1

UNIT IG1
MANAGEMENT OF
HEALTH AND SAFETY
(Theory Paper)
2 NEBOSH International General Certificate in Occupational Health & Safety

ELEMENT 1

WHY WE SHOULD
MANAGE WORKPLACE
HEALTH AND SAFETY
Learning Outcomes:

1.1 Discuss the moral, financial and legal reasons for managing health and safety
in the workplace

1.2 Explain how health and safety is regulated and the consequences of
non-compliance

1.3a Summarise the main health and safety duties of different groups of people at
work

1.3b Explain how contractors should be selected, monitored and managed

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 Why we should Manage Workplace Health and Safety
ELEMENT
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The Size of the Health and Safety Problem: Most organizations and individuals would like to manage
safety in their organizations, but sometimes they are not
The International Labour Organization (ILO) has released
convinced enough to take action. So now, we will try to
01
the following data to support the cause of maintaining
find out what are the prime reasons for maintaining and
safety in the organizations:
promoting good standards of health and safety. Though,
 2.3 million women and men around the world expose somebody may sit down and come out with at least a
to work-related accidents or diseases every year. As a dozen reasons for managing safety, but all these reasons
result of this, over 6000 deaths have been reported can be summarized into the following three reasons:
in every single day

 There are 340 million occupational accidents and 160

million occupational diseases recorded each year

 Around 7 lakhs people die every year due to

hazardous substances

 Construction industry witnesses highest number of

fatal accidents

Worldwide Workplace Fatalities (ILO):

All Regions
Region Fatalities
Established Market economies 19,662
Formerly Socialist Economies of Europe 15,563
1.1  Morals and Money
India 36,740
China 68,231 Moral Expectations of Good
Other Asia and Islands 80,586 Standards of Health and Safety:
Sub-Saharan Africa 45,864
Organizations set up businesses and obviously make
Latin America and America and Caribbean 26,374
profits and earn money. To get the work done they
Middle Eastern Crescent 41,850
hire workers and contractors. Workers get paid for
WORLD 334,870
accomplishing the tasks given by the employer. The
employer provides everything to the employee to get
Work-Related Disease Deaths (ILO): the task done in the desired time with the desired quality.
No employer would want his employees to get injured
No. of deaths attributed
Causes of death or hurt while completing the tasks. The employer has a
to occupation
moral duty to take care of his employees. This moral duty
Cancer 30+years 456,240
can also be called ‘humanitarian’ or ‘ethical’. An employer
Cardiovascular and 200,025
pays the employees for the duties given to them and not
cerebrovascular disease 15
for getting injured while doing them. Hence the employer
- 60 years
has to ensure that employees who work for him do not
Chronic respiratory 275,000 get injured or suffer ill-health. This is the moral reason for
disease 15+ years managing safety.
Pneumoconiosis 36,000
(proportional estimate
from US figures)
Nervous system disorders 12,080
15+ years
Renal disorders 15+ years 13,100
Total 992,445

The above is what that is reported, many incidents go

unreported and hence not recorded.

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4 NEBOSH International General Certificate in Occupational Health & Safety

The Financial Cost of Incidents  Loss of staff morale, which impacts productivity and
quality.
(Insured and Uninsured Costs):
 Cost of remedial action following an investigation.
Today the business scenario is changing and if a business
is not able to make profits year on year then it is difficult  Compliance with any enforcement notice served.
to sustain it. Accidents cost money, and businesses realize
 Cost of recruiting and training temporary or
that to maximize profits and to minimize costs, the costs
replacement labor.
associated with accidents either needs to be totally
eliminated or atleast minimized as far as possible. Let us  General difficulties in recruiting and retaining staff as
now understand as to what are the costs associated with an indirect result of the accident.
accidents.  Loss of goodwill of the customers following delays in
The theory of costs of an accident can be closely associated production and fulfilling orders.
with that of a floating iceberg. What we see above the
 Activation of penalty clauses for failing to meet
ocean level is only 1/10th of the mass of the iceberg, while
delivery dates.
9/10th of the mass is hidden below the waters. In the same
way, we associate the costs of accidents only to costs of  Damage to public image and business reputation.
hospitalization and compensation payments which can  Damage to industrial relations, perhaps leading to
be easily measured, this is also known as direct costs, but workers unrest.
the majority of the costs is hidden like the iceberg and can
be many times the direct costs, these costs are known as Looking at the above it is proved beyond doubt that
indirect costs. accidents cost money and it is the indirect costs which cause
most of the damages to the companies’ performance and
Let us now define Direct and Indirect Costs and look at
hence it is worthwhile for businesses’ to invest in accident
examples of the same.
prevention (which some companies unfortunately look at
Direct Costs: the measurable costs arising directly from as costs) rather than face the loss making consequences of
an accident. Examples of direct costs are: the accidents.
 First aid treatment

 Worker sick pay

 Hospitalization costs

 Compensation payable to the victims

 Fines in the criminal courts

 Repairs or replacement of damaged structures and

plant

 Lost or damaged product

 Lost production time while dealing with the injury

 Overtime to make up for the lost time

 Costs associated with rehabilitation of the injured

worker and their return to work.

Indirect Costs: Those which arise indirectly as a

consequence of the event. Indirect costs are often difficult
to quantify precisely and may be hard to identify. Examples
of indirect costs are:

 Loss of staff from productive duties in order to

investigate the incident, prepare reports, undertake
hospital visits, deal with relatives, attend court
proceedings.

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 Why we should Manage Workplace Health and Safety
ELEMENT
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Insured and Uninsured Costs: welfare of its employees. These legislations are made by
local governments in consultation with the society. The
To take care of any eventualities arising from accidents
societal expectations may increase as the living conditions,
01
employers are required to buy insurance by paying a
technology and awareness increases, and the law also gets
premium. In most countries it is a legal requirement for
amended to take care of these enhanced expectations.
employers to have insurance for their workers. Other than
To ensure that the law is adhered to, the national
meeting the legal requirements it also creates a sense of
governments also appoint the enforcement agencies,
comfort both in minds of the employer and employee that
who are empowered to enter workplaces, conduct
in case of an accident the insurance will take care of the
audits, interview people and verify records. During such
costs associated with it. But not all costs are covered by
routine inspections, if the enforcement agencies find any
insurance and generally the quantum of uninsured costs
violations with respect to the law then they may initiate
is generally much higher than the insured costs. Some
proceedings, which can range from a simple enforcement
examples of possible insured and uninsured costs are as
notice to prosecution in the criminal court, which can lead
follows:
to either fines, imprisonment or both.
Insured Costs:
 Damage to plant, buildings, vehicles and equipment.

 Compensation paid to workers.

 Medical costs.

Uninsured Costs:
 Production delays of down time.

 Loss of materials and product

 Accident investigation time.

 Emergency supplies and first aid

 Cleaning up the site

The following are the social factors that influence health
 Criminal fines and legal costs. and safety:
 Sick pay of injured workers.  Economic climate
 Overtime to make up for lost production.  Government policy

 Hiring and training new employees or temporary  Risk profile

employees  Globalizations

 Loss of business reputation.  Migrant workers

 National level of sickness and incapability
In general, uninsured costs are usually 2-10 times expensive
than direct costs. Even though, most of the uninsured  Social expectations of equality
costs cannot be insurable due to the following reasons. Basic Safety Requirements:
 Difficult to quantify Most national laws will talk about the following basic
 Not readily measurable safety requirements:

 Safe place of work.

Legal Reasons for Managing Health
and Safety in the Workplace:  Safe plant and equipment.

 Safe systems of work.

No employer can start a business without taking care of
the legal requirements. Even before the businesses are set  Information, Instructions, Training and supervision.
up, certain permits are sought from the local authorities;  Competent workers
these permits are only given if the employer undertakes
to ensure that all the legal requirements are met. Most The above five requirements follow a certain logic that we
national legislations would require employers to make should know, only then can we appreciate its effectiveness.
arrangements to take care of the health, safety and

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6 NEBOSH International General Certificate in Occupational Health & Safety

safe systems of work need to be followed and no unsafe

acts or conditions are created by them. This can be done
by ensuring that the work is carried out under ‘Competent
Supervision’.

1.2  Regulating Health and

Safety
What Enforcement Agencies do and
what happens if you don’t Comply:

Firstly the employer has to provide a ‘Safe Place of Work’,

a place which is inherently safe, for e.g., good ventilation
and illumination and a means of safe access and egress.

Having created a safe place to work, the employer

then has the task of getting ‘Safe Plant and Equipment’
installed in these premises. These plant and equipment
could be ranging from large stationary equipments
like compressors and generators to material handling Each country has its own ways of enforcing the health
equipments like Forklift Trucks to simple hand-held tools. and safety laws. No matter what the agency is called they
Needless to say all these equipments and plant need to be all follow certain guidelines which are almost the same
reasonably safe at the time of procurement, by ensuring
worldwide. The enforcement agencies plays the dual role
that it meets the required standards and at the same time
of ensuring that the activities are carried out as per the
it needs to remain safe during its lifetime by ensuring that
requirements of the law and at the same time if laws are
regular preventive maintenance and routine inspections
violated or accidents happen then investigate and create
are carried out.
a basis for criminal prosecution of the organization.
Now, having equipped his safe place of work with safe Sometimes they may also provide advice to the employers.
plant and equipment, the next task for the employer
The enforcement agencies have the right to enter premises
is to provide ‘Safe Systems of Work’, that is the right,
at any time without a prior appointment and take photos
documented way of operating these plant and equipment.
or ask for records or seize any incriminating or banned
These procedures should not only cover the routine
substances present in the premises and if required even
day-to-day activities but also the non-routine activities
get it destroyed. For carrying out this activity they can seek
which happens once in a while and at the same time
help of the local police.
the procedures should also cover emergencies, both
man-made and natural, so that adequate action can be Role of Enforcement Agency – Summary
taken to save lives.
 Provide advice
Having ensured that the above three requirements are
 Investigate workplace accidents
met the employer now has the task of getting employees
to work for him. These employees need to be adequately  Take formal enforcement action to force employers
‘Trained’ so that they know how to work on these safe to comply with the law and start criminal proceedings
plant and equipments using the safe systems of work and against those they believe have committed offences.
are adequately aware of the inherent risks present and
 To interpret law and publish Approved Codes of
know the use of safety devices and implements, thereby
Practice (ACOPs), Health and safety guidance (HSG),
keeping him and others safe and free from injury. Having
Industry Guidance (INDG)
trained the employees the employer has to ensure that the
 Would differ from country to country

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 Why we should Manage Workplace Health and Safety
ELEMENT
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Purpose of Law: compensation. This law applies to the unorganized sectors

and to those in the organized sectors who are not covered
 Set boundary to operate – level playing field
by the Employees State Insurance Scheme, which is
01
with no bias
 Regulate relationship – obligate responsibility conceptually considered to be superior to the Workmen’s
Compensation Act.
 Resolve conflict – maintain Industrial relations and
Public relations In certain countries the claimants can directly claim
 Establish rights – ensure no exploitation of labour compensation from regional or national compensation
schemes without having to use the legal system.
Consequences of Non-compliance:
A breach of health and safety legislation is a criminal The Part Played by International
offence and the following could be the consequences:
Standards (like ISO 45001):
 Formal enforcement action: There are two types of
enforcement action: The International Organisation for Standardization is the
world’s largest developer of management standards. ISO
– Improvement notices: This identifies a specific
has developed
breach of law and specifies a date within which
the situation should be remedied.  ISO 9001 (Quality management standard)
– Prohibition notice: This notice is given to halt
 ISO 14001 (Environmental management standard)
an activity which the inspector feels could lead to
serious personal injury.  ISO 45001 (Occupational health and safety
 Prosecution of the organization in the criminal management systems (H&SMS))
courts: Successful prosecution might result in Whilst these are not legal documents they have been
punishment in the form of a fine. adopted by many companies throughout the world
 Prosecution of individuals, such as directors, since they demonstrate good management practice. The
managers and workers: Successful prosecution result is a common approach to managing quality and
might result in fines and/or imprisonment.. environmental matters. At a technical level, ISO has been
responsible for developing safety standards to which
machinery, etc. should conform, e.g. ISO 12100: Safety of
Machinery. Such standards are then commonly referenced
by national legislation on machinery safety, since
compliance with the recognized international standard
demonstrates safety.

An employee or any interested party who has injured or The International Labour
suffered health effects due to conditions existing in a Organisation’s (ILO) Convention
workplace can claim for compensation by filing a case
C155 and Recommendation R164:
in the civil court. Here the claimant (the person who is
claiming compensation) has to prove that the employer We have now understood that one of the
was negligent in his actions and that this negligence reasons for managing health and safety is
resulted in the claimants’ ill- health or injury. the legal reason. Let us now understand
In India, The Employees’ Compensation (Amendment) Act, how these laws get made, whether
2017 is one of the legislations for labour. It covers all cases there is uniformity in these laws across nations, how the
of ‘accident arises out of and in the course of employment’ enforcement of these laws happen and the consequences
and the compensation cost to be paid at lump sum based of not following the law.
on the severity of the injury and the earning capacity of the
individual. The young worker deserves high compensation A prime mover in the field of International labour and
based on the wage limit. The victim (injured person) or the safety laws is the International Labour Organisation or the
dependent (in case of fatality) can claim the ILO, which is part of the United Nations. The ILO consists of

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8 NEBOSH International General Certificate in Occupational Health & Safety

member states, with almost all the countries in the world 2. … to ensure that .. the chemical, physical and biolog-
been part of it. Through deliberations of the member ical substances and agents under their control are
states the ILO regularly releases standards that regulate without risk to health…
health and safety laws across the world. These standards 3. … to provide… adequate protective clothing and pro-
or laws are known as Conventions and Recommendations. tective equipment to prevent.. risk of accidents or of
Once these conventions and recommendations are passed adverse effects to health.”
in the ILO through a majority vote it becomes binding on
R164 expands the above and provides more guidance as
each of the member states to convert these conventions
to how to implement the above requirements given in the
into their own national legislations by an act of their
convention.
respective parliaments so that they can be binding on the
businesses operating within their geo-political spread. Article 10 of R164 puts the following
Let us now look at the difference between a convention
obligations on the employers:
and a recommendation and take some examples of the  To provide workplaces and work equipment and use
same so as to reinforce our learning’s. work methods which are safe and pose no risk to health.

Conventions are legally binding international treaties  To provide appropriate instructions and training.
that need to be ratified by member states, while
 To provide necessary supervision.
Recommendations serve as non- binding guidelines.
Convention lays down the basic principles that need to  To put in place health and safety arrangements adapted
be implemented by ratifying countries, while a related to suit the size and nature of the undertaking.
recommendation supplements the convention by providing  To provide any necessary personal protective clothing
more detailed guidelines on how it can be applied. and equipment free of charge.
In 1981, the ILO adopted the Occupational Safety  To ensure that the hours of work do not adversely affect
and Health Convention (C155). This is a goal setting employees’ safety and health.
convention and describes safety requirements at both the
 To take measure to eliminate physical and mental fatigue.
national as well as the individual organization level.
 To stay up-to-date with knowledge in order to comply
This convention is supplemented by the Occupational
with the above.
Safety and Health Recommendation 1981 (R164). It
provided detailed guidance as to how to comply with the Now let’s look at how the Indian government has
policies laid down in C155. implemented the above requirements in the national laws:

Let us now look at some of the requirements laid out in The Indian connection: The Occupational Safety,
C155 and R164. Health and Working Conditions Code - 2020

Employers’ Responsibilities: Chapter III, Clause 6 (2): Duties of employer

Without prejudice to the generality of the provisions of
sub-section (1), the duties of an employer shall particularly
in respect of factory, mines, dock, building and other
construction work or plantation include—
a) the provision and maintenance of plant and sys-
tems of work in the workplace that are safe and
without risk to health;
b) the arrangements in the workplace for ensuring
safety and absence of risk to health in connec-
tion with the use, handling, storage and transport
of articles and substances;
c) the provision of such information, instruction,
Article 16 of C155 identifies some basic
training and supervision as are necessary to
obligations placed on employers: ensure the health and safety of all employees
1. “… to ensure that .. workplaces, machinery, equip- at work;
ment and processes under their control are safe and
without risk to health….”

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 Why we should Manage Workplace Health and Safety
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d) the maintenance of all places of work in the a) take reasonable care for the health and safety of
workplace in a condition that is safe and without himself and of other persons who may be affect-
risk to health and the provision and maintenance ed by his acts or omissions at the work place; 01
of such means of access to, and egress from, b) comply with the safety and health requirements
such places as are safe and without such risk; specified in the standards;
e) the provision, maintenance or monitoring of c) co-operate with the employer in meeting the statu-
such working environment in the workplace for tory obligations of the employer under this Code;
the employees that is safe, without risk to health
d) if any situation which is unsafe or unhealthy
as regards facilities and arrangements for their
comes to his attention, as soon as practicable,
welfare at work.
report such situation to his employer or to the
From the above it is amply clear that though the wording health and safety representative and in case of
may be different between the C155 & The Occupational mine, agent or manager referred to in section
67, safety officers or an official for his workplace
Safety, Health and Working Conditions Code - 2020,
or section thereof, as the case may be, who shall
however the meaning generally remains the same.
report it to the employer in the manner as may
be prescribed by the appropriate Government;
Workers’ Responsibilities and Rights:
e) not wilfully interfere with or misuse or neglect
any appliance, convenience or other thing provid-
ed at workplace for the purpose of securing the
health, safety and welfare of workers;
f) not do, wilfully and without reasonable cause,
anything, likely to endanger himself or others; and
g) perform such other duties as may be prescribed
by the appropriate Government.

