabusGuide

DownloadacopyoftheNEBOSHGuidetothecourse,whichcontainsthesyllabus,fromtheNEBOSHwebsite.

Map yourlevelofknowledge andrecallagainstElements 1-4inthesyllabus guide.Lookatthe contentlistedforeachelementintheguide.Askyourselfthefollowingquestion:

‘Ifthereisaquestionintheexamaboutthattopic,couldIanswerit?’

YoucanevenscoreyourcurrentlevelofknowledgeforeachtopicinUnit1ofthesyllabusguideandthenuseyourscores as an indication of your personal strengths and weaknesses. For example, if you scored yourself 5 out of 5foratopicinElement1,thenobviouslyyoudon’thavemuchworktodoonthatsubjectasyouapproachtheexam.Butifyouscoredyourself2outof5foratopicinElement3thenyouhaveidentifiedanareaofweakness.Havingidentifiedyourstrengthsandweaknessesinthisway,youcanusethisinformationtodecideonthetopicareasthatyouneedtoconcentrateonasyourevisefortheexam.

Youcanalsoannotateorhighlightsectionsofthetextthatyouthinkareimportant.Anotherwayofusingthesyllabusguideisasanactiverevisionaid:

PickatopicatrandomfromanyoftheUnit1elements.

Writedownasmanyfactsandideasthatyoucanrecallthatarerelevanttothatparticulartopic.Gobacktoyour

coursematerialandseewhatyoumissed,andfillinthemissingareas.

SettingUpfortheExamDay

Unlike the former invigilated Unit 1 exam paper, there is no need tocompleteamocktestforthisassessmentbuttoincreaseyourchancesofsuccessandimproveyourconfidence,westronglyadvisethatyou

completeamockexamandgetfeedbackfromyourtutortoprepareyoufortherealexam.

Itisalsorecommendedthatyoustudyinthesameroomandenvironmentwhere you will carry out the exam, to ensure you are comfortable and setfortheexam.

Therearesomethingsyoucandotoensureyouhavethebestpossibleset-upfortheday:

Make sure you can sit comfortably so that you are not distractedby uncomfortable posture. Ensure good lighting and a comfortabletemperature.

Know where your study materials are so that you spend less time looking for them at the time of the exam.Haveyourstudymaterialswithineasyreach.

Ifyoulivewithanyone,makesuretheyareawareofwhenyouaretakinganexamtoavoidunnecessaryinterruptionsanddistractions.Placingafriendlysignonyourdoormaybeausefulreminderforthem!

Switchoffyourphone,televisionandanyotherdevicesthatmaydistractyou.

Havewaterandsnackshandy.

Ensureyoucankeepyourcomputerchargedup.

Ifyoucan’ttaketheexamathome,bookaquietroomwithgoodlighting,chargingpointandInternetconnection.

WhattoDoontheDay

Onthedayoftheexam,youwillbeabletoaccesstheexamfrom11.00amUKtimebyloggingintotheNEBOSHplatformanddownloadingthefile.Youwillhave24hourstodotheexam,startingfromwhentheexampaperbecomes available. This does not mean it should take you 24 hours to do the exam, nor does it mean that youhavetobeworkingforallthattime;the24-hourwindowisdesignedtoallowtimeforyoutoreadandanalysethe

examquestions,accessyourcoursematerials,planyouranswers,completeandsubmittheassessment,aswellastakenecessarybreaksandfulfillyourothereverydaycommitments.Thepapershouldtakearound4to5hourstocompletesomakesureyouareawareofthetime.

So,howdoyoubestutilisethistime?

This iswhenyour planning,studyingandhard workwillpay off.Youwillhave yourmaterialsreadyso youwillbesetupforastrongstart.

Youarenotexpectedtowritemorethanthecurrent3,000wordsintotal.Youarealloweda10%margin-youwillnotgainmarksforgoingbeyondthis,soyouranswersshouldberelevant,conciseandfocused.

RRCwouldstronglyadvisethatyoudonotwritemorethan3,300wordsincaseexaminerschoosenottoreadbeyond3,300wordsandyouthereforemissoutonmarks.

Use your time wisely: work at your own pace but don’t leave everything until the last minute. Review your materials,draftupyouranswersandallowtimetomakeamendments.Taketimetoreadtheexamquestionscarefully.Refertoyourpreparedmaterialsandnoteswiththefollowinginmind:

Yourworkshouldbeyourown,inotherwordsdonotcopycontentwithoutreferencingthesourceorthiscounts

asplagiarism(moreonplagiarismlater).

Donotcommunicatewithanyoneabouttheassessment.

Donotaskorallowanyonetoproof-readorhelpyouwithyourwork.

Anothercommonmistakewhendoinganopen-bookexamistorefertoasmanymaterialsaspossible;don’tfallintothis trap, you must be selective! Use only the materials that you need - again, this is why preparing them in advanceissoimportant!

Don’t become over-reliant on materials either, you must apply your own knowledge and argument. You want thematerialstosupportyouranswer,nottakeover!

Fordetailsonhowtodownloadandsubmityourexam,pleasereadNEBOSH’sTechnicalLearnerGuideontheNEBOSHwebsite.

ApproachingtheExamQuestions

The open-book exam will test you on your ability to, “demonstrate analytical, evaluation and creative skills as wellas critical thinking” and how you apply your learning to your answers. In other words, you will need to show whatyoucandowithyourknowledgetosolvetheproblemspresentedtoyou–andthismaytakepractice.

Thefollowingexamplescenarioandsuggestedanswerillustratehowtoapproachthequestion,somakesureyoureadthissectioncarefully.

ExampleScenario

You are a newly appointed health and safety officer for a district council. The council has a fleet of six refusecollectionvehicleswith50teammembersintherefusecollectionteam(calledStreetScene).Oneoftheemployees,adriverofoneofthevehicles,hasreportedaminorincident.Areversingvehiclehasstruckanothervehicleinthecarparkcausingveryminordamage.

TheworkerhasreportedtheincidenttotheStreetSceneManager.Themanager’sminimalinvestigationfoundthat

theoperatorwastoblamebecauseinsufficientattentionwaspaidwhenthevehiclewasreversing.

Theworkerwasadvisedtobemorecarefulinthefutureordisciplinaryactionwouldbetaken.

AtthenexthealthandsafetycommitteefortheStreetSceneTeamyouarediscussingincidentstatisticsandincidentinvestigationsthathavetakenplace.Someofthecommitteemembers(workerrepresentativesmostly)discredittheinvestigationintothereversingvehicleincident.

Task

Howwouldyouconvincetheothercommitteememberstoreopentheinvestigation?(10)

HowtoAnswertheQuestion

Familiarise yourself with the study text materials/notes/flashcards/mind maps and your notes on incidentinvestigation.YournoteswillguideyoutootherinformationonincidentinvestigationsuchasHSG245InvestigatingAccidents and Incidents. This may be a PDF document on your desktop, or a downloaded version with highlightedsections from where you have looked at this document before. Try to visualise the scenario. You can use your webbrowsertoresearchanytermsthatyouareunfamiliarwith.

Read the information provided in the scenario carefully. Consider that the information provided is all relevantandtherearekeyindicatorsgiventodirectyouranswer.Akeypieceofinformationisthattheinvestigationwas“minimal”. Your research will have indicated that a minimal investigation should be used for unlikely or rareoccurrenceswiththepotentialforonlyminorinjury.However,theworstpossibleeventinvolvingareversing

vehicle(especiallyoneaslargeasarefusevehicle)wouldbeafatality.Youareadvisedthatworkerrepresentatives“discredit the investigation” and from a minimal investigation it’s likely that the manager only looked for immediatecauses.Thisisconsistentwiththeworkerbeingblamedandnoothercausesbeingfollowedup.Youareaskedhowyou would convince the “other” committee members to reopen the investigation. The ‘other’ members are likely tobe management or employer representatives because the worker representatives want the investigation reopened.Fromyourstudiesyouwillknowthatpersuasivejustificationformanagingsafetycanbecoveredundermoral,legal,andfinancialreasons.

Youcouldnowconsideran‘answerplan’.

Incidentinvestigation:

Purposeofinvestigation.

Immediatecauses.

Underlyingcauses.

Root causes.

Examplesofimmediate/underlyingandrootcauses.

Howtotaketheinvestigationfurther-‘5whys’.

Persuasivereasonstoreopentheinvestigation:

Moral.

Legal.

Financial.

Examplesofmoral,legalandfinancialreasons.

SuggestedAnswer

Remembertorelatethistothescenario!

The committee members may have little or no experience on investigating accidents. I would advise them thattheimmediatecauseofanincidentwouldbetheunsafeactsorunsafeconditionsthatledtothereversingvehiclestrikingtheothervehicle.Amedium-orhigh-levelinvestigationshouldestablishwhythishappened.

Thecommitteecouldbegivenexamplesofunsafeactsandconditionsthatamedium-orhigh-levelinvestigationmayhaverevealed,e.g.damagetothevehicle’smirrors,faultyreversingcameraorlackofareversingassistant.Unsafeconditionsmayincludepoorlevelsoflightingorreversingtooquickly.

A ‘5 whys’ analysis could be used to further establish that the underlying causes themselves were caused bymanagement system failings such as inadequate training of the worker. These are known as ‘root causes’ andwithout establishing the root causes, the incident may be repeated with another vehicle and another worker - butthistimeitmaybepedestriansareinvolvedandStreetScenewouldbeinvestigatingafatality.Thisismorallyandlegallyunacceptable.

I would advise that root causes may be organisational failures, job-related matters or personal factors. We mayevenfindthatwehavenotcompliedwithlegislationduetopoormaintenanceofthevehicleorlackofmanagementsystems of work. I would also advise committee members that monitoring safe systems of work was a legal dutythatrequiredamorecompleteincidentinvestigationtotakeplace.

Without a clear identification of the causes of the incident corrective action to prevent a recurrence would not betaken.Icouldgofurtherandexplainthatthepurposeofinvestigationisnottofindsomeonetoblamebuttopreventarecurrence.ThiscannotbeachievedwithoutthefullcommitmentofeveryoneinStreetScene.

Thisanswerhas295wordswhichiswithin10%ofthetargetsetofourassumedmaximumof300wordsfora10-mark question - so we can keep within the required word count. As you complete your answer, refer to thedocumentsandmaterialsyouhaveassembledtoremindyourselfofincidentinvestigation,andbecarefulnotto

copyanythingfromthematerialsyouhaveusedwithoutreferencingit.Keepaneyeonthewordcounttomakesureyoudon’tgoovertheallocatedamountofwords.