Till now we understood the duties of the employer, In addition to the responsibilities, article 19 of C155 gives
but to ensure that health and safety really works in the following rights to the workers.
an organization, we also need good co-operation and
 The right to be provided with adequate information on
support from the workers also, hence C155 puts certain
actions the employer has taken to ensure occupational
responsibilities on the workers also and at the same time
safety and health.
provide them with certain rights:
 The right to necessary training in occupational safety and health.
The article 19 of C155 states that all workers and their
representatives have to cooperate with the employer so that  The right to be consulted on employer on all matters of
he can fulfill his or her legal obligations. occupational safety and health relating to their work.

Article 16 of R164 provides more details:  The right to leave the workplace which the worker
has reason to think presents an imminent and serious
 Take reasonable care of their own safety and that of the
danger to his or her life or health and not be compelled
others who might be affected by the things that they do
to return until it is safe.
and the things that they fail to do.
The Indian connection: The Occupational Safety,
 Comply with safety instructions and procedures.
Health and Working Conditions Code - 2020.
 Use all safety equipments provided and
not tamper with it. Chapter III, Clause 14: Rights of employee
 Report any situation which they believe could be a 1) Every employee in an establishment shall have
the right to obtain from the employer information
hazard and which they themselves cannot correct.
relating to employee’s health and safety at work
 Report and work-related accidents or ill- health. and represent to the employer directly or through
a member of the Safety Committee as constituted
The Indian connection: The Occupational Safety, under section 22, if constituted by the employer
Health and Working Conditions Code - 2020. for such purpose, regarding inadequate provision
for protection of his safety or health in connection
Chapter III, Clause 13: Duties of employee with the work activity in the workplace, and if not
Every employee at workplace shall, — satisfied, to the Inspector-cum-Facilitator

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10 NEBOSH International General Certificate in Occupational Health & Safety

Where you can find Information on 1.3 Who does what in

National Standards: Organisations
Information on International standards is available from
the ILO website and similarly on National standards from
Roles of Directors & Managers:
the National websites. Some sources of information are as Directors and managers play an important role in
follows: establishing, implementing and driving health and safety
 www.hse.gov.uk the health and safety website for UK. within the organization. They have with them a vital
element without which nothing would be possible. This
 www.ilo.org for information on ILO conventions and
vital element is what we call as ‘resources’. Resources
recommendations.
could be money, space, manpower, plant and equipment
 www.dgms.gov.in for information on Indian labour or more simply, it could be managerial time to give a
and OHS laws. hearing to health and safety related issues.

 https://bis.gov.in/ for information on quality, safety

and reliability of products w.r.t Indian scenario

 www.osha.europa.eu for EU related information.

 https://www.osha.gov/for USA related information

Besides these National & International organisation, the

sources of information which may vary according to the
nation includes

 Information from trade unions/trade associations

 Health and Safety magazines

 National Safety Councils

Their roles and responsibilities include:
 Internet and Encyclopedias
 Give the organisation its direction
 Standards and technical guidance publications
 Setting up a health and safety policy, taking care of
 Information from manufacturers and suppliers data statutory requirements.
Summary on Sources of Information:  Creating an organizational structure, with proper
lines of communication depicting responsibility and
Internal External feedback.

 Accident records  National legislation  Creating measureable aims and objectives towards
fulfillment of health and safety standards and statute.
 Medical records  Material safety data
Ensuring that the resources required to achieve the
sheets
 Risk assessments set objectives are reasonably adequate.
 Codes of practice /
 Maintenance reports  Ensuring that there are personnel with specific roles
Guidance notes
 Safety inspection related to health and safety and these people should
 Operating instructions be reporting to director level personnel.
reports
 Trade association’s  There are adequate numbers of competent persons
 Audit reports
publications available to take care of the organizations health and
 Safety committee safety obligations.
 Safety publications
meeting minutes
 Workplace exposure Role of Supervisors:
limits
A supervisor means a person who has charge of a workplace
or authority over a worker. He must:

 Ensure that a worker complies with health & safety

regulations

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 Why we should Manage Workplace Health and Safety
ELEMENT
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 Ensure that equipment, protective device or clothing Let us now look at requirements laid out in C155 Article
provided by the employer are maintained in good 17, R164 Recommendation 11 with respect to sharing of
condition and used as prescribed workplace.
01
 Instruct workers about any potential of or actual Article 17 of C155 states that “Whenever two or more
health/ safety hazards; and undertakings engage in activities simultaneously at one
workplace, they shall collaborate in applying the requirements
 Take every precaution reasonable in the
of Occupational Safety and Health Convention
circumstances for the protection of workers.
Article 11 of R164 states that “Whenever two or more
undertakings engage in activities simultaneously at one
workplace, they should collaborate in applying the provisions
regarding occupational safety and health and the working
environment, without prejudice to the responsibility of each
undertaking for the health and safety of its employees. In
appropriate cases, the competent authority or authorities
should prescribe general procedures for this collaboration”.

(Source:https://www.ilo.org/dyn/normlex/en/f ?p=NOR
MLEXPUB:12100:0::NO:12100:P12100_INSTRUMENT_
ID:312502:NO)
How Top Management can
Joint occupiers of premises are those who share a
Demonstrate Commitment:
common premise but have their own business interests,
 By making resources available to design, implement employees, processes and equipment. In such scenario
and maintain the occupational health and safety the risks created by one of the business could affect the
management system employees of the other business. For e.g. there could
be pathological lab next to a garment manufacturing
 By defining roles and responsibilities
company. The biological hazards and waste generated
 By appointing senior managers with specific by the pathological lab could become a hazard for the
responsibility for health and safety workers working in the garment company and at the same
 By appointing competent people (internal time the cloths and other raw material will create a fire
and external, including specialists) to help the hazards for the workers in the pathological lab. To deal
organisation meet its health and safety obligations with such a scenarios the individual business owners have
responsibility towards each other been joint occupiers of
 By reviewing health and safety performance premises. The following things can be done to ensure a
Responsibilities of Organisations who proper coordination:

Share a Workplace to Work together on  Each employer should nominate a senior employee to
Health and Safety Issues (C155 Article 17, a joint committee which can meet regularly to discuss
R164 Recommendation 11) safety related matters.

 There should be joint consultations to ensure that

hazards of each of the occupiers are known and the
control measures are recorded.

 There should be procedures jointly made to deal with

emergencies and fire and other emergency mock
drills should be planned and jointly executed.

The law puts a duty on the employer to provide ‘safe

plant and equipment’. The employer procures these from
manufactures, but these will be ‘safe’ only if the designing
and manufacturing is safe. To ensure this legislation puts
certain responsibilities on the supply chain.

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12 NEBOSH International General Certificate in Occupational Health & Safety

 Plant and equipment should be designed as per then, the article conforms to the standard adopt-
acceptable standards and manufactured under ed in the country from where it is imported at its
the required quality control. This should include national level.
procurement of the raw material from authorized
Chapter III, Clause 9: Duties of architects,
vendors, manufacturing as per a set procedure
project engineers and designers
and tested and certified, if required by third party
surveyor, before dispatch. 1. It shall be the duty of the architect, project engineer

 It should include operating instructions and complete or designer responsible for any building or other
manual for servicing and replacement of the parts. construction work or the design of any project or part
thereof relating to such building or other construction
 If the manufacturer is supplying chemicals, then it
work to ensure that, at the planning stage, due
should be supplied only in proper containers, labelled
consideration is given to the safety and health
as per international standards and accompanied by a
aspects of the building workers and employees who
Safety Data Sheet (SDS).
are employed in the erection, operation and execution
The Indian connection: The Occupational Safety, of such projects and structures as the case may be.
Health and Working Conditions Code - 2020
2. Adequate care shall be taken by the architect, project
Chapter III, Clause 8.: Duties of engineer and other professionals involved in the
manufacturers, designers, importers or project referred to in sub-section (1), not to include
suppliers anything in the design which would involve the use of
Every person who designs, manufactures, imports or dangerous structures or other processes or materials,
supplies any article for use in any establishment shall— hazardous to health or safety of building workers and
employees during the course of erection, operation
a) ensure so far as is reasonably practicable, that
the article is so designed and constructed in the and execution as the case may be.
establishment as to be safe and without risk to 3. It shall also be the duty of the professionals, involved
the health of the workers when properly used;
in designing the buildings structures or other
b) carry out or arrange for the carrying out of such construction projects, to take into account the safety
tests and examination in the establishment as aspects associated with the maintenance and upkeep
may be considered necessary for the effective
of the structures and buildings where maintenance
implementation of the provisions of clause (a);
and upkeep may involve such hazards as may be
c) take steps as may be necessary to ensure that
notified by the appropriate Government
adequate information will be available—
i. in connection with the use of the article in How Clients and Contractors should
any establishment; Work together:
ii. about the use for which such article is The duties they owe each other (as
designed and tested; and
per ‘Safety and health in construction’,
iii. about any conditions necessary to ensure
ILO Code of Practice – chapter 2)
that the article, when put to such use, shall
be safe, and without risk to the health of the
workers.
Provided that where an article is designed or
manufactured outside India, then it shall be
obligatory on the part of the importer to see—
(A) that the article conforms to the same standards
of such article manufactured in India; or
(B) if the standards adopted in the country outside
India for the manufacture of such article is above
the standards adopted in India, that the article
conforms to such standards in such country;
(C) if there is no standard of such article in India,

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 Why we should Manage Workplace Health and Safety
ELEMENT
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 Clients should:  Number of workers, adequate for the project without

the need to bypass any critical requirements.
– (a) co-ordinate or nominate a competent person 01
to co-ordinate all activities relating to safety and  Right mix of people, so that the correct ratio of skilled v/s
health on their construction projects; unskilled workers v/s supervisors is adequate.
– (b) inform all contractors on the project of special In case of equipment the following needs to be checked:
risks to health and safety of which the clients are or
 Whether the equipment meets the required national
should be aware;
and the companies’ own standards.
– (c) require those submitting tenders to make
provision for the cost of safety and health measures  Whether any statutory tests is required and has been
during the construction process. carried out (for e.g. lifting tools and tackles).

 In estimating the periods for completion of work stages  Whether the plant and equipment are suitable for the task
and overall completion of the project, clients should take and the environment in which they are to be used.
account of safety and health requirements during the
In case of documentation, the following needs to be
construction process.
checked:
As the employer has the responsibility to protect own
 The contractors’ health and safety policy.
workers as well as contractors. To ensure that, contractors
have to be managed by the following steps:  Risk assessments and method statements.

 Effective planning and co-ordination of contracted  Previous experiences of carrying out similar type
work of work.

 Pre-selection of the contractor  Accident records and legal labor permits.

1. Effective planning of the contracted  Any enforcement action pending or otherwise.

work 3. Co-ordination of the Contracted Work:

Client shall if required appoint a Project Management This step is required because a project site is quite
Consultant (PMC) and plan the contract work as follows: complex with several contractors working side-by-side
 Decide on scale of contracting. executing several parallel or sequential operations; even
the clients’ own workforce may be involved. To ensure
 Scope of the work to be determined that the activities don’t clash and one contractor’s
 Decide on information to be shared activities do not create a hazard for others, proper
co-ordination of the work is required. The client can
 Hazards posed by the site and work carried out
do this by having a control over the work schedule and
 Hazards posed by the contractor’s activities certain safety critical activities are carried out only under
the Permit to Work system authorized by the client.
 Risk assessments of contractor’s job

 Method statements

2. Pre-selection of Contractors:
While selecting the contractor, the client has to take care
of the following three things i.e.

 People or the contractors workers

 Equipment the contractor brings with him and

 Procedures that he is going to employ and other

documents and records.

In case of workers the following needs to be checked:

 Competence of the workers, for e.g. if welders, then

their weld test qualifications; or scaffolders, then
their relevant qualifications.

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14 NEBOSH International General Certificate in Occupational Health & Safety

Summary
 Occupational health and safety is an organized system to ensure the safety, health and welfare of people employed at
different types of work premises

 Three key reasons for practicing good standards of health and safety. They are:

– Moral: Employer or employee should ensure that the work which is undertaken should not affect others or put
others in danger
– Financial: Poor occupational health and safety performance influence additional costs to organization.
Employer should implement good strategies to effectively manage the costs of accidents, ill health events, and
environmental incidents
– Legal: Employer should ensure safe systems of work for all his employees and satisfy legal requirements with
respect to health and safety
 Financial Cost of Incidents

– Direct Cost is a type of cost which can be easily identified to measure the cost of a product or service E.g: Labour
wages, equipment cost, worker compensation etc.
– Indirect Cost is a type of cost which cannot be easily identified to measure the cost of a product or service E.g:
Cumulative business loss, production delays, extra overtime payments, recruitment and training of staff etc.
 Few of the above costs may be Insured and many be Uninsured. To summarize, cost of any accident would be: Direct
Insured, Direct Uninsured, Indirect Insured and Indirect Uninsured.

 Most of the uninsured costs cannot be insurable due to the following reasons.

– Difficult to quantify
– Not readily measurable
 Enforcement agencies responsible for enforcing health and safety practices at workplace

 Roles of enforcement agencies

– Inspect the work area to identify health and safety problems

– Suggest precautionary and preventive control measures for the identified risks
– Order authority to eliminate substances which cause dangerous risks
– Violation of health and safety factors makes the enforcement agencies to
ͫ Issue of improvement notice and prohibition notice
ͫ Take legal actions against the organization and its members like directors, managers
ͫ Give punishment in the form of fines and license cancellation
 The International Organization for Standardisation (ISO) creates standards that can be utilized by organizations to
enhance and manage organization’s performance to international standard

 Some examples are: ISO 9001 for Quality, ISO 45001 for Occupational Health and Safety, ISO 14001 for Environment

 International Labour Organisation (ILO) is an agency works for health, safety and welfare of labours across the globe

 ILO standards refer to conventions, recommendations and also code of practices, guidance and manuals on health and
safety

 ILO’s conventions (agreement) and recommendations clearly define the roles and responsibilities of employers and
workers to promote good standards of health and safety in a complex industrialised country

 Example of ILO Conventions and recommendations are C155 Occupational Safety and Health and (R 164), 1981

 Employer’s responsibilities as per

– Article 16 of Convention C155

ͫ Make sure workplace, machinery, equipment and processes are proper, safe and risk-free

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 Why we should Manage Workplace Health and Safety
ELEMENT
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ͫ Ensure appropriate control and protection of physical, chemical and biological substances
– Recommendation R164
01
ͫ Make sure workplace is safe and secure
ͫ Ensure frequent breaks and rests are given to workers
ͫ Provision of personal protective equipment and encourage the use of it
ͫ Conduct training and give necessary instruction and information with respect to the specified tasks
ͫ Stay up-to-date with health and safety knowledge
ͫ Ensure proper record keeping and documentation
 Worker’s responsibilities and rights as per

– Article 19 of Convention C155

ͫ Co-operate with employers and others to full-fill the organization requirements
ͫ Consult with employers for the provision of training and personal protective equipment
– Recommendation R164
ͫ Take care of own health and safety
ͫ Ensure your own actions not put others in danger
ͫ Adhere to safety and health procedures of the organization
ͫ Use appropriate PPE for the task specified
ͫ Communicate to the concern authority if any violations in health and safety procedures
 Individuals in an organisation right from employer to worker have pre-defined roles and responsibilities to accomplish
organisation’s requirements without sacrificing the health and safety factors

 Some of the roles and responsibilities of following individuals

 Give the organisation its direction

 Setting up a health and safety policy, taking care of statutory requirements

 Creating an organizational structure, with proper lines of communication depicting

responsibility and feedback.
Directors & Managers
 Creating measurable aims and objectives towards fulfillment of health and safety
standards and statute

 Ensuring that the resources required to achieve the set objectives are reasonably
adequate

 Ensure that a worker complies with health & safety regulations

 Ensure that equipment, protective device or clothing provided by the employer are
Supervisors maintained in good condition and used as prescribed

 Instruct workers about any potential of or actual health/ safety hazards; and

 Take every precaution reasonable in the circumstances for the protection of workers

 Top management can demonstrate commitment by

– making resources available to design, implement and maintain the occupational health and safety management
system
– defining roles and responsibilities
– appointing senior managers with specific responsibility for health and safety
– appointing competent people (internal and external, including specialists) to help the organisation meet its health
and safety obligations
– reviewing health and safety performance

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16 NEBOSH International General Certificate in Occupational Health & Safety

 Requirements laid out in C155 Article 17, R164 Recommendation 11 with respect to sharing of workplace.