ExampleofanInsufficientAnswer

Investigatingaccidentsandincidentsexplainswhyyouneedtocarryoutinvestigationsandtakesyouthrough4stepsoftheprocess:

Gatheringinformation.

Analysingtheinformation.

Identifyingriskcontrolmeasures.

Theactionplananditsimplementation.

Gathering information is about the where and who of the event. Photographs and interviews are ways to gatherinformation.Analysisoftheinformationiswhathappenedandwhyithappened.Humanerrorshouldbeconsideredat this stage. Then you need to identify control measures to prevent a recurrence. When you have identified controlmeasures,createanactionplanusingtheSMARTplanningtechnique

Immediatecause:themostobviousreasonwhyanadverseeventhappens,e.g.theguardismissing,theemployee

slips, etc.Theremaybeseveralimmediatecausesidentifiedinanyoneadverseevent.Immediatecausesinclude:

Inadequatesafetydevices.

Poorhousekeeping.

Operatorerror.

Wearingunsuitablefootwear.

Therootcausesarealsoknownasmanagement,planningororganisationalfailings.

Therearethreetypesofsafetycultures:blame,noblame,andajustculture.It’sclearthisorganisationhasablamecultureandattemptingtoapportionblameiscounterproductive,peoplebecomedefensiveandunco-operative.Onlyafterafullinvestigation,notaminimalinvestigation,shouldindividualsbeblamed.

This answer has not used the scenario supplied and is far too general in its approach to attract many marks. Italso lacks substance and detail. The explanation given would not encourage the reopening of the investigationsbecauseithasnomoralorlegalpersuasiontoconvincethesafetycommittee.Bullet-pointedlistsdonotprovidesufficientevidenceofyourknowledge.Theexaminerwillonlyhavethewordsyouhaveusedtoallocatemarks

against. What does ‘poor housekeeping’ mean related to the scenario? The examiner cannot guess what you meanand award marks against what it’s thought you mean. You must be clear in your explanation, so your knowledge isdemonstrated.Thisansweralsousesacronyms,e.g.‘SMART’.Usinganacronymseldomdemonstratesknowledge,itisafarbetterresponsetowritethewordsoutfullybeforeusingtheacronym.ItwouldalsobeclearthatsignificantsectionsoftheanswerareplagiarisedfromdocumentsproducedbytheHSE.Iftheexaminerinvestigatedsome of the phrases used, and found they reproduce someone else’s work, further assessment would take placeandamalpracticeinvestigationwouldbeconducted.

Note:Thesamescenariowouldbeusedtoaskquestionsrelatedtosafetyculture,reportingrequirements,active/reactivemonitoring,etc.

NEBOSHSamplePaper

Nowhaveagoyourself,youcanaccesstheIG1samplepaperat:

https://www.nebosh.org.uk/documents/obe-sample-paper-Ig1/.

PlagiarismandMalpractice

You should follow the instructions and adhere to the guidance on the open-book exam. The answers that yousubmit must be yourown. Any casesof suspected plagiarism willbe investigated andany breaches will bedealtwithinlinewithNEBOSH’smalpracticepolicywhichyoucanfindontheNEBOSHwebsite.

Youmustensurethatwhatyousubmitisyourownworkandifyouquoteorparaphraseanyoneelse’swork,thismustbereferencedoritwouldconstituteplagiarism.

Thefollowingcounts asplagiarism:

Insertinganotherauthor’ssentences,paragraphsandideaswithoutreferencingthem,whetherthesearepublishedorunpublished.

Paraphrasinganotherauthor’sworkwithoutreferencingthem.

Collaboratingwithsomeoneelse(e.g.anotherlearner)andsubmittingworkthatiseitheridenticalorverysimilar

totheirswhileclaimingitwasyourownwork.

Payingsomeonetocompletetheworkforyouandsubmittingitasyourown.

Impersonation-whenyouasksomeoneelsetocompletetheworkforyouandyoupassitoffasyourown.Youropen-bookexamwillbemarkedbyaNEBOSHexaminerandwillbescrutinisedforplagiarism.

Whentakinganon-invigilatedopen-bookexamyouwillneedtodeclarethatyoursubmissionisyourownworkandthatyouhavenotreceivedhelpfromanyoneelse.Youwillneedtoconfirmyouhaveread,understoodandabidedbyNEBOSH’srules,bysigningaDeclaration.

PleasenotethatNEBOSHreservestherighttosubmityourassessmenttoaplagiarismdetectionsoftwarepackage.

References

NEBOSHOpenBookExaminations:LearnerGuide-GuidancedocumentforpreparingfortheopenbookexaminationforNG1,IG1,NGC1andIGC1units,NEBOSH,2020

https://www.nebosh.org.uk/documents/open-book-examination-learner-guide

NEBOSHInternationalGeneralCertificateinOccupationalHealthandSafety-UnitIG1:ManagementofHealthand

Safety,RRCStudyText,2019

Note-takingtechniques,TheOpenUniversity,2020

https://help.open.ac.uk/highlighting-and-annotating

InternationalGeneralCertificateinOccupationalHealthandSafety-Qualificationguideforlearners,NEBOSH,2019

https://www.nebosh.org.uk/qualifications/international-general-certificate/#resourcesOpen Book Examinations Technical Learner Guide, NEBOSH, 2020https://www.nebosh.org.uk/documents/open-book-examination-technical-learner-guideHSG245 Investigating accidents and incidents, HSE, 2004https://www.hse.gov.uk/pubns/hsg245.pdf

OBESamplePaperIG1,NEBOSH,2020

https://www.nebosh.org.uk/qualifications/international-general-certificate/#resources

PolicyandProceduresforSuspectedMalpracticeinExaminationsandAssessments,NEBOSH,2019

https://www.nebosh.org.uk/documents/malpractice-policy-v14-sep19/

Goodluck!