– Article 17 of C155 states that “Whenever two or more undertakings engage in activities simultaneously at one
workplace, they shall collaborate in applying the requirements of Occupational Safety and Health Convention
– Article 11 of R164 states that “Whenever two or more undertakings engage in activities simultaneously at one
workplace, they should collaborate in applying the provisions regarding occupational safety and health and the
working environment, without prejudice to the responsibility of each undertaking for the health and safety of its
employees. In appropriate cases, the competent authority or authorities should prescribe general procedures for
this collaboration”.
 Duties of the clients and contractors when working together with reference to ‘Safety and health in construction’,
ILO Code of Practice

– Clients should:
ͫ co-ordinate or nominate a competent person to co-ordinate all activities relating to safety and health on their
construction projects;
ͫ inform all contractors on the project of special risks to health and safety of which the clients are or should be
aware;
ͫ require those submitting tenders to make provision for the cost of safety and health measures during the
construction process.
– In estimating the periods for completion of work stages and overall completion of the project, clients should take
account of safety and health requirements during the construction process.
 As the employer has the responsibility to protect own workers as well as contractors. To ensure that, contractors have
to be managed by the following steps:

– Effective Planning of the contract work E.g. Deciding scale of contractor, information to be shared etc.
– Pre-selection of the contractor E.g. Check contractor worker’s competence, equipment effectiveness, reviewing
health and safety policy, accidents records, legal labour permits etc.
– Co-ordination of the contract work E.g. To ensure that the contractor’s work activities don’t clash with other work
activities

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 ELEMENT
How Health and Safety Management Systems Work and What they Look Like 2 17

02

ELEMENT 2

HOW HEALTH AND SAFETY

MANAGEMENT SYSTEMS
WORK AND WHAT THEY
LOOK LIKE

Learning Outcomes:

2.1 Give an overview of the elements of a health and safety management system and
the benefits of having a formal/certified system

2.2 Discuss the main ingredients of health and safety management systems that
make it effective – policy, responsibilities, arrangements

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18 NEBOSH International General Certificate in Occupational Health & Safety

2.1 What they are and the ILO’s Occupational Safety and Health
Management System (ILO-OSH: 2001
Benefits they bring: Model)
The Basics of a Health and Safety The key elements are:
Management System: the ‘Plan, Do,  Policy (PLAN)
Check, Act’ Model  Organizing (PLAN)

In the Element 1, we saw that managing occupational  Planning and Implementation (DO)
health and safety is important and there is no doubt left
 Evaluation (CHECK)
that if businesses have to survive then organizations have
to manage their occupational health and safety risks.  Auditing (CHECK)

The next question that comes in our mind is how we can  Action for Improvement (ACT)
efficiently manage health and safety in our organization?  Continual Improvement. (ACT)
The answer lies in a simple management model known as
the Deming Cycle. This cycle is also known as the P-D-C-A
cycle or the Plan- Do –Check- Act cycle. It is a cycle which
remains rotating continuously. It starts with:

Policy: It is a statement of intent made by the top

management showing their commitment with respect to
aims and objectives in maintaining and practicing good
safety and overall reducing accidents or even achieving
zero harm.

 Plan: This involves setting up a target and planning of

how it can be achieved.

 Do: This involves implementing the plan in a

systematic way.
Organizing: This element speaks about the roles and
 Check: Periodically the targets set, needs to be
responsibilities of various levels towards health and safety,
checked whether they are been achieved or not and
delegation of authority, and channel of communication,
whether the results achieved are in line with the
within the organization, right from the MD to the assembly
expectations.
worker and also that of specialist staff.
 Act: This step closes the cycle indicating whether any
improvements need to be made for any unachieved
targets and at the same time deciding on new targets,
for those which are achieved.

The above cycle is used in creating management systems like

ILO-OSH 2001, ISO 9001, ISO 14001 and ISO 45001:2018.

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How Health and Safety Management Systems Work and What they Look Like
ELEMENT
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Planning and Implementation: This element will focus on or the planning sections.
detailed arrangements to go about achieving the targets
Continual Improvement: The health and safety
set in the policy section.
management system follows a continuous cycle, it needs
While policy speaks about
to continuously progress and achieve better and greater
‘what needs to be achieved’,
targets. The whole idea is not to remain static but to keep
this section speaks about
on continually improving.
‘how it can be achieved’.
02
This section will have
procedures for carrying out
risk assessments, accident
investigations, etc.

Evaluation – (Monitoring, Review, Measurement, and

Investigation): This includes methods to monitor and
measure the performance. Some monitoring methods
could be proactive like for e.g. a safety tour, safety sampling
and safety survey while others could be reactive like for e.g. ISO 45001:2018: Occupational Health and
measuring accident, absenteeism and ill-health data. Safety Management System (H&SMS)
ISO 45001:2018 is the newly developed health and safety
management system certification standard to replace
OHSAS 18001. It adopts Annex SL top-level framework
for ensuring enhancement in overall health and safety
performance of an organisation. Being a key driver for
any organization, this standard has set of procedures and
standards for helping the organization to achieve its OH&S
objectives. Moreover, it encourages the inputs of internal
Audit: It is a planned, systematic and critical evaluation of and external stakeholders as part of developing the risk-
the health and safety management system by a competent based approach to health and safety management.
person. It will identify weaknesses and suggest changes in
the health and safety management system implementation
process or in the setting of inadequate or unrealistic
targets. The audit will also ensure that the organisation is
in compliance with necessary legislation according to the
nation and previous audit records.

Action for improvement: It is at this stage the results of

monitoring are compared to the set objectives and targets.
If the set targets are achieved, then
enhanced targets can be set for
the future, but if targets are not Annex SL Structure
met, then the organization needs Source : bsi.
to evaluate the reasons for non-
Similar to OHSAS 18001, this globally recognized
achievement and take corrective
certification standard incorporates the PDCA concept into
and Preventive actions. It may be
the Annex SL top-level framework.
necessary to make changes either in the policy, organizing

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20 NEBOSH International General Certificate in Occupational Health & Safety

For detailed guidance about terms and definitions related

to ISO 45001:2018, refer

 ISO Online browsing platform: available at https://

www.iso.org/obp

 IEC Electropedia: available at http://www.

electropedia.org/

Clause 4: Context of the organisation

(H&SMS framework):
Focuses on the evaluation of the “context” of an
organisation which includes

 Understanding the organization and its context

(e.g. number of workers, size, geography, culture,
technology used, ethical and environmental
responsibility, legal requirements and other
requirements)

The numbers given in brackets refer to the clause number and  Understanding the needs and expectations of
which have been specified below for your reference workers and other interested parties

Clause 1: Scope  Determining the scope of the OH&S managements

system by considering internal and external issues,
The scope highlights the requirements for establishing
work-related activities etc.
and implementing occupational health and safety
management system (OH&S) in an organisation and also  Establishing and implementing OH&S management
provides guidance to achieve the intended outcomes of its system as per the standards and requirements
management system which includes prescribed in the ISO 45001:2018

 Enhancing health and safety at work Clause 5: Leadership and worker

participation
 Complying with legal and other requirements
Details about how the organization provides guidance on
 Dealing with non-conformities and system deficiencies
 Demonstrating leadership, commitment and
 Accomplishing continual improvements in OH&S
active support from top, senior, middle and junior
performance
management categories
 Satisfying the needs and expectations of workers and
 Developing an OH&S policy
other stakeholders
 Specifying roles, responsibilities and authorities
Clause 2: Normative references
to achieve the intended objectives of OH&S
There are No regulatory references associated with the management system
new ISO 45001:2018. It is simply included for maintaining
 Outlining the processes in relation to consultation
consistent numbering across all ISO management system
and participation of workers
standards
Clause 6: Planning (Plan)
Clause 3: Terms and definitions
This clause specifies the plan to
This clause explains the terms and definitions applicable to
the specific standard. For example,  Identify and assess the risks and opportunities
involving organisation and workers
Term “Occupational health and safety opportunity“
defined as circumstance or set of circumstances that can lead  Address the risks and opportunities that have been
to improvement of OH&S performance identified

Term participation defined as involvement in decision-  Prepare and respond to the identified risks,
making. It includes health and safety committees and workers’ opportunities and other emergency conditions
representatives  Manage legal and other requirements

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How Health and Safety Management Systems Work and What they Look Like
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Clause 7: Support (Do)  Incident (e.g. near misses, ill-health, injuries)

For proper functioning of OH&S management system, this  Non-conformity (e.g. incompatible PPE, breaching legal
clause discusses the requirements of support on requirements, violating manufacturer’s instructions)

 Resources (e.g. human, natural, infrastructure)  Corrective action (e.g. finding out the root cause of
the incident, reviewing the non-conformities)
 Competence

 Awareness (i.e. OH&S policy and OH&S objectives)

 Ways to achieve the continual improvement (e.g. safe 02
work practices, new technology, seeking assistance
 Communication (i.e. Internal and external) from experts and third party consultants, competence
enhancement)
 Documented information

Clause 8: Operation (Do) Benefits of having a Formal/

Briefs on the operational planning and control requirements Certified Health and Safety
relating to the OH&S management system covering Management System
 Elimination of hazards and reduction of OH&S risks  A formal occupational health and safety management
 Management of change (i.e. introduction of new system approach is increasingly favoured by
products, changes in legal requirements, any regulators throughout the world, and may be legally
technological advancements etc.) required in some regions

 Procurement of products and services, contractor’s  Modern goal-setting legalisation implies the need
activities and operations and outsourcing for an occupational health and safety management
arrangements system as a form of self-regulation

 Emergency preparedness and response  Multi-national organisations favour a consistent,

standardised approach throughout the organisation
Clause 9: Performance evaluation (Check) -just like the business management system
It encompasses the following to evaluate the performance (‘globalisation”)
of OH&S management system
 Having a certified health and safety management
 Monitoring, measurement, analysis and performance system gives a competitive edge to organizations as
evaluation it is an effective way to prove to their customers and
other stakeholders that their health and safety is well
 Internal audit
managed and the products/ services offered by them
 Management review are produced in a safe and healthy environment.
Evaluation of compliance  Many national and international tenders require
To ensure the compliance with the legal and other the bidder to have a certified health and safety
requirements, the organisation should management system. Hence it makes business and
economic sense for the organization to adapt to a
 Establish and maintain the process and systems to formal system.
fulfil the compliance obligations

 Have adequate knowledge to understand its 2.2 What Good Health and

compliance status Safety Management
 Identify and take actions regarding non-compliance, if Systems look like:
needed

 Retain documented information as evidence of the

The Occupational Health and
compliance evaluation results Safety Policy (as per Clause 5.2, ISO
Clause 10: Improvement (Act) 45001:2018):
To ensure perfections and continual improvement of the Role / Typical Content / Proportionate to
OH&S management system, this clause takes into account the Needs of the Organisation:
of the following aspects
Top management must establish, implement and maintain

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22 NEBOSH International General Certificate in Occupational Health & Safety

an OH&S policy that:

 includes a commitment to provide safe and healthy working conditions for the prevention of work-related injury and
ill health and is appropriate to the purpose, size, and context of the organization and to the specific nature of its OH&S
risks and OH&S opportunities.

 provides a framework for setting the OH&S objectives

 includes a commitment to fulfil legal requirements and other requirements

 includes a commitment to eliminate hazards and reduce OH&S risks.

 includes a commitment to continual improvement of the OH&S management system.

 includes a commitment to consultation and participation of workers, and, where they exist, workers’ representatives.

The OH&S policy shall:

 be available as documented information

 be communicated within the organization

 be available to interested parties, as appropriate

 must be relevant and appropriate.

Sample Occupational Health and Safety Policy

This policy will apply to __(Name of Business)_____ at all locations.

__(Name of Business)______________ is committed to providing a healthy and safe work environment for its workers and preventing occupational
illness and injury. To express that commitment, we issue the following policy on occupational health and safety.

As the employer, (Name of Business) is responsible for the health and safety of its workers. __(Name of Business)______________ will make every
effort to provide a healthy and safe work environment. We are dedicated to the objective of eliminating the possibility of injury and illness.

As _(CEO/Owner/etc.)______________ I give you my personal promise to take all reasonable precautions to prevent harm to workers.

Supervisors will be trained and held responsible for ensuring that the workers, under their supervision, follow this policy. They are accountable for
ensuring that workers use safe work practices and receive training to protect their health and safety.

Supervisors also have general responsibility for ensuring the safety of equipment and facility.

__(Name of Business)__________________ through all levels of management, will cooperate with the Joint Occupational Safety and Health
(JOSH) Committee or the Health & Safety Representative and workers to create a healthy and safe work environment. Cooperation should also be
extended to others such as contractors, owners, officers, and so on.

The workers of (Name of Business) will be required to support this organization’s health and safety initiative and to cooperate with the JOSH
Committee or Health & Safety Representative and with others exercising authority under the applicable laws. It is the duty of each worker to report
to the supervisor or manager, as soon as possible, any hazardous conditions, injury, accident, or illness related to the workplace. Also, workers must
protect their health and safety by complying with applicable Acts and Regulations and following policies, procedures, rules and, instructions as
prescribed by

__(Name of Business)______________.

_(Name of Business)______________ will, where possible, eliminate hazards and, thus, the need for personal protective equipment. If that is
not possible, and where there is a requirement, workers will be required to use safety equipment, clothing, devices, and materials for personal
protection.

__(Name of Business)________ recognizes the worker’s duty to identify hazards, and supports and encourages workers to play an active role in
identifying hazards and to offer suggestions or ideas to improve the health and safety program.

Signed:

Title:

This policy has been developed in cooperation with the Committee, Health & Safety Representative, or workers.

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How Health and Safety Management Systems Work and What they Look Like
ELEMENT
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Typical Content Increase in:

The health and safety policy is a written document which  Reporting near miss / incidents / minor accidents
usually consists of the following three sections:
 Number of H & S trained employees
1. General Statement of Intent:  H & S audit scores
The purpose of the statement of Intent section in health
Setting of SMART and Quantifiable Targets:
and safety policy is to 02
Now, we know that target setting is an essential part of the
 State and illustrate the overall Aims and Objectives
statement of intent and once targets are set only then they
and a clear picture of management’s commitment
can be pursued and only then can we keep on measuring
towards health and safety.
whether we have achieved the targets or not. Essentially
 Set objectives and quantifiable performance targets. the setting of targets and achieving it leads to continual
improvement.
Difference between Aim, Objectives and
Targets Let us now understand what we mean by SMART targets
and how they can be set.
Aim:
The targets set should be SMART, the acronym SMART
 Purpose or intention of the
stands for the following:
management commitment (intangible)

 Remains unchanged during policy

revision

Objectives are longer term goals that are directly linked

to the commitments in the companies’ health and safety
policy such as:

 Meeting the legal requirements

 Provision of adequate health and safety training to all S – Specific - a clearly defined precise target
 Risk assessment of all the relevant workplace M – Measurable - it is possible to quantify the target
activities.
A – Achievable - can be achieved. (Agreed Upon)
Targets are linked to the objectives and are more easily
measurable and aid in continual improvement. Some R – Realistic - possible to achieve with the available time
examples are: and resources

 Meeting all the legal requirements related to mining T- Timely - a deadline is set to achieve the target.
department within the next 6 months. Let us look at an example of a target which is not SMART:
 Ensuring 80% health and safety training completion “Reduce the number of accidents”—here though the target
within the next 12 months. talks about accidents it is not possible to measure it.
 Completion of 100% risk assessments for all the Let’s now convert the above target into a SMART target:
manufacturing activities in the next 12 months.
“Reduce the number of accidents to 50% of the previous years
Ideally each policy commitment is supported by at least within the next 12 months”.
one objective and each objective at least by one target.
Organization shall consider following factors when setting
Targets are Specific Performance requirements.
objectives:
Specific reduction in:
1. R
 esponsibility of setting the targets: This
 Number of accidents responsibility lies with
 Cases of work-related ill health the top management
and they are set with
 Sickness absence
guidance received from
 Number of civil claims safety professionals
and in consultation with
 Enforcement notices
workforce.

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24 NEBOSH International General Certificate in Occupational Health & Safety

2. S
 etting of targets at each divisional and 6. F
 inancial, operational and business requirements:
departmental level: The targets and objectives set by For a safety objective
the top management to be implemented
becomes the basis it requires not only
of targets set at the financial support but
departmental level. also resources in terms
Individual managers are of managerial time and
given their individual proper planning. This
targets and they, then tells us that the safety objectives need to be seamlessly
cascade it down the integrated with the other non-safety objectives so that
line to individual workers. In this way each individual they can be implemented without any conflicts with
in the organization becomes aware of not only the other goals.
companies’ objectives but also the role he or she is
7. V
 iews of interested parties: Target setting, though
going to play in achieving it.
the responsibility of
3. E
 nsuring legal compliance: While setting objectives the top management,
and targets, the it needs to be set only
organization needs to after due consideration
check whether there is of the views of all the
any legal compliance interested parties. This
pending and if yes, it is will not only provide a
a good idea to convert holistic approach but also motivate the people whose
its implementation into a time bound target. views have been taken. To achieve this, workers,
managers and supervisors could be consulted.
4. T
 he hazards and risks present: The hazards inherent
Customers’ views could be taken, auditor’s comments
in the workplace
and suggestion in the audit reports can also be referred
and the risks created
to while setting the objectives.
must be taken into
account when setting 2. Organization Section:
the objectives. This
The purpose of organization section in health and safety
to ensure that only
policy is to define structure, role, and responsibilities,
the relevant hazards are pursued for improvement
delegation of authority, channel of communication etc.
rather than trivial or irrelevant. For e.g.: a construction
within the organization.
company has to be more concerned about working at
height and excavation rather than the risks involved to
keyboard operators.

5. U
se of technology:
As the technology
improves and we know
that this improved
technology not only
aids in improving
productivity and quality
but also provides with new ways of reducing the risks
present, hence adopting of new technology to aid
in managing the risks could also be taken up as an
objective. For e.g. it is now possible to keep a track of
lone workers on the field through mobile phones and
GPS, while a few years back organizations had to rely
on landline phones and pagers.