NoPeeking!

Once you have worked your waythrough the Study Questions in thisbook, use the Suggested Answerson the following pages to find outwhat yougotright(andwhere

youwentwrong)toimproveyourunderstanding.

Element1:WhyWeShouldManageWorkplaceHealthandSafety

Question1

Healthcanbesimplydefinedastheabsenceofphysicalandpsychologicaldisease.

Safetyistheabsenceofriskofseriouspersonalinjuryorthestatewheretheriskofharmhasbeeneliminatedorreducedtoanacceptablelevel.

Welfaremeansaccesstobasicfacilitiessuchastoilets,washingstations,drinkingwater,changingroomsandplacestoprepareand/oreatfoodanddrink.

Question2

Thethreereasonswhyanorganisationshouldmanagehealthandsafetyaremoral,financialandlegalreasons.

Question3

Insuredcosts(anythreefromthefollowing):damagetoplant,buildingsandequipment;compensationpaidtoworkers;medicalcosts;legalcostsarisingfromaclaimforcompensation.

Uninsured costs (any three from the following): production delays or downtime; loss of raw materials; accidentinvestigationtime;criminalfines;sickpayforinjuredworkers;overtimetomakeupforlostproduction;hiringandtrainingnewemployees;lossofcustomers,clientsandcontractsasaresultofdamagetobusinessreputation.

Question4

Anythree from:

Toprovideworkplacesandworkequipment,anduseworkmethods,whicharesafeandposenorisktohealth.

Toprovideappropriateinstructionsandtraining.

Toprovidenecessarysupervision.

Toputinplacehealthandsafetyarrangementsadaptedtosuitthesizeandnatureoftheundertaking.

Toprovideanynecessarypersonalprotectiveclothingandequipmentfreeofcharge.

Toensurethatthehoursofworkdonotadverselyaffectemployees’safetyandhealth.

Toremoveanyactivitiescausingextremephysicalandmentalfatigue.

Tostayuptodatewithknowledgeinordertocomplywiththeabove.

Question5

Anytwofrom:

Take reasonable care of their own safety and that of other people who might be affected by the things that theydoandthethingsthattheyfailtodo.

Complywithsafetyinstructionsandprocedures.

Useallsafetyequipmentproperlyandnottamperwithit.

Reportanysituationwhichtheybelievecouldbeahazardandwhichtheycannotthemselvescorrect.

Report anywork-relatedaccidentorill health.

Question6

Theconsequencesforanemployerofnon-compliancewithhealthandsafetyresponsibilitiesinclude:

Enforcementactionorprosecutionthroughthecriminalcourtsbytherelevantauthorities(enforcementagency).Thesecriminalactionsarenormallybroughtbythestate.

Compensationclaimsfromanyinjured/illpeople,perhapsresultinginactionthroughthecivilcourts.Civilactionisnormallystartedbytheinjuredpersonthemselves.

Question7

An employerowesadutytotheirownemployees,otherpeople(bothworkersandnon-workers)whomaybeintheirworkplace,otherworkerswhomaybecarryingoutworkontheirbehalfoutsideoftheworkplace,andotherpeoplewhomaybeoutsidetheirworkplacebutaffectedbythework.

Question8

Thecriteriatoassessthesuitabilityofacontractormayinclude:

Theirhealthandsafetypolicy.

Exampleriskassessmentsandmethodstatements.

Thequalificationsandtrainingrecordsofstaff.

Membershipofprofessionalorganisations.

Testandmaintenancerecordsforplantandequipment.

Referencesfromotherpast/currentclients.

Accidenthistory,suchasRIDDOR-reportableaccidentrates.

Enforcementactionhistory.

Proofofadequateresources.

Insurance.

Question9

In general terms, when a contractor is working in a client’s workplace, the client would be responsible for theworkplace and environment, and the contractor for the job that they are carrying out. Both parties would beresponsibleforthehealthandsafetyoftheirownworkers,buttheywouldalsoberesponsibleforthehealthandsafety ofother peoplewho mightbeaffected bytheir work.So, thecontractorwould beresponsible forthesafetyof the client’s employees if they were carrying out work that might injure the client’s employees; and the clientmightbepartlyresponsibleforthesafetyofmembersofthepubliciftheymightbeinjuredbytheworkthatthecontractors were carrying out. In this way, the duties and responsibilities are shared by both the client and thecontractor.

Element2:HealthandSafetyManagementSystemsandPolicy

Question1

TheelementsofISO45001are:

Contextoftheorganisation(framework).

Leadershipandworkerparticipation(framework).

Planning(Plan).

Support(Do).

Operation(Do).

Performanceevaluation(Check).

Improvement(Act).

Question2

Theroleof‘evaluation’intheILOOSH-2001OHSMSistoensurethattheorganisationalarrangements,healthandsafetystandardsandoperationalsystemsandmeasuresareworkingeffectivelyand,wheretheyarenot,toprovidetheinformationrequiredtorevisethem.

Question3

The health and safety policy of two organisations, both undertaking similar work, might be different because thepolicy is a reflection of the particular circumstances of each organisation; so any variations in size, nature andorganisationofoperations,etc.willmeanthatthehealthandsafetypolicieswillalsovary.Itmayalsobethecasethatseniormanagershaveverydifferentvisionsforthehealthandsafetyperformanceoftheirorganisations.

Question4

The three key parts of a health and safety policy are the General Statement of Intent (or Statement of GeneralPolicy),theOrganisationsection(orOrganisationalRolesandResponsibilities),andtheArrangementssection.

Question5

Thepersonattheverytopoftheorganisation,suchasthemanagingdirectororchiefexecutiveofficer,shouldsign

thepolicystatement,indicatingtheorganisation’scommitmentatthehighestlevel.

Question6

Allworkershavecertainhealthandsafetyresponsibilities;theymustactresponsiblyandsafelyatalltimes,anddoeverything they can to prevent injury to themselves and to others (such as fellow workers, visitors and members ofthepublic)andco-operatewiththeiremployer.

Question7

A safety organisation chart shows the hierarchy of roles and responsibilities for health and safety within theorganisation and the lines of accountability between them. It should show the position of health and safetypractitionersandothercompetentpeoplewhoadvisetheorganisation.Itshouldalsoshowanycommitteesorstaffforumswithahealthandsafetyremit.

Question8

Thecircumstancesthatmightgiverisetoreviews,eitherofgeneralpolicyorspecificaspectsofit,include:

Changesinthestructureoftheorganisation,and/orchangesinkeypersonnel.

Achangeinbuildings,workplaceorworksite.

Whenworkarrangementschange,ornewprocessesareintroduced.

Whenindicatedbyasafetyauditorariskassessment.

Followingenforcementactionorastheresultofthefindingsfromaccidentinvestigations.

Followingachangeinlegislation.

Ifconsultationwithemployeesortheirrepresentativeshighlightsdeficiencies.

Ifrequestedbyathirdparty.

Element3:ManagingRisk–UnderstandingPeopleandProcesses

Question1

Yourdefinitionshould coverthemainpointsgivenintheelement:

safetycultureisthesharedattitudes,values,beliefsandbehavioursrelatingtohealthandsafety;or

safetycultureisthewaythatallthepeoplewithinanorganisationthinkandfeelabouthealthandsafetyandhowthistranslatesintobehaviour.

Itcanbepositiveornegative.

Question2

Aworker’speersexertinfluenceovertheirbehaviourthroughpeergrouppressure.Thisistheprocessbywhichsocial groups form in the workplace, group behaviour is established (‘norms’), and then social pressure is exerted toforceindividualstocomplywiththegroupbehaviour.Therewillusuallybeoneormoregroupleaderswhoinfluencethegrouptoaveryhighdegree.

Question3

Benefits

Limitations

Writtencommunication

Permanentrecord.

Canbereferredbackto.

Canbewrittencarefully,avoidingjargon.

Widelydistributedwithease.

Indirect.

Impersonal.

Immediatefeedbacknotavailable.

Language/literacyissuesmayexist.

Verbalcommunication

Personalanddirect.

Immediatefeedback.

Allowsexchangeofviews.

Languagebarriers.

Maynotbeheard.

Informationmaybemissed.

No written record.

Question4

Graphicsymbols(suchasthepictogramshowingapersonmovingthroughafireescapedoorandanarrowtoshowthe direction of travel found on an emergency escape route sign) are used to communicate simple but essentialhealthandsafetyinformationtopeople.Theyareusedbecausetheydonotrequirethepersontoreadtextandtheythereforeavoidliteracyorlanguagebarriers.

Question5

Workerscanbeinvolvedintheimprovementofworkplacehealthandsafetyby:

Encouragingtheirparticipationinsafetycommitteesandothersafetymeetings.

Askingfortheirsuggestionsforimprovements(perhapsusingasuggestionsboxorsimilarscheme).

InvolvingthemintheselectionofPPEandotherequipment.

Providingthemwithhazard-spottinganddefect-reportingsystems.

Encouragingtheirparticipationinsafetytoursandinspections,audits,riskassessments,accidentinvestigationsandthedevelopmentofproceduresandsafesystemsofwork.

Involvingtheminthepresentationofsafetytraining,andthesupervision/mentoringofnewemployees,particularlyyoungpersons.

Includingtheminthedesignorselectionofsafetyposters.

Question6

The first priority in induction training should be to set out what to do in the event of a fire or other major incidents,andthegeneralinstructionsandprocedurestobefollowedforsafemovementaroundtheworkplace.Thesearethepriorities.Theinductiontrainingcanthenmoveontoothertopics.

Question7

Therearevarioustimeswhentrainingshouldbeprovided,including:

Whenpeoplechangetheir job,wherenewrules andproceduresneed tobefollowed.

Whentherearesignificantchangestoworkequipment,substancesoractivities.

Refreshertraining.

Afteranaccident,ornearmiss.

When thelaworstandardschange.

Question8

Theorganisationalfactors,thejobfactorsandtheindividualfactors.Collectivelythesearethethree‘humanfactors’

thatinfluencesafety-relatedbehaviour.