Sample organization chart showing the chain of command and

the flow of information from top to bottom

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How Health and Safety Management Systems Work and What they Look Like
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3. Arrangement Section: occupational nurses are also provided with operational

duties.
The purpose of arrangement section in health and safety
policy is to list out the details of systems and procedures Health and safety practitioners are responsible for
employed to achieve the aim set out in the statement providing the correct advice to the management and
section. employees in achieving the overall safety.

Proportionate to the Needs of the Impact of Allocation of Responsibilities in

02
Organisation: Health and Safety Policy
It should be clear to us that a policy written for one  Make sure all the workers in the organization are
company may not be suitable for another organization aware of their roles and responsibilities in achieving
because of various changes like location, product, the aims set out in the health and safety policy
processes, equipment etc. Some industries are inherently statement
high risk like oil and gas installation, their requirements  Motivate the workforce by highlighting senior
and policies would be completely different from that of management’s commitment and efforts in enhancing
a cement manufacturing plant. Every organization is free health and safety culture of the organization
to create their own policies and procedures, but the only
requirement here is health and safety should be managed  Helps to identify individual competencies and training
correctly, there should be legal compliance and the system needs
should lead to continual improvement.
Practical Arrangements for Making
Responsibilities – all workers at it Work:
all levels of an organisation have After having understood what is to be done and who will
responsibility for health and safety do it, let us now understand how it is to be done. The
Arrangements section as the name suggests talks about
While the statement of intent tells us, what needs to be
the arrangements that will help in achieving the set
achieved, the organization section tells us who will achieve
objectives and targets in a systematic way.
it.
What needs to be part of the arrangements section,
This section deals with people and their operational
depends upon the company, its product and its
duties in relation to health and safety. It outlines the
operations. For.eg, a manufacturing company handling
chain of command for health and safety management and
heavy equipments needs to have procedures in place for
identifies the roles and responsibilities of staff to enable
heavy lifting using cranes, while a call center needs to
clear delegation of duties.
have procedures in place to take care of workplace stress
The Organization section will usually consist of an endured by their employees.
organization chart showing the chain of command and
Some general health and safety arrangements are as
the flow of information from top to bottom and the flow
follows:
of feedback which is normally from bottom to top. This
section will include the following groups together with  Employee health and safety code of practice.
their associated responsibilities.  Accident investigation and reporting.
The MD or CEO is ultimately responsible and accountable  Identifying and providing health and safety
for the entire organization information, instruction and training.
Managers and supervisors at all levels are responsible for  Consultation with workers in issues concerning health
correctly interpreting the policy and cascading down the and safety.
line the top managements’ objectives and targets. Creating
 Emergency preparedness including fire procedures.
effective plans and procedures to achieve these targets and
continuously monitoring them both by active and reactive  Welfare and first- aid provision.
ways. They are responsible for the day-to-day working of
 Monitoring of plant and equipment, their
the organization and reporting of both successes as well
maintenance and risk assessments.
as shortcomings. All employees are responsible for acting
safely by following the procedures laid down.  Developing safe systems of work and permit to work
systems to control hazards
Competent persons like fire marshals, first aiders and

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 Developing effective lines of communication

 Implementing corrective and preventive actions for

management of hazards

 Provision of PPE, storage space for the same and

training to use them.

 Ensure effectiveness of arrangements by periodic

assessments with different techniques and strategies

Some of the specific health and safety arrangements are

as follows:

 Lone working.

 Noise / vibration control.

 Control of exposure to toxic materials.

 Control of contractor and visitors.

 Control of transport risks.

 Waste disposal.

Keeping it current: when you might

need to review the health and
safety management system
A policy once made cannot be considered as a document
which can exist for a lifetime. To keep the policy ‘live’ and
‘current’, a cycle of reviewing and revising (if required) the
policy needs to be done. There are many reasons as to why
a policy needs to be reviewed:

 Change in the legislation.

 Enforcement agency after an audit or an accident

investigation finds fault in the policy.

 There is a change in the management structure.

 There is an introduction of new machinery, processes

or technology.

 There have been changes following consultations

with the employees.

 When requested by a third party such as an insurance

agency or a client.

 Where an audit, investigation or risk assessment

suggests that the policy is no longer valid.

 After sufficient time has elapsed after the previous

review (e.g. most organizations have an annual
review).

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How Health and Safety Management Systems Work and What they Look Like
ELEMENT
2 27

Summary
 Health and safety management system is a process of well-coordination, systematic and structured approach to
effectively manage health and safety risks at workplace

 The following things should be considered to develop and maintain effective health and safety management system in
an organization.

– Clear defined policy 02

– Well-defined plans
– Strong management commitment
– Provision of sufficient resources
– Systematic training programme
– Effective monitoring and reporting of performance
– Process for reviewing and enhancement
 PDCA Cycle (Plan-Do-Check-Act) or PDSA Cycle (Plan-Do-Study-Act) is a continuous four-stage management model that
is used to gain expertise knowledge for the continual improvement of a product or service. It is also known as Deming
Cycle

 Stages of PDCA cycle

S.No Stage Function

1 Plan  Identify and define the problem

 Determine the root cause of the problem

2 Do  Find solutions to the identified problem

 Test the solutions on a small scale

 Measure the results of different solutions

3 Check  Measure effectiveness by comparing the results

 If not satisfied with any of the results, repeat “Do” and “Check” phases until a
comprehensive solution is obtained
4 Act  Implement the solution which has high success rate

 Repeat the phases for further continual improvement of products or services

 ILO Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001) based on the stages of “Plan-
Do-Check-Model”. Its key elements are pointed out in the below table

1 Policy (Plan)  Employer develops clear and concise written occupational safety and health (OSH)
policy based on the inputs from workers and their representatives

 OSH policy ensures

− Protection of safety and health of all employees

− Prevention of work-related injuries
− Compliance with national laws and regulations
− Participation of workers for continual improvement of OSH management system
2 Organizing  Employer and senior management allocates responsibility, accountability and authority
(Plan) right from top level to bottom level of workforce for development and enhancement of
OSH management system

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28 NEBOSH International General Certificate in Occupational Health & Safety

3 Planning and  In this section, the employers develop plans with systematic approach for effective
Implementation implementation of OSH management system
(Do)
 Plans are developed and prioritized based on the deficiencies found in the

− Initial review
− Risk assessment
4 Evaluation  This section deals with measure and monitor of safety and health performance to
(Check) reveal when and where improvement is needed

 Two types of monitoring methods

− Active monitoring – Checking safety and health standards before unwanted event
occurs.
E.g. Safety inspections, safety sampling, safety tours and surveys

− Reactive monitoring – Reacting after things have gone wrong.

E.g. Accidents and incidents investigation, injuries and illness, absenteeism,
property damage or near misses

5 Audit (Check)  In this section, audit is carried out by the competent person to determine whether
health and management system is effective in satisfying the organizational health and
safety policy and objectives

6 Action for  In this section, arrangements are made to implement preventive and corrective actions
Improvement suggested by OSH management system audits and management reviews
(Act)
− Corrective Action:

 Eliminate the cause for a detected non-conformity (deviates from prescribed stan-
dards) and its recurrence

 It is based on past events

− Preventive Action:

 Eliminate the cause for non-conformity to occur.

 It is based on future

Example of corrective and preventive action

Bike stops in the middle of a road on a long journey and the problem is due to carbonization of
spark plug. In this case

Corrective action: Carry extra spark plug on a long journey

Preventive action: Identify potential problems that may occur and establish remedies for the
same

7 Continual  In this section, the above mentioned steps are repeated for further enhancement of
improvement health and safety management system

 ISO 45001:2018 is the newly developed health and safety management system certification standard to replace OHSAS
18001. It adopts Annex SL top-level framework for ensuring enhancement in overall health and safety performance of
an organisation It is also based on PDCA cycle and its key elements are

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How Health and Safety Management Systems Work and What they Look Like
ELEMENT
2 29

1 Context of the Establish and implement OH&S management system by evaluating organization
organisation (H&SMS and its context
framework)

2 Leadership and worker Specify roles, responsibilities and authorities to achieve the intended objectives of
participation the OH&S management system

3 Planning (Plan) Suggest action plans to identify and assess the risks and opportunities involving 02
organisation and workers

4 Support (Do) Discuss the requirements of support like resources, competence, communication
for effective functioning of OH&S management system

5 Operation (Do) Brief on the operational planning and control requirements relating to the OH&S
management system

6 Performance evaluation Evaluate the performance of OH&S management system by means of monitoring,
(Check) internal audit etc.

7 Improvement (Act) Recommend the ways to eliminate non-conformities and achieve the continual
improvement of the OH&S management system

 Benefits of having a formal/certified health and safety management system

– Having a certified health and safety management system gives a competitive edge to organizations as it is an
effective way to prove to their customers and other stakeholders that their health and safety is well managed and
the products/ services offered by them are produced in a safe and healthy environment.
– Many national and international tenders require the bidder to have a certified health and safety management
system. Hence it makes business and economic sense for the organization to adapt to a formal system
 Occupational health and safety policy with reference to clause 5.2, ISO 45001:2018
Top management must establish, implement and maintain an OH&S policy that:

– includes a commitment to provide safe and healthy working conditions for the prevention of work-related injury
and ill health and is appropriate to the purpose, size, and context of the organization and to the specific nature of
its OH&S risks and OH&S opportunities.
– provides a framework for setting the OH&S objectives
– includes a commitment to fulfil legal requirements and other requirements
– includes a commitment to eliminate hazards and reduce OH&S risks.
– includes a commitment to continual improvement of the OH&S management system.
– includes a commitment to consultation and participation of workers, and, where they exist, workers’
representatives.
 The health and safety policy is a written document which usually consists of following three sections

– General Statement of Intent - State and illustrate the overall aims and objectives and a clear picture of
management’s commitment towards health and safety
– Organization Section - Define structure, role, relationships, and responsibilities of key personnel within
the organisation
– Arrangement Section - List out the details of systems and procedures employed to achieve the aim set out
in the statement section
 Organization section deals with people and their operational duties in relation to health and safety
 Impact of allocation of responsibilities in health and safety policy

– Make workers aware of their roles and responsibilities in achieving the aims set out in the health and safety policy
statement

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– Motivate the workforce by highlighting senior management’s commitment and efforts in enhancing health and
safety culture of the organization
– Help to identify individual competencies and training needs
 Arrangement section describes about the arrangements that will help in achieving the set objectives and targets in a
systematic way
 Some of the general health and safety arrangements are as follows
– Employee health and safety code of practice
– Accident investigation and reporting
– Identifying and providing health and safety information, instruction and training
– Consultation with workers in issues concerning health and safety
– Emergency preparedness including fire procedures
– Welfare and first- aid provision
– Monitoring of plant and equipment, their maintenance and risk assessments
– Developing safe systems of work and permit to work systems to control hazards.
 Some of the specific health and safety arrangements are as follows:

– Lone working
– Noise / vibration control
– Control of exposure to toxic materials
– Control of contractor and visitors
– Control of transport risks.
 Health and safety policy may be reviewed for the following reasons

– Change in the legislation

– Enforcement agency after an audit or an accident investigation finds fault in the policy.
– Change in the management structure
– Introduction of new machinery, processes or technology
– Employee consultation

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 ELEMENT
Managing Risk – Understanding People and Processes 3 31

ELEMENT 3 03

MANAGING RISK –
UNDERSTANDING PEOPLE
AND PROCESSES
Learning Outcomes:

3.1  escribe the concept of health and safety culture and how it influences
D
performance

3.2 Summarise how health and safety culture at work can be improved

3.3  ummarise the human factors which positively or negatively influence behaviour
S
at work in a way that can affect health and safety

3.4 Explain the principles of the risk assessment process

3.5  iscuss typical workplace changes that have significant health and safety impacts
D
and ways to minimise those impacts

3.6 Describe what to consider when developing and implementing a safe system of
work for general activities

3.7 Explain the role, function and operation of a permit-to- work system

3.8 Discuss typical emergency procedures (including training and testing) and how to
decide what level of first aid is needed in the workplace

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3.1  Health and Safety Culture  Workers behave in a safe manner because they are
well trained and competent and know the importance
Meaning of the term ‘Health and of following the rules and regulations. Those workers
who do not feel that safety is important are generally
Safety Culture’:
are in minority, but as time passes by these workers
In any organization there is a way in which things get done. also absorb this good culture and changeover for
Some organizations take important decisions very fast and the better, while those workers who are reluctant to
execute client projects in a time bound manner, while in changeover, either leave or are made to leave.
other organizations decision making is slow and generally  This good health and safety culture leads in better
clients do not get their projects executed in time. This type control of the risks, highly motivated and empowered
of delaying or poor decision-making process is in built in workforce, a strict adherence to the rules, a thorough
the companies’ psyche. It is not that only few people in the investigation of incidents thereby leading to good
organization have this habit of delaying but it is generally health and safety performance with low accidents
seen that this problem exists throughout the entire and sickness rates.
hierarchy of the organization. Negative Culture:
As explained above, organizations, thus build up its own In an organization with negative culture the following is seen:
values, traditions, customs and informal views. This can
also be stated as the ‘culture’ of the organization. There is poor health and safety leadership from the
management. Managers are generally concerned in
In the same way the organizations can also have a ‘health ensuring that the productivity is achieved and sales targets
and safety culture’. A health and safety culture can be are met even if it means adopting unsafe practices or
defined as the product of individual and group values, breaking the set procedures. Health and safety issues are
attitude, beliefs, perception and competencies related to neglected; near misses and worker complaints are either
health and safety. not reported or not adequately investigated. There are no
policies or they are poorly implemented.
Relationship between Health and
Safety Culture and Health and Workers are poorly trained and the companies’ procedures
are not properly communicated to them. They look at the
Safety Performance:
managers to lead them and follow their poor customs and
A companies’ health and safety performance is determined behaviors. There may be some workers, who are safety
by its health and safety culture. A positive culture leads conscious, but they are too few to make an impact or they
to good performance, while in a negative culture the get absorbed into this negative way of working or they
performance is poor. leave the organization.

Positive Culture:
In an organization with positive culture the following is seen:

 There is leadership and commitment to health

and safety throughout and at all levels of the
organization;
 There is acceptance
that high standards
of health and safety
are achievable as
part of a long-term
strategy formulated
This negative culture leads to workers and managers
by the organization;
violating the rules, there is poor or no implementation
 Managers believe in
of risk control measures and there are large number of
safety and treat it is
unsafe acts and conditions, which neither get reported not
an investment, rather than as a cost. Every action is
investigated. This leads to an increase in accidents and ill
taken by them only after careful assessment of the
health thus impacting the organizations health and safety
risks and after considering the companies’ internal
performance.
policies.

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 Managing Risk – Understanding People and Processes
ELEMENT
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Indicators of an Organisation’s Health  Workers are not able to come to work as they may be
suffering from ill health which could get worsened by
and Safety Culture:
continuing to work.
It is not possible to measure health and safety culture  Workers do not want to come to work as they feel
directly, but it is possible to come to a conclusion whether their work is too risky and hence would not like to
an organizations health and safety culture is good or poor suffer any loss of limb or life.
by looking at a variety of indicators. The following are the
indicators:

Accidents/Incidents:
The number of accidents that are happening in an
organization is a good judge of its health and safety
03
culture. But only the number of accidents as a standalone
itself cannot give a clear picture. Accidents happening in
the organization need to be converted into indicators for
e.g. number of accidents per 1000 workers. Once these
indicators are generated the companies’ records can be
checked for the previous few years to see an increasing or
decreasing trend.
Sickness Rates:
A decreasing trend would obviously point out to an
A workplace is full of hazardous substances which can
improvement in the health and safety culture overall.
cause ill health effects and subsequently cause workers
An organizations accident data can be compared to similar to report sick. Sickness rates can be compared in the same
sized, similar product company which can thus be used way as accidents rates are.
as a benchmark to compare with companies having good
health and safety culture.

Other way of assessing the culture is to look at the standards

of investigation that follows the accidents. A company
with positive health and safety culture would obviously
carry out a well-structured investigation and there will be
great emphasis placed on reaching out to the root cause
of the incident and bringing out structural improvements
by looking at short comings in the risk assessments and
the companies’ policies. While in a company with negative
health and safety culture, accidents investigations will be
carried out superficially, often with an intention to blame
someone rather than with an intention to prevent such Staff Turnover:
accidents in the future.
Workers leave the work and join other organizations.
One prime reason to leave is to seek a better working
environment. An organization with poor health and safety
culture will have a higher worker turnover because they
don’t feel safe at work or suffering with poor morale.

Absenteeism:
In a company with poor health and safety culture high level
of worker absenteeism may be seen, this indicates that
workers are not able to come to work or do not want to
come to work.