Question9

Thekeyjobfactorsthatcanimpactonsafety-relatedbehaviourinclude(anyfourfrom):

Thetaskbeingdoneandhowwellorbadlyithasbeendesigned.

Workloadsuchasnumberoftasksanddeadlines.

Theenvironmentinwhichwork takesplaceandhow comfortableoruncomfortablethis is.

Thedesignandfunctionalityofdisplaysandcontrolsthataworkerhastouseinordertodothejob.

Thesuitabilityof anyprocedures thatthe workerhasbeen providedwith.

Question10

Workers might notperceive riskat workbecause of: theinfluence ofillness; personalinexperience; poor qualityeducationandtraining;drugsandalcohol;fatigue;stress;interferencefromPPEthathastobeworn;orinterferenceformtheworkplaceenvironment(suchashighnoiselevels).

Question11

The distinction is important because hazards will always exist in the workplace and, usually, it is not possible toeliminatethem.Riskcanbecontrolledandreduced.Thisisacentralprincipleofhealthandsafetymanagement.

Question12

Thepurposeofriskassessmentistoeliminatehazards,orreducerisktoanacceptablelevelsoastopreventpersonalinjuryandillhealth,toachievelegalcompliance,andtoreducethecostsassociatedwithlosses.

Question13

Thetechniquesusedforidentifyinghazardsincludetaskanalysis,examinationoflegislativerequirementsandassociatedguidance,examinationofmanufacturers’informationandanalysisofincidentdata.

Question14

Internaldatasourcesinclude:accidentrecords;medicalrecords;absencerecords;riskassessments;maintenancereports;jointinspectionswithsafetyrepresentatives;audits,surveys,samplingandtours;safetycommitteemeetingminutes.

External data sources include: national legislation (e.g. regulations); safety data sheets from manufacturers andsuppliers;enforcingauthoritypublicationssuchasCodesofPracticeandGuidanceNotes;manufacturers’/suppliers’maintenance manuals; national/international standards (BS, BS-EN and ISO standards); information from localsafetygroups;informationfromtradeassociations;informationfromjournalsandmagazines.

Question15

Thefivecategoriesofhealthhazardare:physical,chemical,biological,ergonomicandpsychological.

Question16

Thefivestepsinvolvedinriskassessmentare:

Identifythehazards.

Decidewhomightbeharmedandhow.

Evaluatetherisksanddecideonprecautions.

Recordthefindingsandimplementthem.

Reviewtheassessmentandupdate,ifnecessary.

Question17

Apartfromofficeworkers,peopleorgroupswhomightrequirespecialconsiderationduringariskassessmentinanoffice environment include maintenance staff, cleaners, contractors, visitors, young workers, lone workers, new andexpectantmothers,anddisabledstaff.

Question18

Thetwofactorsusedtoestimaterisklevelarethelikelihoodofharmoccurringandtheseverityofthelikelyharm.

Question19

Residualriskisthelevelofriskremainingaftertheapplicationofsafetyprecautions.

Question20

Thegeneralhierarchyofcontrolis:

Elimination.

Substitution.

Engineeringcontrols.

Administrative controls.

Personalprotectiveequipment.

Question21

Thingsthatmighttriggerthereviewofariskassessmentinclude:changesinlegislation;asignificantchangeinworkpracticesandprocesses;installationofnewmachineryandequipment;newinformationbecomingavailableonthe hazards/risks; recurring accidents or patterns of ill health; enforcement action; results of monitoring/auditing; oremploymentofacategoryofpersonnel(e.g.disabled)notpreviouslytakenintoaccount.

Question22

Thetypeofsignrepresentedbyeachpictogram:

Mandatoryaction–mustputlitterinbins.

Prohibition–notdrinkingwater.

Safecondition–drinkingwater.

Warning–radiationhazard.

Question23

Personalprotectiveequipmentshouldbeusedwhenithasnotbeenpossibletoeliminatethehazardorreduceriskto acceptable levels by the use of engineering controls, working methods or administrative controls. PPE is a lastresort.

Question24

Fivemanagementcontrolsthatshouldbeconsideredforthecontrolofriskscreatedbytemporaryworksare:

Riskassessment.

Communicationandco-operation.

Appointmentofcompetentpersons.

Emergencyarrangements.

Welfareprovision.

Question25

A safe system of work is a formal procedure that results from a systematic examination of the tasks of a workprocess,inordertoidentifyallthehazardsanddefinemethodsofworkingthateliminatethosehazards,orminimisetherisksassociatedwiththem.

Question26

Involving workers in the development of safe systems of work contributes to strengthening the safety culturebecauseitenablesthemtogainadeeperunderstandingofhazardsandrisks,andofthewayinwhichsafesystemsof work will minimise those risks. It also encourages ownership of key controls by the employees involved in theirdevelopment. It is an example of worker engagement which is a fundamental building block of a positive health andsafetyculture.

Question27

Technicalcontrolsarethosethatareapplieddirectlytothehazarditselfinordertominimisetherisk.Proceduralcontrolsdefinethewayinwhichworkshouldbecarriedoutinrelationtothehazard.Behaviouralcontrolsdefinehowtheindividualoperator,orgroupsofworkers,mustactinrelationtothehazard.