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34 NEBOSH International General Certificate in Occupational Health & Safety

Level of Compliance with Health and Safety 3.2  I mproving Health and
Rules and Procedures
Safety Culture
In organizations with positive health and safety culture
audits and routine inspections will point out to high level Gaining Commitment of
of compliance with health and safety rules (this obviously is Management
one of the reasons for good accident records). Conversely in
There needs to be a commitment from the very top of the
an organization with poor culture there would be rampant
organization and this commitment will, in turn, produce
violations of rules and regulations to meet the companies’
higher levels of motivation and commitment throughout
production targets.
the organization. The top management needs to be
Complaints about the Working Conditions: committed in promoting high standards of health and
safety and should believe in the benefits of working
Organizations with poor health and safety culture will
safely. Top management commitment is invariably gained
have high number of worker complaints recorded through
because they realise that it makes business and economic
formal consultation processes. Complaints will range
sense to work safely and it is also a legal requirement. The
from poor quality PPE, to poor work environment like too
top management once committed will drive the process
much noise or very dusty workplace. Organizations with
of culture change. Worker see the top management
good health and safety culture will find less of workers
take OH&S performance seriously, this cascades down
complaints because the organization will definitely be
through the organization and helps establish a positive
adhering to minimum legal requirements.
OH&S culture.
Influence of Peers on Health and Promoting Health and Safety
Safety Culture: Standards by Leadership
In an organization worker form their own groups to
Promoting health and safety standards by Leadership:
socialize and to make the work life more meaningful.
Leadership and commitment can be shown by, for example:
Within this group an informal hierarchy gets formed with
one or more of the workers becoming their unelected  Aligning the OH&S management system with the
leader who obviously influence the group due to their organizations business objectives;
imposing personality and effective communication. A  Making sure the necessary resources are available;
person wishing to become a member of this group needs  Encouraging workers and other relevant interested
to comply with the group’s norms. This pressure to comply parties to get actively involved in improving OH&S
is called as peer group pressure. performance;
If the group has a positive attitude towards health and  Involving everyone in OH&S decision-making that
safety then any new comer would also be required to affects them;
follow this norm, even if this new person doesn’t think of  Promoting open discussion about OH&S matters; and
safety as something which is important. The peer group
 Ensuring the emphasis is on improvement rather than
can also have a negative impact on health and safety
blame.
behavior in which the group as such thinks that safety is
something which is meant only to be followed on paper Appropriate Use of Disciplinary
and those who believe in safety will also tend to overlook Procedures:
it so as to comply with the peer group pressure.
The companies’ policies and procedures states clearly what
The only way for the management to overcome this peer is acceptable or not, in terms of health and safety behaviour
group pressure from imposing negative pressure on at all levels of the organization. It becomes important that
the workmen is to identify the influential persons in the non-compliance to rules brings with it certain disciplinary
group and turn them over to the safe way of behaving. procedures which are also well documented in the
This can be done by training, education and involvement companies’ policies. A good organization will ensure that
in safety-related projects. Once these workers are negligent acts are reported immediately and managers act
changed, they will influence the others in the group to upon them using the disciplinary actions available, this will
also change their behaviour. ensure that workers do not repeat their acts again.

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 Managing Risk – Understanding People and Processes
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The level of action would depend upon the severity of the  It may be the policy that certain information to be in a
breach. Minor breaches can be dealt with even a verbal specified format;
reprimand and more severe ones through written warnings  Need to be keep evidence of the message delivered.
and even suspension of work for a few days. Disciplinary
 To ensure communication is clear and understood by all
actions should be:
Benefits and limitations of different
 Proportionate to the violation for e.g a verbal methods of communication (verbal, written
warning for not following the pedestrian routes
and graphic)
to more detailed actions including suspension for
deliberately removing guard of a machine. The three common methods of communication are verbal,
written and graphic.
 Determined after an investigation and it is important
to reach the root cause.  Verbal Communication is the most common. It is
communication by speech or word of mouth. Verbal
03
 Consistent, and not be different for different levels
of employees, for e.g. the same rule should apply communication should only be used for relatively
for a contract worker, an in house worker and a simple pieces of information or instruction. It is most
supervisor or manager. commonly used in the workplace, during training
sessions or at meetings. The following are the merits
Competent Workers: and limitations of verbal communication:
ISO 45001:2018 defines competence as “ability to apply
knowledge and skills to achieve intended results.
A competent person is a person who has sufficient knowledge,
skill, experience, and other abilities and authorised to carry
out their work safely and without risk to health.

It is the responsibility of the employer to ensure that the

employees are competent at all levels. Competence is
required at managerial, supervisory and at workers level
so that each one can do their jobs safely. Furthermore
Merits Limitations
an employer has to appoint competent health and safety
 It is personal and can  Language barrier
professionals so that the organization benefits from their be delivered from one may exist and hence
advice and knowledge. person to other easily, information may not be
without others knowing understood.
Good Communication within the about it.
Organisation:  It is quick and  Use of jargon, local or
preparation time technical language may
Communication can be defined as the transmission of data
required is less. not be understood.
from the sender to the receiver. Effective communication
 Allows for checking for  Strong accent or dialect
means the data is sent by the sender, which is then received understanding by asking may interfere.
by the receiver in totality and understood and acted the recipient about it.
upon as desired. There are three common ways in which
 Allows for feedback to  Background noise may
communication can be delivered. In health and safety we be given interfere
follow a mixture of all the three methods to overcome the
 Usually allows for  Recipient may have poor
barriers of each method and for the reasons such as: additional transmission hearing.
 Variety prevents over-familiarization with one method; of information by means  Message may be
of voice of tone and body arguable or debatable.
 Helps to reinforce a message; language.
 Overcome language barriers and the inability of some  Recipient may miss or
forget some information.
workers to read;
 People respond differently to different stimuli;  There is no written
record as proof.
 To motivate, stimulate interest and gain involvement
 Poor transmission quality
and feedback;
of made by telephone or
 Different types of information require different PA system.
methods to communicate;

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36 NEBOSH International General Certificate in Occupational Health & Safety

 Written Communication: Communication in the Notice Boards: These are the most common and widely
written format in the form of an e-mail, memo or a used method for broadcasting information. For the notice
note etc. board to be effective the following needs to be considered:

Merits Limitations − It should be eye-catching and centrally located

 Since it is written, it  It is indirect and can be in an area which is used by most workers, like for
e.g. pantry, rest rooms or changing areas.
creates a permanent impersonal.
record. − The displays should be current and replaced at
 Takes time to prepare.
regular intervals so that it compels the workers
 Can be referred back  May contain jargon to read it more often.
to if information is and abbreviations.
− It should contain data related to health and
forgotten.
 There could be a safety only for e.g.: the companies’ policies,
 Can be written language barrier. accident data, minutes of safety committee
carefully to avoid meetings etc.
 Message may not be
confusions and to put  Posters and Videos: These are great in drawing
read.
across the message instant attention and puts forth simple information
 There is no scope for
carefully. in graphical form which can be understood by all. The
immediate feedback.
 Can be checked following are the advantages of posters:
 Questions cannot be
several times for − They are graphical and hence avoid language barrier.
raised.
correctness of − It is easily eye catching and hence generates
information.  Receiver could have interest.
impaired vision.
 Can be distributed − Cost can be kept low.
to a wide audience − It can reinforce key messages.
relatively cheaply. The following are the disadvantages of posters:

 Graphic Communication: is communication by the − Can quickly become part of the surroundings and
use of drawings, photographs or DVDs. It is used to hence ignored by the workers.
impart either health and safety information (e.g. fire − May be defaced and hence not readable.
exits) or health and safety propaganda. The most
− Can trivialize important issues.
common forms of health and safety propaganda
− Rely on the recipient interpreting the correct
are the poster and the DVD. Both can be used very
message from the image.
effectively as training aids, as they can retain interest
and impart a simple message.  Tool Box Talks: These are short practical talks
given at the start of the work shift to boost up the
Merits Limitations
motivation and morale of the workers and urging
 It is eye catching and  Can convey only them to work safely. It refreshes the knowledge of
visual. simple messages. the workers and creates awareness about the risks of
 Quick to interpret.  Expensive to buy or the task to be undertaken in that shift.
 There is no language produce.  Digital Media: DVDs can be used as a teaching medium
barrier.  May be ignored. to educate workers about the organization’s health
 It is jargon-free.  Symbols or pictograms and safety policy and its objectives. It is also used to
may be unknown. create awareness among the workers and show the
 Once made conveys
impacts of not following health and safety procedures.
a message to a wide  There is no immediate
Visual media ensures clear interpretation of concepts,
audience. feedback available.
procedures and ideas and encourages the workers to
 Questions cannot be apply safety rules and procedures at the workplace. It
raised. should incorporate pleasant and motivational visuals
 Recipient may have for better health and safety behavior.
impaired vision.  Company Intranet: It is a private network connecting
Use and Effectiveness of Noticeboards and only few numbers of computers while internet is
Health and Safety Media: a public network connecting lots of computers
across the globe. It is normally used in most of the
Health and safety information can be made in any of the
organisations to share health and safety rules and
three means of communication. Also this communication
procedures of the organisation among employees.
can be broadcasted using different methods; some of
 Memos and Emails: These are written notifications
them have been discussed below:

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 Managing Risk – Understanding People and Processes
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used to provide specific information about a single The Indian connection: The Occupational Safety,
issue, such as updating procedures, drawing attention Health and Working Conditions Code - 2020
ton lapses in practice, etc. When using memos there
is no opportunity for feedback or questioning, so
Chapter IV, Clause 22: Safety Committee
their use is really limited to issuing clear and precise and Safety Officers
instructions or information. 1) 
The appropriate Government may, by general or special
 Worker Handbooks: It is used to set out the order, require any establishment or class of establishments
organizations health and safety policy. All employees to constitute in the prescribed manner a Safety Committee
should be given a copy on joining the organization, consisting of representatives of employers and workers
and updates are usually circulated to inform staff engaged in such establishment in such manner that the
of changes. This is a key document, containing such number of representatives of workers on the Committee
information as site rules, reporting procedures, shall not be less than the number of representatives of
emergency arrangements, etc. It is standard practice the employer and the representatives of the workers shall 03
to issue this handbook as part of the workers be chosen in such manner and for such purpose as may be
induction and to get a receipt as proof of issue. prescribed by appropriate Government.
Co-operation and Consultation with the The management can consult on a wide variety of topics
Workforce and Contractors: concerning health and safety. Following are some of them:
ISO 45001:2018 defines consultation as “seeking views  Introduction of new PPE.
before making a decision”. It includes engaging health
 Introduction of new procedures or revision of already
and safety committees and worker’s representatives,
existing ones.
where they exist.
 The results of accident investigations, audits and
other active monitoring.
ISO 45001:2018 defines participation as
“involvement in decision making”. It includes  Introduction of new legal requirements or standards.
engaging health and safety committees and There are two methods that employers can use for
worker’s representatives, where they exist. consulting with workers:
With good commitment from the top management, we Direct consultation is the method in which managers
can expect good cooperation from the workers. But here speaks to individual workers during their regular rounds
we should be aware of the requirement of consulting. Let’s and try to resolve the issues of individual workers. This type
understand what the meaning of consulting is and how it is of system would be effective in small organizations.
different from informing.
In Indirect consultation method, workers safety
 ‘Informing’ is a one-way process and generally
representatives bring forth their issues in the regular
decisions are taken by the management and
meetings, discuss with the management and resolve the
it is informed to the workers and checked for
issues and then take back the resolutions to individual
understanding. Most workers would resist this type
of communication because they look at the decisions workers they are representing.
of the management as something that is imposed Benefits of Worker Participation:
on them and the management been autocratic in
imposing their decision. This creates a negative  It
 is important for an Organization to consult with its
culture. workers on health and safety, since participation will
help improve their understanding of the value and
 ‘Consulting’ is a two-way process, where the
importance of health and safety.
management and the workers discuss on matters
affecting their work and come to a joint decision. The  It will raise the profile of health and safety and develop
workers are given an opportunity to speak out and ask their feeling of ownership of safety measures.
for clarifications. This is seen as a democratic way of  B
 y seeking their views and allowing them to
management and the decision taken by the consultation contribute to the decision making, management
process is supported whole heartedly by the workers would demonstrate their commitment towards
and the management can look at getting co-operation health and safety.
from the workers. This creates a positive culture.  Participation will also improve their morale of
Employers need to consult with employees in matters workforce and helps in developing positive culture
concerning health and safety and it is a legal requirement.  The participation of workers would be useful in
Occupational Safety and Health Convention C155 article ensuring that any suggested improvements would be
20 and R164 article 12 give specific standards on these. workable in practice.

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 Consultation and participation might well be a legal − Personal Protective equipment – Requirements &
requirement. Use
Role of Health and Safety Committees: − Introduction to SSW & PTW etc.

A workplace health and safety committee (HSC) is a formal − Introduction to risk assessment- JSA Controls
committee established to facilitate cooperation between − Co-operation and co-ordination
an employer and workers in developing and carrying out − Do’s & Don’t – Drug abuse - Disciplinary
measures to ensure health and safety at work. It is one of Procedures
the methods of consultation.  Job change: When a workers job profile changes like
Types of Safety Committee: if an office worker has been given the task of visiting
customers at their site, then lone workers training,
 Central Safety Committee
training in safe road travel etc. may have to be given.
 Plant Safety Committee
 Process change: A change in the way of doing things
 Departmental Safety committee may expose the workers to additional hazards, this
 Foreman Safety Committee need to be communicated by training.
There shall be equal representation of Management &  Introduction of New legislation: New laws
Employee Representation in Safety Committee. been passed by the national governments may
Objectives of Health & Safety Committee require training to be given to the workers, so as to
understand its implications on their routine activities.
 Study of accident and disease statistics to
 Introduction of New technology: The introduction
recommend remedial actions
of new technology brings with it many benefits but
 Review of new legislations and guidance and also add to the hazards already existing. For e.g. the
their effects introduction of hand held bar code scanners in a
 Monitoring and review of OHS training and shopping mall should be done by training the workers
instruction activities concerned on the hazards of lasers.
 Examine audits and statutory inspection reports of OHS
3.3 How Human Factors
When training is needed
Influence Behavior
Training can be defined as the imparting of skills and
Positively or Negatively
knowledge in a structured manner in a relatively safe
environment. One critical factor that most organizations would face
while improving their health and safety culture and
Following could be the opportunities when training needs
consequently their safety performance would be the
to be imparted to workers.
human factor. Research and previous data on accident
 Induction training: This is given to employees who causation has pointed towards human error, lapses and
have joined the organization and before they can mistakes in creating unsafe acts which is most of the
settle down with their daily routine the organization times the immediate cause for an accident. We have to
needs to give them safety induction to make them understand why humans behave the way they do and that
aware of the companies’ rules and procedures and in spite of all the training and awareness why do they end
site-specific information. up in doing unsafe acts.
Content of General Induction Training to Human factor is a science of analyzing human’s knowledge,
New Workers: skills, abilities, behaviour and emotions with respect to
− Organisation’s Health & Safety Policy - Targets work. The system, workplace and environment are designed
− Fire & other Emergency Procedures- and evaluated based on the human factors observations
Assembly Point for ensuring the safety of the people.
− Location of welfare facilities Human factor is mainly influenced by the “Organizational”,
− Safe movement around the workplace “Job”, and “Individual” factors
− Incident reporting procedure
To understand the above, we need to understand the
− Worker consultation arrangements
factors that affect human behaviour. The factors that have
− General Safety rules and employee an effect on the human behaviour are:
code of Practice

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The Organizational Factor:  Resources: this could include space, manpower,

tools and training. The absence of the right tool or
Organizational factors have the greatest influence
inappropriate level of training may require a worker
on individual and group behaviour, yet they are often
to improvise thereby seen as poor behaviour.
overlooked during the design of work and during
 Training: if well trained and competent staff is not
investigation of accidents and incidents. Organizations need
accomplishing the tasks then it certainly affects the
to establish their own positive health and safety culture.
workers behaviour.
The culture needs to promote employee involvement and
commitment at all levels, emphasizing that deviation from  Work patterns: the shift start and end time,
established health and safety standards is not acceptable. overtime or extended hours, the weekly off between
Following are the characteristics of the organization that changes in shift can adversely affect the workers’
influences human behaviour: health and cause fatigue and thereby affect the
safety performance. 03
 Safety culture of the organization: a negative
culture will influence the worker to behave The Job Factor:
negatively.
Tasks should be designed in accordance with ergonomic
 Policies and procedures: the presence or the principles to take into account limitations and strengths
absence of procedures and the quality of the same in human performance. Matching the job to the person
and whether it is easy to understand and interpret. will ensure that they are not overloaded and that the
 Commitment and leadership from the most effective contribution to the business results.
management: Management should show visible Physical match includes the design of the whole
leadership and their actions should speak louder workplace and working environment. Mental match
than their words. involves the individual’s information and decision-making
 Levels of supervision: the correct level and requirements, as well as their perception of the tasks
competent supervision acts as a deterrent for unsafe and risks. Mismatches between job requirements and
behaviour. Most workers would not want to be people’s capabilities provide the potential for human error.
caught and reprimanded by the supervisors. Following are the various job related characteristics that
influence human behaviour:
 Peer group pressure: this is already discussed
earlier.
 Consultation and workers involvement: keeping
the workers involved in work related decisions
ensures cooperation and acceptance from the
workers.
 Communication: effective communication ensures
that the workers have understood their job
requirements and hence there is a less chance of
them been involved in mistakes.
 Task: the way the work is performed. If the task is too
complicated and requires the worker to stoop too
often or reach out for controls which are far from his
hands span, then it is most likely he will find an easier
way of doing the task which may not be the safest
way.
 Workload: the amount of work if it is high with
smaller and less frequent breaks will compel the
worker to find out shortcuts of accomplishing the
task quicker so that he gets some more additional
time to relax.
 Environment: If the job involves working in noisy,
dusty or hot environment, then the worker needs to
wear certain PPE to take care of the adverse effects.
Wearing the PPE and doing physically exerting jobs

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tires the workers quickly and he will find ways of quiet early in the life, and they have a tendency to
doing the job without the requisite PPE and thus stay with us. Because of this particular reason it is very
exposing himself to the hazards. difficult to change attitude. Changing the attitude can
be done using a combination of all the methods stated
 Displays and controls: poorly positioned and below:
designed displays and controls may require a worker − Education and Training: When workers are
to reach out to them or strain his eyes to see them, educated and made aware of the hazards in the
or may have to rely upon his memory to see if the workplace and in operating of machinery and the
parameters seen in the display are correct or wrong. accidents that can be caused work act as an eye
All of these factors can contribute to human error. opener, thereby changing their attitude towards
safety requirements as something provided for
 Procedures: the existence and quality of the their own good. Educating workmen that it is a
procedures. A lack of written procedures or poorly legal requirement for them to work safely also
written procedures that are out of date or overly changes their attitude.
complex or impractical can be why workers do not − High-impact intervention: Images of grievous
comply with them. bodily injuries caused by poor attitude towards
The Individual Factor: health and safety creates a lasting image on the
minds of the workers thereby changing their
People bring to their job personal attitudes, skills, habits attitude.
and personalities which can be strengths or weaknesses − Consultation and workers involvement:
depending on the task demands. Individual characteristics In this the workers are made part of the
influence behaviour in complex and significant ways. Their decision making process and therefore the
effects on task performance may be negative and may not decisions taken are more readily accepted by
always be mitigated by job design. Some characteristics such the workforce and safety critical decisions are
as personality are fixed and cannot be changed. Others, viewed with a positive attitude
such as skills and attitudes, may be changed or enhanced.
− Enforcement: workers are forced to follow the
Following are the individual related characteristics that
rules and procedures laid out by the organization
influence human behaviour:
and the managers should be seen as following
it themselves and taking unbiased action on the
workers if they violate the rules laid out.
 Motivation: is the driving force behind the way a
person acts or the way in which people are stimulated
to act. So, if a worker has to work safely, he needs to
be motivated in doing so. Following are the ways in
which workers could be motivated in working safely.
− Involvement in the decision-making process in a
meaningful way will improve motivation.
− Use of incentive schemes for having good safety
records. It is important here to know that if
production is incentivized then workers may take
shortcuts to achieve the targets thereby they
may be motivated to work unsafely and selection
of incentive schemes should be done carefully.
− Recognition and promotion opportunities, job
 Attitude: is the tendency to behave in a particular security and job satisfaction.
way in a certain situation. Attitudes are influenced  Competence: is a combination of knowledge,
by the prevailing health and safety culture within the
experience, training and ability that brings a person
organization, the commitment of the management,
the experience of the individual and the influence of to a level where they are able to perform to an
the peer group. Peer group pressure is a particularly acceptable standard and they are aware of their
important factor among young people and health and own limitations. Competence also means the right
safety training must be designed with this in mind by combination of all the factors involved. Some tasks
using examples or case studies that are relevant to may require a high level of technical knowledge, while
them. Attitudes develop over time, many of the time

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other would require physical ability to accomplish.  Highlighting hazards, e.g. by using safety signs to
If a worker is competent to do a task then his inform employees that hearing protection is required,
behaviour will be positive and he will do the task or to warn of a hazard, such as the presence of
without any shortcuts or errors, but at the same time forklifts or wet floors. Paint and tape can be used for
a non-competent worker would not have the right highlighting hazards like low objects or changes in
knowledge and hence would accomplish the task in levels.
an unsafe manner.  Ensuring that there is adequate lighting.
 Perception of risk: It is the way in which a person  Removing distractions such as noise (which could
interprets information detected by the senses. In result in a worker not hearing a warning) or excessive
health and safety, the perception of hazards is an heat (which can cause fatigue).
important concern. Many accidents occur because
people do not perceive that there is a risk. Poor
Link between Individual, Job and 03
perception of risks are caused by: Organisational Factors:
− People having sensory impairment may not be
able to correctly detect hazards in a workplace;
hence they may not feel, hear, see or smell a
hazard.
− The brain may not be correctly interpreting the
hazards sensed by the senses. It is important to
understand that when perception leads to an
increased health and safety risk, it is not always
caused by a conscious decision of the individual
concerned. The stroboscopic effect caused by
the rotation of a drill at certain speeds under
fluorescent lighting will make the drill appear
stationary. It is a well-known phenomenon,
especially among illusionists, that people will
often see what they expect to see rather than
reality. Routine or repetitive tasks will reduce Individual: Includes the person’s competence, skills,
attention levels, leading to the possibility of personality, attitude, and risk perception.
accidents. A tired worker may not be able to
Job: Includes nature of the task, workload, and the working
recognize a pothole quick enough to avoid it- in
environment
this case the eyes has spotted the pothole but
it is the brain that has failed to interpret it and Organisation: Discuss about work patterns, the culture of
send the right signals. the workplace, resources, communications, and leadership.

Other Factors that May Affect a Perception Link between individual, job and organisation factors can
of Risk are: be explained with a below example.

 Illness. Mutually complement each other

 Stress. For example:
 Fatigue. Visible leadership from management will motivate workers;
 Drugs and alcohol. Consultation and communication will improve perception of
 Previous experiences. risk, etc. (Organisational Vs Individual factor)
 Training, knowledge and education. Demonstration of management’s commitment to safety such
Ways of Improving Workers Perception as availability of resources, setting realistic targets will provide
of Risk: reasonable work load (Organisational Vs Job factor)

 Carrying out safety awareness campaigns using No distractions in terms of lighting/noise/temperature in

posters, toolbox talks, etc. working conditions will help to improve perception of risk at
work (Job Vs Individual factor)
 Developing training programs to increase awareness
of the hazard and its consequences.

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3.4  Assessing Risk Risk Profiling:

The risk profile of an organisation informs all aspects of the
Meaning of Hazard, Risk, Risk
approach to leading and managing its health and safety risks.
Profiling and Risk Assessment
Risk Assessment:
Hazard:
It is a formalized process of identifying preventive and
ISO 45001:2018 defines hazards as “source with a protective measures by evaluating the risk(s) arising from
potential to cause injury and ill-health”. It can
a hazard(s), taking into account the adequacy of any
include sources with the potential to cause harm
existing controls, and deciding whether or not the risk(s)
or hazardous situations, or circumstances with
the potential for exposure leading to injury and is acceptable
ill-health
Risk profiling: What is involved?
A hazard is something which has the potential to cause Who should be involved? The risk
harm. For example a pothole on a pedestrian walkway
is an unsafe condition which is a hazard as it can cause profiling process
somebody to trip and fall. Similarly a worker operating a
Every organisation will have its own risk profile. This is the
240V hand held power tool may face several hazards like
starting point for determining the greatest health and
electricity, vibration and noise. Hazards can be broadly
safety issues for the organisation. In some businesses the
classified as:
risks will be tangible and immediate safety hazards, whereas
 Physical e.g. electricity. in other organisations the risks may be health-related and
 Chemical e.g. sulphuric acid. it may be a long time before the illness becomes apparent.
 Biological e.g. leptospirosis. A risk profile examines:
 Ergonomic e.g. manual handling.
 the nature and level of the threats faced by an
 Psychological e.g. stress. organisation
Note: Inhalation of chemical fumes will lead to ill health  the likelihood of adverse effects occurring
but may burn the skin if in contact. Hence it is classified as
 the level of disruption and costs associated with each
Physiochemical hazard
type of risk
In any common workplace a large number of hazards exist,  the effectiveness of controls in place to manage
whether these hazards can cause us harm and to what those risks
severity is the real question that we have to answer.
The outcome of risk profiling will be that the right risks have
Risk: been identified and prioritised for action, and minor risks
will not have been given too much priority. It also informs
ISO 45001:2018 defines risks as “combination of the
decisions about what risk controls measures are needed.
likelihood of occurrence of a work-related
hazardous event(s) or exposure(s) and the severity Risk Profiling: Who should be involved?
of injury and ill-health that can be caused by the
event(s) or exposure(s) Risk Assessors
 Shall have team approach involving line manager,
It is the likelihood that hazard will cause harm in
supervisor, health & safety specialist, technical expert
combination with the severity of injury, damage or loss
and workers (representatives).
that might foreseeably occur.
 Competence of risk assessor is vital.
The above definition tells us that for a risk to be measured,
 Competence is assessed by
then we need to look at two parameters, namely the
likelihood of the hazard and next would be the severity of − Knowledge of RA procedure
the injury. Simply put we can say − Knowledge of plant & process

Risk = Likelihood of a hazard causing harm x − Knowledge of relevant standards

severity of the harm. − Keen & aware of limitations

We may describe a risk as ‘high’, ‘medium’ or ‘low’ and this − Communication skills
will all depend upon the likelihood of the hazard and the − Report writing skills
severity of the harm been high, medium or low. − Computer literacy

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Risk Profiling Process:- risk assessment should meet the following criteria to be
The HSE provides guidance in HSG65 on what it considers suitable and sufficient.
to be the key actions in effective risk profiling, which make
 State the name and competence of the assessor and
explicit the actions required of leaders (ownerships and
the name of any specialist help taken while preparing
responsibility) and managers (operational and process) to
identify and quantify the strategic and operational risk of the risk assessment.
the organisation.  Identifying the significant hazards and risks arising
out of or connected with the work, i.e. those that are
Risk profiling involves gathering information about
operations and process, using existing risk assessments, most likely to occur and result in harm been caused,
and risk assessment methodology to evaluate risks, and with any remaining risks at an acceptable low level.
developing a suitable means for monitoring and providing  Identify all the persons who could be at risk, including
assurance. Some organisations use risk registers to enable workers and other such visitors. Vulnerable people 03
them to document and monitor key risks. such as young persons should also be identified.
Those who undertake risk assessments need to be  Evaluate the effectiveness of the current control
competent to do so. While some organisations may choose measures.
to use external expertise to help them develop their risk
 Identify other control measures which are required to
profile, anyone doing so must have a broad knowledge of
control the risk to an acceptable level.
the entire organisation and have risk management expertise.
 Enable the employer to identify and prioritize the
Risk information generated from interviews, e.g. with
control measures that must be taken to protect the
directors, senior managers, operational managers and staff,
people from harm, including complying with any legal
and from workshops needs to be confirmed, and ranked,
provisions.
and together with other data (e.g. risk assessments) should
form the basis of an overall risk profile.  Record the significant findings of the risk assessment.
 Be appropriate to the nature of the work and be
Purpose of Risk Assessment and the proportionate to the risks.
‘Suitable and Sufficient’ Standard  State the period of time for which it will remain valid.
it needs to reach (as per HSG65: Proportionate risk assessment means risk assessment
‘Managing for Health and Safety’) made depending upon the level of risks. For a simple
workplace where the risk levels are generally low and the
Purpose of a risk assessment:
hazards simple, the risk control measures can be based
 To determine the measures required by the upon simple guidance that is available. But for high risk
organization to comply with relevant health and workplace, where complex processes are performed like
safety legislation. for example the processing of chemicals inside a reactor,
 To ensure that risks are minimized by the correct the risk assessment should be based on expert competent
application of risk control measures. advice.
 To ensure legal compliance.
A General Approach to Risk
 To prevent incidents from happening and the
Assessment (5 Steps)
consequent injury and ill health.
 To prevent legal enforcement action against the The following are the five steps:
company and its managers.
 To prevent the direct and indirect costs arising from Step 1 Identify Hazards

an accident.

Criteria for Suitable and Sufficient Step 2 Identify People at Risk

Risk Assessments Evaluate risk (taking account of what you

Step 3 already do) and decide if you need to do more
Legally it is required that organizations conduct risk
assessments and these risk assessments should not just
Step 4 Record Significant Findings:
be mere pieces of paper so as to achieve legal compliance
but also serve the set objectives. Hence it is required that
the risk assessments should be “suitable and sufficient”. A
Step 5 Reasons for Review

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44 NEBOSH International General Certificate in Occupational Health & Safety

Step 1: Identify Hazards:  Workers and Operators: These are the people who
are in the frontline of operating the machine, they
This is the first step and also an important one. Here the risk
may be both directly and indirectly affected by the
assessor needs to identify all the hazards that are present
while doing an activity, or operating a piece of equipment hazard, like for e.g. a drilling machine operator will be
or in a location. A hazard could be a safety hazard, which affected by the noise emitted by the drilling machine
may result in injury like for example a rotating drill and during operation, but at the same time a co-worker
or a health hazards for e.g. the wood dust been inhaled who is working in the vicinity on quieter machine may
while drilling holes on wooden panels. Only the significant also be affected.
hazard needs to be identified.
 Supervisory and Managerial Staff: Depending
Hazard Identification Methods: upon the type of operation a supervisor or the line
manager may or may not be continuously present at
To make the process of identifying hazards systematic and
more effective the following hazard identification methods the point of operation, but if they are expected to
may be employed be in that place for whatever duration or frequency,
then they also need to be protected.
 Carrying out a Workplace Inspection: This would
 Maintenance Staff: They are often involved in
require a formal inspection to be carried out so as
to identify the hazards present. But this method is regular servicing of the machine and may be required
contrary to the principles of safety management to attend breakdowns and also take trials of the
which states that an activity should not start unless equipment. Hence they face the same hazards, like
and until a risk assessment is carried out. that of an operator and need to be protected. They
 Task Analysis: This is the process of breaking down also face additional hazards because they work on the
an activity into smaller components and for each equipment with the safeguards removed.
component identifying what is the hazard and putting  Contractors: They may be working in tandem with
control measures for the same. The process of task the companies’ workers or independently. Either
analysis is also used for generating Safe systems of work ways their operation will be creating a hazard for
and is described in more details later on in this element. others and at the same time they may affected by the
 Sources of Information to Consult: (Adequately other workplace risks that are present.
discussed in IG1, Element 1, Section 1.2)  Cleaners and Housekeepers: Similar to the
 Legislation: Certain activities are strictly controlled maintenance workers the cleaners may have to access
by local and national legislations like for e.g. working difficult parts of the machines, which may require
on live electrical connections. Looking at what the law removal of safeguards.
says and incorporating the requirements of certain
 Visitors/ Customers: The workplace will receive a
legal guidance documents also helps in the process of
steady flow of visitors. They will have to be provided
identifying hazards.
with the requisite PPE while entering any PPE
 Manufacturers’ information: Each plant, equipment
mandatory area and also will have to be protected
or substance accompanies with it a manual prepared
against hazards like fire.
by the manufacturer. For chemicals the manufacturer
has to provide a Material Safety Data Sheet or MSDS.  Members of the Public: this category may not
Going through this information will help in identifying be inside the workplace, but in the vicinity of the
both obvious as well hidden hazards. workplace and needs to be protected against hazards
 Incident data: This is the companies’ own internal like fire and toxic gases which may get released from
data. The incident reporting and investigation forms the workplace. At the same time a construction site
are also an excellent reference source for identifying may have porous boundaries and this may not be able
the hazards. Even external data like national statistics to prevent curious on lookers or children who may
can also be useful. enter the site and thus be affected by the hazards
Step 2: Identify People at Risk: that are present.

In this we not only need to consider the workers who are While identifying the people who are affected, if there is a
working on the machines and tools but also anyone else special category of people who are present in the workplace
who may be present in the vicinity and hence affected by and likely to be affected by the hazards, then we need to
the hazard. The following are the categories of people who take the vulnerable category and include young persons,
will have to be considered: pregnant women, lone workers and disabled workers.

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Step 3: Evaluate risk (taking account of 15-16 Unacceptable - immediate action

what you already do) and decide if you required to reduce risk.
need to do more: 20-25 Unacceptable - Work shall not be
In this step, put simply, we started or continued until the risk
are going to measure the risk, has been reduced. If reduction is not
check if is acceptable and if not possible, the activity shall be prohibited.
decide on control measures to Each organization is free to design and use its own
either eliminate or reduce the risk matrix and risk rating chart, what we are trying to
risk. understand is the methodology.
To first measure the risk, we
Risk Rating = Likelihood X Severity
need to create a mathematical
Disabling
03
formula. We know that risk is a S injury 5 5 10 15 20 25
combination of the likelihood of a hazard causing harm and e Hospital
the severity of the injury as a result. So we can, now say in
v treatment 4 4 8 12 16 20
e Lost – time
mathematical terms that: r injury 3 3 6 9 12 15
Risk = Likelihood x Severity i First aid
2 2 4 6 8 10
injury
t
Now if we put a number for the likelihood and for the y Very minor
1 1 2 3 4 5
injury
severity and then multiply them, then we should be able to
quantify risk. For quantifying likelihood and severity we can
Catastrophic

Unacceptable
STOP

URGENT ACTION
1 2 3 4 5
use the following risk rating chart. Undesirable ACTION Very
Unlikely
Fairly
Likely
Very
Acceptable MONITOR Unlikely Likely likely

Likelihood Severity Desirable NO ACTION

Likelihood
1 = Very Unlikely 1 = Very minor injury
2 = Unlikely 2 = First aid injury Applying Control Measures:
3 = Fairly Likely 3 = Lost – time injury After calculating the risk, if it is found that it is high then
4 = Likely 4 = Hospital treatment we need to bring down the risk by applying the control
5 = Very likely 5 = Disabling injury measures. These control measures will bring down the risk
either by:
Using the above risk rating chart, the risk generated by a
trailing electrical cord positioned across a busy corridor  Bringing down the likelihood or,
might be calculated as 5 x 4 = 20 (very probable x hospital  Bringing down the severity or,
treatment).  Bringing down both.
The same electrical cord lying on the floor but close to the There is a separate hierarchy of risk control which is
wall of a rarely visited plant area might be rated as 1 x 4 = 4 discussed later, which suggests a systematic approach of
(Extremely unlikely x hospital treatment). applying the risk controls. But the general principle that is
applied is as follows:
Now, once we have calculated the risk, we need to evaluate
it whether it is acceptable or not. Obviously, a risk which
Remove the source of
is higher would be unacceptable and a risk which is lower
the risk. This is the most
would be acceptable. But, to make things clear, we need to
effective option since
refer to risk assessment matrix to evaluate the risk. Eliminate the hazard
removal of the hazard
Following is an example of a typical risk assessment matrix: eliminates the risk
associated with that hazard.
Risk rating Action and timescale
Use engineering controls to
1-3 Acceptable – No action required
change the hazard itself, or
4-6 Acceptable. If simple action can reduce
guard or enclose the hazard
further then must be done within one Create a safe place
in some way to prevent
week.
people coming in contact
8-12 Tolerable however efforts should be with it.
made to reduce the risk.