Question28

Instruction, training and supervision form a part of safe systems because only people who have been givenappropriatetrainingandinstructionwillunderstandtheSSWandconsequentlyshouldbeallowedtoundertakethe work. Supervision is necessary to ensure that stafffollow their instructions and training and correctly apply theSSW.

Question29

Permitstoworkareformaldocumentsspecifyingtheworktobedone,thehazards,andtheprecautionstobetaken.Workcanonlystartwhensafeprocedureshavebeendefinedandputintoplace.Thepermitprovidesaclearwrittenrecord, signed by a responsible manager or supervisor, that all foreseeable hazards have been considered and allthe necessary actions have been taken. It should be in the possession of the person in charge of the work beforethatworkcanbegin.

Question30

Thefourkeysectionsofatypicalpermitare:

Issue.

Receipt.

Clearance/returntoservice.

Cancellation.

Question31

The main objective of an emergency procedure is to ensure the safety and health of staff and others who might beaffectedbytheemergency.Insomeinstances,minimisingotherlossesassociatedwiththeemergencywillalsobeapriority.Preventinganescalationoftheemergencymayalsobeimportant.

Question32

Typical emergencies that may require the development of emergency procedures include fire or explosion; bombthreat; spillage of a hazardous substance; release of a toxic gas; outbreak of disease; severe weather or flooding;multiplecasualtyaccident;oraterrorist/securityincident.

Question33

Thefactorsthatmightneedtobeconsideredwhendeterminingthefirst-aidfacilitiesforaworkplaceare:

Thephysicalsizeoftheorganisation.

Numberofemployees.

Distributionoftheworkforce(e.g.numberofbuildingsonasite,numberoffloors,etc.).

Thetype ofbusiness and whathazards are inherentin it(an office isdifferent froma foundry).

Remotenessofthesitefromemergencymedicalservices.

Provisionfornon-employees,e.g.shoppers,schoolchildren.

Needsofspecificgroupsofemployees(e.g.trainees,youngworkers,disabledpersons).

Cover forfirstaidersduring annualleave.

Shiftpatterns.

Peripateticemployees.

Element4:HealthandSafetyMonitoringandMeasuring

Question1

Reactive monitoring is where accidents, near misses and other unwanted events are used to identify trends andpatternsinaccidenthistory.Activemonitoringiswhereexistingconditionsarecheckedtoidentifyandcorrectsub-standardmattersbeforeanysortofincidentoccurs.

Question2

Systematicactivemonitoringinvolvestheplanned,regularexaminationofconditionsintheworkplaceasamatterofroutine.

Question3

Lotsoftypesofinformationcanbeusedforreactivemonitoringsuchasnumbersof:

Accidents.

Dangerousoccurrences.

Nearmisses.

Casesofillhealth.

Complaintsfromtheworkforce.

Formalenforcementactionstakenagainsttheorganisation.

Civilclaimsforcompensationagainsttheorganisation.

Costofaccidents,e.g.damagerepairs.

Question4

Thepurposeofworkplaceinspectionsistoensurethatthecontrolmeasuresareoperatingeffectivelyandthattheyareappropriatetocurrentconditionsintheworkplace.

Question5

Safety inspections are routine examinations of workplace conditions carried out by a competent person(s) (e.g. theweeklyinspectionofaworkshopbytheworkshopsupervisor).Safetytoursarehigh-profilewalk-aboutscarriedoutby a team of people, including senior managers, with the intention of interacting with workers and discussing theirhealthandsafetyconcernsandissues.

Question6

Senior management has responsibility for ensuring that effective workplace inspection regimes are in place andareoperatedeffectively.Thiswillincludereceivingreportsandoverseeing/agreeingaction.Inaddition,thevisibleinvolvement of senior managers in safety tours is to be encouraged for the commitment it demonstrates towardssafetyandtheeffectonthepromotionofapositivehealthandsafetyculture.

Question7

Checklistshelpensureaconsistent,systematicandcomprehensiveapproachtocheckingallthesafetyelementstobecoveredduringaninspection.

Question8

Themainpurpose ofanaccident investigationisto findthe cause,withthe intentionofpreventing arecurrence.

Question9

Fourstepsoftheinvestigationprocess:

Gatherfactualinformationabouttheevent.

Analysethatinformationanddrawconclusionsabouttheimmediateandrootcauses.

Identifysuitablecontrolmeasures.

Plantheremedialactions.

Question10

The categories of staff who may be useful in an internal investigation might include the immediate line manager(oftheinjuredperson,oroftheareawheretheaccidenttookplace),amemberofseniormanagement,aworkerrepresentative,asafetyofficer/practitioner,anengineer,andtechnicalexpert,ifrelevant.

Question11

Thetypesofrecordstobeconsultedduringanaccidentinvestigationmightinclude:

Inspectionandmaintenancerecords.

Riskassessments.

Safesystemsofwork,orpermitstowork.

Environmentalmeasurements.

Medicalrecords.

Generalandspecificsafetyreportsandanalysesthatrelatetothecircumstances.

Trainingandotherpersonnelrecords.

Minutesofsafetycommitteemeetings.

Question12

Thetwocategoriesofimmediatecauseofaccidents/incidentsareunsafeactsandunsafeconditions.

Question13

Anemployeehasbeenhitbyareversingvehicleinaloadingbay:

ImmediateCauses

RootCauses

Mechanicalfailure(faultybrakes).