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46 NEBOSH International General Certificate in Occupational Health & Safety

Develop safe working can be tolerated for certain amount of time, say 12
methods or systems of hours, within which the control measures needs to be
work so that people are implemented.
exposed to the hazard in  Unacceptable risk means the risk is too high to allow
a controlled manner. This the work to start.
Create a safe person
required information, Possible Acute and Chronic Health Effects:
instruction, training and
supervision to be provided Acute Health Effects Chronic Health Effects
and safe behaviour to be  High levels of  Lower levels of
enforced. exposure exposure
 Short exposure time  Longer exposure time
The best approach to take will be to eliminate the hazard,
 Quick effect e.g. high  Long term effect e.g.
while the least preferred will be to create a safe person,
concentration of repeated exposure to
because creating a safe person is difficult due to the
chlorine gas solvents
inherent nature of humans, who may be prone to errors or
have a negative attitude towards the safe way of working. (For more information about Acute and Chronic Health Effect
refer IG2 Element 7, Section 7.1)
Residual, Acceptable and Tolerable Risks:
Let us understand what the right way of doing risk
Principles to Consider when Controlling
assessment is. A risk assessment is to be done by actually Risk (as per section 3.10.1 ILO-OSH 2001
assessing the work at an existing work place and by looking – ‘Guidelines on Occupational Safety and
at how the activity is carried out practically. In this way a Health Management Systems’)
risk assessment is not a table top exercise but should rely Hazards and risks to workers’ safety and health should be
on the way the work is actually done. identified and assessed on an ongoing basis. Preventive
While calculating the risk it is important to see what control and protective measures should be implemented in the
measures already exist while the work is been carried out. following order of priority:
For e.g. if a worker is to use a portable electric grinding  eliminate the hazard/risk
machine to grind a metal plate, and if he not using an
 control the hazard/risk at source, through the use of
adjustable guard around the grinding wheel so as to
engineering controls or organizational measures
protect against the sparks and also to create a barrier in
case the grinding wheel shatters, then the likelihood of the  minimize the hazard/risk by the design of safe
worker getting injured during the grinding operation will be work systems, which include administrative control
higher, say the likelihood will be 4 (likely) and consequences measures; and
will be 4 (hospital treatment) and the risk will be 4x 4 = 16  where residual hazards/risks cannot be controlled by
(Unacceptable risk). But if the worker uses a grinder with a collective measures, the employer should provide for
guard and he is trained to use it and there is supervision to appropriate personal protective equipment, including
insist on its usage then the likelihood will come down to 2 clothing, at no cost, and should implement measures
(Unlikely) and the consequence will remain the same that is to ensure its use and maintenance.
4. Now the risk will be 2 x 4 = 8 (Tolerable). So, while doing Hazard prevention and control procedures or arrangements
a risk assessment it is important to look at the control should be established and should:
measures existing rather than assume that there are no
 be adapted to the hazards and risks encountered by
controls or think that there are certain controls present.
the organization;
The risk that remains once the existing controls have been  be reviewed and modified if necessary, on a regular
taken into account can be referred to as the residual risk. basis;
 If the residual risk is low then it might be considered  comply with national laws and regulations, and
acceptable which the existing control measures are reflect good practice; and
adequate and no further action needs to be taken.  organizations, such as labour inspectorates,
 But if the residual risk is high then either it is occupational safety and health services, and other
tolerable or unacceptable. (This can be decided by services as appropriate.
looking at the action level table.
 Tolerable risk means that it is not acceptable but

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 Managing Risk – Understanding People and Processes
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Practical Application of the Principles – arm vibration, respiratory disorders, skin disorders or
Applying the General Hierarchy of Control exposure); giving appropriate instructions to workers
(clause 8.1.2 of ISO 45001:2018) (e.g. entry control processes).

5. Personal protective equipment (PPE):  providing

Most Hierarchy of Controls adequate PPE, including clothing and instructions for
effective

Physically
PPE utilization and maintenance (e.g. safety shoes,
Elimination remove the
safety glasses, hearing protection, gloves).
hazard

Replacing the
In applying the hierarchy of controls consideration should
Substitution hazardous with
less hazardous
be given to the relative costs, risk-reduction benefits and
reliability of the available options.
Engineering controls, Isolate people
reorganization of work from the hazard
Distinction between Priorities and 03
Administrative Change the way
Timescales:
controls with people work
Training
The prioritization of the implementation of risk control
PPE Protect the worker with measures will depend on the risk rating (high, medium
Personal Protective Equipment
and low) but the timescale in which the measures are
Least
effective introduced will not always follow the ratings. It may be
convenient to deal with a low-level risk at the same time as
The following examples are given to illustrate measures a high-level risk or before a medium-level risk. It may also
that can be implemented at each level. be that work on a high-risk control system is delayed due
1. Elimination:  removing the hazard; stopping using to a late delivery of an essential component – this should
hazardous chemicals; applying ergonomics approaches not halt the overall risk reduction work. It is important to
when planning new workplaces; eliminating maintain a continuous programme of risk improvement
monotonous work or work that causes negative stress; rather than blindly following a predetermined priority list.
removing fork-lift trucks from an area. Use of Guidance:
2. Substitution:  replacing the hazardous with less Risk assessment, is a simple tool for assessing the risks but
hazardous; (e.g. replacing solvent-based paint by one drawback that it has is that it does not consider the
water-based paint); changing slippery floor material; legal requirements. It is important here to understand that
lowering voltage requirements for equipment; using of if there are certain legal provisions or codes of practice
permanently fixed ladder system instead of temporary or legal guidance for certain hazards then they should
ladders be considered while using the scoring system and while
3. 
Engineering controls, reorganization of work, or applying the control measures. Prioritization for such types
both:  isolating people from hazard; implementing of hazards always needs to be high.
collective protective measures (e.g. isolation, machine Step 4: Record Significant Findings:
guarding, ventilation systems); addressing mechanical
The significant findings of the risk assessment should
handling; reducing noise; protecting against falls from
be recorded as this acts as a legal document in case of
height by using guard rails; reorganizing work to avoid
any accidents and prove to any auditor or enforcement
people working alone, unhealthy work hours and
agency that the risks are adequately controlled. For a risk
workload, or to prevent victimization.
assessment to be suitable and sufficient, the following
4. Administrative controls including training: conducting things need to be recorded:
periodical safety equipment inspections; conducting
 The name of the risk assessor and the date of the assessment.
training to prevent bullying and harassment; managing
health and safety coordination with subcontractors’  Identification of the activity/ location/ equipment for
activities; conducting induction training; administrating which the hazards are assessed.
forklift driving licences; providing instructions on how  Identification of the groups of people at risk.
to report incidents, nonconformities and victimization  Estimation and evaluation of the risk considering the
without fear of retribution; changing the work patterns current control measures
(e.g. shifts, of workers); managing a health or medical
 Planning and implementing further precautions to
surveillance programme for workers who have been
bring down a high level or medium level risk.
identified as at risk (e.g. related to hearing, hand-

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 Noting a date on which the risk assessment needs to  Emergency routes and exits
be reviewed.  Fire detection and warning systems
 Fire-fighting equipment
 Removal or safe storage of dangerous substances
 Emergency fire evacuation plan
 Needs of vulnerable people, for example the elderly,
young children or those with disabilities
 Providing information to employees and other people
on the premises
 Staff fire safety training

Step 5: Reasons for Review:

Review and revision may be necessary when conditions
change as a result of the introduction of new machinery,
processes or hazards. There may be new information on
hazardous substances or new legislation. There could also
be changes in the workforce, for example the introduction
of trainees. The risk assessment needs to be revised only
if significant changes have taken place since the last
assessment was done. An accident or incident or a series Fire Risk Assessment – Stages
of minor ones provides a good reason for a review of the
risk assessment. Step 1 Identify Hazards

Following are the situations which can trigger the review of

a risk assessment:
Step 2 Identify the people at Risk

 Significant changes to something that the risk

assessment relates to:
− Process.
Step 3 Evaluate, remove or reduce the Risk

− Substances.
− Equipments. Step 4 Record findings, Prepare Emergency plan and train

− Workplace environment.
− Personnel.
Step 5 Review and update regularly
− Legal standards.
 There is reason to suspect that the assessment is not valid:
− Accidents.
Step 1: Identify the fire hazards
− Near miss. Fuels Ignition Sources Oxygen sources
− Ill- health.  Paper  Hot work  Oxygen
 Packaging  Electrical cylinders
 It is also a good practice to regularly review the risk
materials equipment  Oxidising
assessments. The frequency of the review is based on
 Furniture substances
the level of risk. It is common to review the risk once  Portable
 Highly
every year. heaters
flammable
Application of Risk Assessment for liquids and
gases
Specific Types of Risk and Special
Cases:
1.  Fire Risk Assessment
Factors to consider

 Construction and use of building

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Step 2: Identify People at Risk Ergonomics:

People who are on the Special consideration to If workers use display screen equipment (DSE) daily, as part
premises vulnerable groups
of their normal work, continuously for an hour or more,
 Disabled/mobility
 Workers employers must do a workstation assessment.
impaired
 Visitors/contractors/
 Children/young Employers should look at:
public
persons
 People in isolated  The whole workstation, including equipment,
 Visually or hearing
locations furniture, & work conditions
impaired
 The job being done
Step 3: Evaluate, Remove or Reduce Risk
 Any special requirements of a member of staff, for 03
 Evaluate the risk of a fire occurring example a user with a disability
 Evaluate the risk to people from fire
Where there are risks, they should take steps to reduce them.
 Remove or reduce fire hazards
 Remove or reduce the risks to people Employers must also do an assessment
 Fire prevention when:
 Prevention of the spread of smoke and flames
 a new workstation is set up
 Detection and warning
 Firefighting  a new user starts work

 Escape routes  a change is made to an existing workstation or the

 Lighting including emergency lighting way it’s used
 Signs and notices  users complain of pain or discomfort
 Maintenance
Ergonomic Assessment: (computer work
Step 4: Record Findings, Prepare Emergency
station)
Plan and Train
 Is chair positioned directly in front of the monitor?
 Record the significant findings
 Develop emergency plans  Are eyes about 18 -28 inches from the monitor?

 Provide information and instruction  Able to look the monitor straight ahead?
 Train workers  Can read monitor without bending head or looking
Step 5: Review & update Regularly forward?

 Review and Revise the fire risk assessment  Do brightness, contrast and font size are set
 As necessary correctly?
− Significant changes  Is the screen free from glare?
− Fire emergency
 Any special glasses used for computer work?
 Periodically
 Are wrists in straight and neutral position?
− To keep assessment up to date
 Are elbows at 90º?
2. 
Display Screen Equipment (DSE)
Risk Assessment  Are shoulders relaxed?

 Does Chair provide good lumbar support?

 Able to use mouse, key board without stretching,

bending or twisting?

 Do the legs fit comfortably with the work surface?

 Are the feet fully supported by the floor or foot rest?

 Are short breaks such stand up, stretch, focus the

eyes on something far away

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50 NEBOSH International General Certificate in Occupational Health & Safety

3.  Manual Handling Risk Assessment

Steps involved:

Step 1 Task description

Collect technical information Collect technical

Step 2 information

Step 3 Identify the risk factors

Gathering information about the

substances, the work and the working
Step 4 Identify the improvements to be put in place
practices
− Decide who will carry out the assessment
Step 5 Review the effectiveness of the improvements
− Identify the substances present or likely to be
identify how the substances are hazardous
− What effects could they have?
− Find out who could be exposed and how
− Find out who is doing what and what does and
could really happen

Evaluate the Risk to Health

− Decide whether you will evaluate risks to
groups or individuals What is the potential of a
substance for causing harm?
Assessing Manual Handling Risks:
− What is the chance of the exposure occurring?
 Load − How often is exposure liable to occur?
 Individual − What levels are people exposed to and for how
long?
 Task
− Draw conclusions about the risks to health
 Environment
− When might exposure constitutes a risk to
Remember as LITE or TILE health?
(adequately discussed in IG2, Element 6, Section 6.2)
Deciding on the necessary measures to
4.  Hazardous Substances (COSHH) Risk
comply with regulations
Assessment
− Selection of measures to prevent or control
Steps involved:
exposure
Gathering information about the substances, − Maintaining control measures
Step 1 the work and the working practice
− Making sure control measures are used
− Plan for emergencies
Step 2 Evaluate the Risk to Health
− Monitoring exposure
− Health surveillance
Deciding on the necessary measures to
Step 3 comply with regulations − Information, instruction and training for
employees

Step 4 Recording the assessment Recording the Assessment

Record sufficient information to include at least the
appropriate items from the list provided in the COSHH
Step 5 Review the Assessment
ACOP

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− Observations  Where are the potentially noisy areas in the

− Unsafe conditions and practices workplace?

− Interview  Who is working in them or visiting, and for how long?

− Sampling  Do you have to shout in those areas to be heard?

Factors to consider:  Is there any potentially noisy mobile plant being used
by employees?
 Hazardous nature of substance
 Is any hearing Protection in use, by whom and what
 Potential ill-health effects is it?
 Physical forms
Why Specific Risk Assessment
 Routes of entry
Methods are used for Certain Risks
 Quantity 03
 Concentration Certain hazards like noise, vibration, chemicals etc. require
a specific risk assessment rather than a general one for the
 Number of people exposed
following reasons:
 Assigned exposure limit (WEL)
 For certain hazards more information is required
 Frequency of exposure
to conclude on the risk level for e.g while using
 Duration of exposure
chemicals the risk phrase i.e whether the chemical
 Existing control measures is a carcinogen or an irritant and the quantity of the
chemical, whether it exceeds the threshold limit,
5.  Noise Risk Assessment
contributes to the risk level. A detailed study of the
MSDS is also required.
 Other hazards like noise require a noise survey to
determine the level of risk
 Determining control measures for fire hazards can
be complex as it depends on the fire load of all the
combustibles that may be stored in a particular place.
 Specific risk assessment is a systematic approach and
it contributes to a more detailed approach ensuring
that all factors are considered.
Special Case Applications to Young People,
Expectant and Nursing Mothers; also,
Check whether a noise risk assessment needed? Consideration of Disabled Workers and
Step 1 Carry out Noise survey
Lone Workers:
The following groups of workers require special attention
Step 2 Identify Person or group of people exposed and hence the risk assessment has to focus on particular
hazards to which the vulnerable category will be more
prone to:
Step 3 Evaluate the total exposure and decide on control
Young People:
Record the findings on Check List and In a workplace any person between 15 -18 (UK) or 14-
Step 4 Assessment sheet
18 (India) is considered as a young person. These young
persons may be present in the workplace to gain some
practical experience or as part of a college project or
Step 5 Review periodically and revise
involved in certain studies. As such the young employees
should not be exposed to certain hazards during their
Things to consider during noise risk
presence in the workplace. (Apprenticeship Training)
assessments
These persons are vulnerable because:
 Who’s hearing checks show early signs of Noise
Induced Hearing Loss (NIHL)?  They are both mentally and physically immature.