Driverfailedtoseepedestrian.

Pedestriannot wearing high-visibilityjacket.

Driver’svisionrestrictedbygoods.

Humanerroronpartofdriverorpedestrian.

Inadequatemaintenanceprocedures.

Inadequatelighting or driving in poor weather conditions.

Noruleabouthigh-visibilityjackets,ornotenforced.

Lackofhousekeepingarrangements.

Lackofbanksman/signaller.

Lackoftrainingandawareness.

Question14

The person usually initially responsible for reporting accidents and safety-related incidents is the worker involvedor, if they are not able to, a colleague. In some circumstances it might be the first aider who gave treatment or theimmediatelinemanager.Companypolicywilldictatewhichoptionisbest.

Question15

Following aserious injuryatwork, thefollowingactions shouldbe taken:

Maketheareasafe(insomecircumstances,thismightneedtobedonefirstsothereisnorisktothosegiving

assistance).

Ensurecasualtyistreatedwithfirstaid,andthenfurthermedicaltreatmentifnecessary.

Isolatethescenesoevidenceisnotdisturbed.

Informthevictim’snextofkin.

Notifyenforcingauthority,ifrelevant.

Arrangeanynecessarycounsellingorsupport.

Setupinvestigationteam:

Collectevidence,includingphotographs,measurements,etc.

Takestatementsfromwitnesses.

Determineimmediateandrootcauses.

Reportfindings,makingrecommendationstopreventrecurrence.

Informsafetyrepresentatives,andissueinternalinformation.

Adviseinsurers.

Implementrecommendations,reviseworkproceduresandriskassessments.

Monitorsituationandreviewasnecessary.

Question16

Health and safety auditing is the structured process of collecting independent information on the efficiency,effectiveness and reliability of the total health and safety management system and drawing up plans for anycorrectiveactionnecessary.Or,alternatively,thesystematic,objective,criticalevaluationofanorganisation'shealthandsafetymanagementsystem.

Question17

DifferencesBetweenAuditsandWorkplaceInspections

Audit

WorkplaceInspection

Hastheaimofassessingthehealthandsafetymanagementsystemofanorganisation.

A long process involving the examination of theentiremanagementsystem.

Based primarily on review of documentaryevidence,backedupbysomeobservationsandinterviewsofpersonnelatalllevels.

Long, comprehensive report that records areasofconcernandweaknessesinthemanagementsystem.

Detailedplanningrequired;requiresconsiderableresources.

Typicallydoneannually.

Aims toimprovesystemsatahighlevel,withtheultimate effect of improvements cascading downto operating level. Is a strategic tool, addressinglong-termprogress.

Hastheaimofassessingtheuseandeffectivenessofcontrolmeasures.

Arelativelyshortprocesslookingatpracticesinpartoftheworkplace.

Primarilybasedonobservations,perhapsinvolvingvery limited scrutiny of paperwork and interview ofoperators.

Shortreportidentifyingkeycorrectiveactionsrequired.

Onlylimitedplanning,andmainresourcerequiredistheinspectors’time.

Usuallydoneonadaily,weekly,monthly,orquarterlyfrequency.

Focusesonactivitiesandequipmentatoperationallevel,thoughremedialactionsmayaddresssystemfaults.

Question18

True, performance review is concerned with ensuring that incident investigations are properly concluded – but itisconcernedwithmorethanjustthisoneaspectofreactivemonitoring.Itencompassesthereviewofallformsofhealthandsafetyperformanceand,wheretherearedeficiencies,takingcorrectiveaction.

Question19

Thepurposeofreviewinghealthandsafetyperformanceistoensurethattheorganisationalarrangements,healthand safety standards and operational systems and measures are working effectively and, where they are not, toidentifythecorrectiveactionsneeded.

Question20

Seniormanagementshouldreviewtheoperationoftheoccupationalhealthandsafetymanagementsystemtoensure that it is being fully implemented and that it remains suitable for achieving the organisation’s policy andobjectives.

Reviews should be instigated by senior managers but also involve managers, supervisors and occupational healthand safety specialists. It may also be appropriate to involve safety representatives or representatives of employeeworkplace safetyin thereview process,particularly ifthehealth andsafety committeeis theforumwhere partof thereviewtakesplace.

Question21

Thefrequencyatwhichreviewsshouldtakeplacewilldependonvariousfactorssuchasthelevelofriskinherentin the workplace and the rate of change taking place there. Typical review frequencies for a medium risk, slowlychangingworkplacemightbe:

Monthlyatalocallevel–involvinglocalmanagementandsupervisors.

Three-monthlyatadivisional/departmentallevel–involvingmiddlemanagementlevels.

Annuallyacross sites or the organisation as a whole – at board level.

Question22

Typicaloutputsfromthemanagementreviewthatneedtobedocumentedandmaintainedasarecordofthereviewprocessandasevidenceofitseffectivenessinclude:

Minutesofthereview.

Documentedrevisionstothehealthandsafetypolicyandhealthandsafetyobjectives.

Specificcorrectiveactionsforindividualmanagerswithtargetdatesforcompletion.

Specificimprovementactionswithassignedresponsibilitiesandtargetdatesforcompletion.

Dateforreviewofcorrectiveaction.

Areasofemphasistobereflectedintheplanningoffuturemanagementsystemaudits.