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 They are new to the workplace and would not know  Temperature variations
the hazards that exist and the layout.  Ergonomic issues related to prolonged standing,
 They are more willing to take risk to prove sitting or the need for awkward body movement
themselves.  Issues associated with the use and wearing of
 They are easily prone to peer group pressure and personal protective equipment
could be influenced to doing something which could  Working excessive hours
be against the companies’ policy and procedures.
 Stress and violence to staff
 They have poor communication skills.
Employers should consider the above and implement
The special risk assessment needs to be done before additional control measure as follows:
allowing young workers in the workplace. The following
 Change the hours of work, no night shifts and manual
things to be taken into consideration:
handling
 Details of the work activity, including any equipment
 Change the type of work, like no bending, stooping,
or hazardous substances;
working near radiation etc.
 Details of any prohibited equipment or processes;
 Allow additional breaks time
 Details of health and safety training to be provided;
 Allow the woman to proceed on maternity leave.
 Details of supervision arrangements.
Disabled Workers:
The following precautions need to be considered for young
workers. They should not be given work which: From a health and safety point of view, it is important
that workers with a disability are covered by special risk
 Is beyond their physical or psychological capacity assessments so that appropriate controls are in place to
 Exposes them to radiation protect them. For example, employees with a hearing
 Involves a risk of accidents which they are unlikely problem will need to be warned when the fire alarm
to recognize because of, for example their lack of sounds or a fork-lift truck approaches. Special vibrating
experience signals or flashing lights may be used. Similarly, workers in
 Involves a risk to their health from extreme heat, wheelchairs will require a clear, wheelchair-friendly route
noise or vibration to a fire exit and onwards to the assembly point. Safe
systems of work and welfare facilities need to be suitable
 Restrict their work patterns and hours for e.g. no
for any workers with disabilities.
overtime or night shift working to prevent against
fatigue The following systematic step needs to be taken by an
 Train and supervise them more than other workers employer if they employ disabled persons:

 Provide senior workers to mentor them and keep a  Identify workers with known disabilities and consider
close eye on their activities the implications it will have on their safe working.
 Provide specific health surveillance  Identify health and fitness requirements for certain
categories of work and exclude disabled workers
Expectant and Nursing Mothers:
from carrying out such activities if they do not meet
When a woman is pregnant or breast feeding then there the minimum requirements. For ex: eyesight testing
are certain activities which cannot be performed by her requirements for drivers.
due to the additional hazards that they present to them.
Lone Workers:
Certain hazards not only pose a risk to the woman but also
to the unborn child. If precautions are not taken, then it can Let’s consider a security staff guarding the perimeter of
lead to miscarriages or children born with certain genetic a large organization alone. If something goes wrong with
defects or illnesses. him like a trip and fall leading to fractured leg, there will be
no one to help him out as the nearest person could be quiet
Following are the typical factors that affect such women:
a distance away to see him or to hear his cries for help. In
 Manual handling the same way a courier delivery man could be working all
 Chemical or biological agents alone (even though there may be others around him). As
such lone workers are particularly vulnerable because:
 Ionizing radiation
 Passive smoking  They may be prone to aggression and violence from
the people been visited.
 Lack of rest room facilities

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 The work requires more than one person to be An effective management of change (MOC) process is a
present like confined space entry. cornerstone of process safety. It is a formally documented
system developed to identify required modifications
 They may be attacked by anti-social elements if they
are carrying cash or valuables for example worker Requirement for hazard and risk analysis
who are loading ATMs.
The MOC process requires hazard identification and risk
3.5  Management of Change assessment to ensure that the full implications of any
change are understood before it is put into practice, to
Typical Types of Change faced in the ensure that new hazards are not introduced and that
existing risks are not unwittingly increased. It should
Workplace and the Possible impact include procedures for both permanent and temporary
of such change modifications, and will include hardware and software
changes. In order to capture all of the proposed changes, 03
Typical types of changes faced in the the process must be robustly implemented and this is often
workplace include achieved by ensuring that a senior manager champions the
process within the organisation, ensuring it is seen as an
 Construction works
enabler rather than a barrier to engineering changes and
 Change of process removing any negative attitudes.
 Change of equipment
The MOC process should review the proposed modification
 Change of working practice to the existing operating parameters and design criteria.
As well as the installation of new plant and equipment, the
Let’s go through the following case study to know how
MOC process should be used to evaluate and record any
changes in workplace without proper hazard evaluation
planned changes to safety critical devices, replacement
and risk assessment increase health and safety risks.
of equipment with non-identical alternatives, changes to
Case in Point: alarms or other operating parameters, especially those
that are outside the ‘safe operating envelope’. In some
The Flixborough disaster in the UK in 1974 highlighted the
circumstances, changes to key workers (e.g. changing
need for effective management of change processes all too
staffing levels) should be considered as requiring MOC
well. Modifications to pipework to allow maintenance on a
leaking vessel were carried out without proper consideration This means that the following documentation may be
of the design requirements and by people without the required required to support the MOC application:
competence. The result was a pipe line that was not rated to  Original process design criteria
withstand the pressures that it experienced and it ruptured,
 Existing process drawings
resulting in a release and explosion that killed 28 people. In
the report into the official inquiry, the following observation  Detail of proposed changes, including mechanical and
was made: electrical equipment specifications
 Details of trip and alarms planned
“No calculations were done to ascertain whether the bellows
or pipe would withstand these strains; no reference was  Risk assessment or HAZOPS
made to the relevant British Standard or any other accepted Process for all changes to be authorized
standard; no reference was made to the designer’s guide
The MOC application must be:
issued by the manufactures of the bellows; no drawing of the
pipe was made, other than in chalk on the workshop floor; no  Clearly defined and communicated to those in the
pressure testing either of the pipe or the complete assembly approval process
was made before it was fitted. As a result, the assembly as
 Submitted in advance of the change by the
constructed was of completely unknown strength and failed
person proposing the modification to all relevant
to comply with the British Standard…”
stakeholders (e.g. engineering, health and safety
In the text Chemical Process Safety; Learning from case production department research and development,
histories such changes are described as ‘’ modifications made operational workers, maintenance workers, etc);
with good intentions” and there are many examples of where,
 Tracked and managed as different stakeholders
despite trying to do the right thing for the plant, without
review and approve or make comments
the correct level of hazard evaluation, risk assessment and
planning, the outcome was undesirable. These include tanks  Given final approval by a suitably responsible
collapsing, road tankers failing and reactors exploding – at person(s). Formal approval should be granted by
no point did the management intend to do the wrong thing, senior management for the most significant changes
nevertheless the outcome was disastrous. (such as removal of safety critical changes)

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Changes documented: d) Segregation of Work Areas

All changes to process plant and process design should be correctly Temporary work areas must be properly segregated
documented in order to ensure process knowledge retention: in terms of the work activities. High risk areas such as
demolition sites, excavation sites must be segregated
 the MOC file should clearly document all of the
from the workplace. Proper control measures such as
changes proposed and be retained as a formal record
provision of physical barriers such as fencing should be
 any process documents, e.g. process and carried out to provide safe access.
instrumentation diagrams, operational manuals, etc
should be updated with relevant changes e) Amendment of Emergency Procedures
 the MOC file should be retained with the design Emergency arrangements must be made because works of
specifications for future reference temporary nature may introduce extra people, equipment
Consult and Inform and additional hazards. Specific training may be required
When consulting and informing those affected by the for fire marshals and alternations to exist to exit route
changes, the following needs to be considered: signage, lighting and assembly point location may be
required to take account of the changes.
 effective change management should be the result of
collective design-making and effective consultation f) Welfare Provision
rather than the decision of one individual
The arrangements for welfare provision should include
 those affected should be consulted through the process and consideration of:
any changes should be communicated to those affected,
including operational workers and maintenance workers  Duration of the work
Training  Number of people who will use facilities
All workers should be trained in the need for MOC, the  Distance workers will have to travel to the welfare facilities
circumstances when MOC is necessary and the process for  Different locations requires, including whether the facilities
gaining MOC approval. Those in the approval process should will need to be relocated during phases of the work
receive additional training to ensure their competence.  Cleaning and maintenance of the welfare facilities.

Managing the Impact of Change: Review of change (during and after):

a) Communication and Co-operation The final step in the change management process is to carry
out the review during and after the change is implemented.
It is important that proper communication and co-ordination
This is part of the ongoing, continuous improvement of
should be there between all the people involved in temporary
change management for the organization and ultimately
works to manage the work properly and ensure health and
leads to change competency.
safety. Following are the reasons why it is necessary:
The review process in management of change involves the
 Other people at the worksite may not know how
planned and significant changes which are introduced and
the hazards of these temporary works may affect
implemented to ensure that health and safety risks are
them. Therefore, discuss the risk and ensure control
adequately controlled. The review generally involves with
measures are in place
all the relevant interested parties such as stakeholders
 All the workers of the worksite must be aware of the and external expertise with clear communication and
work being carried out at the site so that they may consultation. Based on the outcome of review the relevant
know how the work may affect their activities risk assessments need to be updated.
b) Risk Assessment
Risk assessment is a forward-looking process which detects,
3.6 Safe Systems of Work for
evaluates how the work may affect the workers and others General Work Activities
in the workplace where the temporary work is carried out.
However, these risk assessments may be very generic in Why Workers should be involved when
their approach and may not take sufficient account of the
circumstances of specific workplaces. Developing Safe Systems of Work
c) Appointment of Competent People Many people operating a piece of machinery or a
A competent person with sufficient knowledge and training manufacturing process are in the best position to help with the
about the work process and has considerable experience in preparation of safe systems of work. Consultation with those
assessing risk must be appointed. This person is responsible for employees who will be exposed to the risks, either directly or
carrying out the risk assessment within the organisation. The job through their representatives, is also a legal requirement. The
may require a collaborative work between those carrying out
importance of discussing the proposed system with those
the work and those arranging the work, therefore the person
who will have to work under it, and those who will have to
appointed must be competent enough to manage the activities,
including communication and coordination of work. supervise its operation, cannot be emphasized enough.

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Employees have a responsibility to follow the safe system form or a person’s signature must be obtained before
of work. Further, consultation with the workers helps proceeding, the names of the workforce must be
buy in ownership and ensures cooperation during its recorded.
implementation. And also aids in creating a positive health  Behavioural: These are controls which require a
and safety culture. certain standard of behaviour from individuals or
groups of individuals. For example, no smoking is
Why procedures should be
permitted during the task, hard hats must be worn,
Recorded/Written down and all heavy lifts are to be in tandem between two
Following are the salient features of having a written workers.
procedure: Developing a Safe System of Work:
 Procedures can be written carefully and signed and
Analysing Tasks, Identifying Hazards and 03
authorized by competent persons so that they carry
Assessing Risks:
authority.
 Each procedure can be given a proper document, SSOW is developed by using the methodology of Task
date and revision number, so that they are subject Analysis. Task analysis is a process of breaking down the
to regular review and old revised documents can be operation into small component tasks, identifying at each
discarded. step what is the hazard present and then defining a safe
way of doing it by identifying control measures. The steps
 A written procedure provides a point of reference
in task analysis can be broken down using the acronym
to the worker and the supervisor who can refer to it,
SREDIM
whenever they have a doubt or may have forgotten
the information.  Select the task to be analyzed.
 A procedure could be in the form of a one-page  Record the steps or stages of the task.
pictorial instruction which can be hung up very near  Evaluate the risk associated with each step.
to the machine or it could be in the form of a manual  Develop the safe working method.
which has several sections focusing on different
 Implement the safe working method.
issues.
 Monitor to ensure its effectiveness.
 Written procedures form the basis of all future
training to workers. The following factors are to be considered while developing
a SSOW.
 Written procedures are a legal requirement and
create a standard against which activities can be  People: from whom the SSOW is developed. The
audited. level of competency involved and the presence of
 It also provides a reference for investigation of vulnerable groups.
accidents and while reviewing a risk assessment.  Equipment: the equipment been used to accomplish
the task and the hazards posed by them.
The Differences between Technical,  Materials: the hazardous nature of the material
Procedural and Behavioural Controls handled. The disposal of waste and other residue
safely.
There are a variety of controls that can be adopted in safe
systems of work. They can be split into the following three  Environment: the factors like lighting, space,
basic categories: temperature, noise and dust and whether they will
have an impact on the operations.
 Technical: These are engineering or process type
Introducing Controls and Formulating
controls which engineer out or contain the hazard so
that the risks are acceptable. For example, exhaust
Procedures:
ventilation, a machine guard, dust respirator. Controls are introduced to take care of the hazards
 Procedural: These are ways of doing things to identified; the controls as discussed above could be
ensure that the work is done according to the technical, procedural or behavioural. For ex, the procedure
procedure, legislation or cultural requirements of may require the FLT driver to wear hi-visibility jacket
the organization. For example, a supervisor must (behavioural), and do a pre-use check before starting the
be involved, the induction course must be taken fork lift truck (procedural) and ensuring that the load lifted
before the work commences a particular type of is within the SWL of the FLT (technical).

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Once the procedures are developed it needs to be put the form of the permit to work) will be given only if the
into operation. Consultation with the workers at the time laid-down precautions are in force and have been checked.
of development of the procedures helps in gaining co- In fact the Permit to work or PTW is generally considered
operation from them and aids in proper implementation of as a part of a SSOW (Safe Systems of Work) which requires
the procedure. additional controls due to the nature of the activity
performed.
Instruction and Training in how to use the
System: The permit document will typically specify

Before implementing a SSOW a structured training  what work is to be done;

needs to be developed and imparted to the workers. The  the plant/equipment involved, and how it is
SSOW becomes the basis for the training and the written identified;
procedure is discussed in length.  who is authorized to do the work;
Even a change in an existing SSOW needs to be  the steps which have already been taken to make the
communicated through formal training. Some training may plant safe;
have both theoretical as well as practical aspects included  potential hazards which remain, or which may arise as
in them. the work proceeds;
Needless to say, the training records needs to be  the precautions to be taken against these hazards;
maintained. Some training may even require an assessment  for how long the permit is valid;
and formal certification as part of the process.
 that the equipment is released to those who are to
Monitoring the System: carry out the work
Examples of work that would generally qualify to be done
Once the workers are trained and the SSOW is ‘live’ in the
under a PTW:
workplace, it is important to monitor the system to ensure
the following:  Hot work which includes welding, gas cutting, grinding
etc.
 The SSOW is practical and easy to use.
 Work at height
 Workers have understood the training and are
 Working inside a confined space
deploying the control measures correctly.
 Maintenance of equipment
 SSOW is as safe as was intended to be.
 Working on electrical systems
 The SSOW has considered all the hazards that are
present while doing the task.  Working near operational pipelines or pressurized
systems
 The level of supervision that needs to be deployed
in the future once the SSOW is well set and  Excavation, especially near buried services
implemented in the workplace. Why permit-to-work systems are
3.7 Permit-to-Work Systems: used
A safe system of work is ensured by permit to work system.
Meaning of a Permit-to-Work System
It plays a major part in identification of hazards and
implementation of appropriate control measures before
the commencement of work. It is mandatory requirement
to promote safe and secure work practices among the
employees who undertakes high-hazard work.

The function of a permit-to-work system is as follows.

 Confirm if the specified work has proper

authorization
 Identify the type of work and its limitations and
The permit-to-work procedure is a specialized type of safe suggest appropriate control measures
system of work under which certain categories of high  Make sure suitable control measures are in place to
risk – potential work may only be done with the specific deal with hazards arises out of work
permission of an authorized manager. This permission (in
 Ensure that hazards and residual hazards in the work

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area have been eliminated before undertaking high- PTW. The plant and equipment will be in control of the
hazardous work in that work area workers holding the permit.
 Ensure that the work carried out is safe and secure 3. Clearance or Return to Service:
right from staring to finishing
Once the desired task as per the permit is completed, the
 Ensure the location and equipment are in control
workers will sign to mention the completion of the activity
relating to the work to avoid misuse and mishandling
and will remove any controls that they may have applied to
 Record steps involved in the work process the plant or equipment in the course of their work.

How permit-to-work systems work 4. Cancellation:

and are used: The authorizing manager signs this section to accept the
hand-back of the workplace from the workers. This also has
A PTW is generally a format which is made in triplicate and 03
the effect of cancelling the permit so that no further work
filled up by a senior level manager. It lists out the hazards
can take place under its authority.
present and the steps to control them. The worker receives
a copy, which he carries to the place of work with him and 5. Extension (optional):
completes the task as mentioned in the PTW.
This part is included in some PTWs in case the work is not
PTW system generally follows the following process: completed in the stipulated time.

 Issue of permit. Permits are generally made in triplicates:

 Receipt of permit.  One copy is carried by the workers holding the permit
 Clearance of permit. and is displayed in the area where the work is been done.
 Cancellation.  One copy is retained by the authorizing manager.
 Extension (Optional)  One copy is displayed in a central location, where all
live permits are displayed.
1. Issue of Permit:
Limitations of Permit to Work System:
This part of the PTW system is the responsibility of a
A PTW is a just a piece of paper and over reliance on it can
senior level manager. The manager must be competent to
lead to issues that can cause incidents. The authorizing
do this. Generally following are the things an authorizing
manager should realize that just my mentioning the
manager specifies:
controls required and signing the permit doesn’t essentially
 The exact type of work. makes the activity safe. A permit should never be treated
 The place where the work is to be done. casually as something which needs to be filled more as
 The workers who will be involved in doing the work. ritual rather than a necessity.

 The control measures that will be in place before, For PTW to work following needs to be adhered to:
during and after the work is completed.
 The Permit issuing authority and receiving workers need
 The date and time of the permit. to be trained and competent in the process of PTW.
 The duration for which the permit will be valid.  Permits to be filled up not from the desk but only
 Any other permits that may be running parallel to the after visiting the site.
current permit.  Permits should not be amended.
 A copy of the method statement and or risk  Active and regular supervision of the work site is
assessment is also attached. required to ensure that the permit conditions are
 The name and sign of the authorizing manager. followed by the workers and the controls are correctly
applied and in place throughout the permit duration.
2. Receipt:
 The permit issuing authority should visit the site to
The permit is handed over by the permit authority to the ensure that the controls have been removed and the
workers who are going to perform the task. The workers plant is returned to its original status and thus ready
are required to read the control measures mentioned and to use, before cancelling the permit.
sign that they have understood and fully agree to abide by
 Enough time should be accorded to fill up the permit;
the requirements.
otherwise staff may be stressed for lack of time and
Now the work can start as per the conditions stated in the may take short cuts in adhering to the system.

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When to use a Permit-to-Work System: An electrical permit-to-work is primarily a statement that a

circuit or item of equipment is safe to work on – it has been
Hot work: isolated and, where appropriate, earthed. You must never
Hot work is potentially hazardous as: issue an electrical permit-to-work for work on equipment
that is still live or to authorise live work. The information it
 A source of ignition in any plant in which flammable contains should be precise, detailed and accurate. It should
materials are handled; state which equipment etc has been made safe, the steps
 A cause of fires in all processes, regardless of by which this safety has been achieved, and exactly what
whether flammable materials are present. work is to be done.
Hot work includes cutting, welding, brazing, soldering and The electrical permit-to-work should state clearly:
any process involving the application of a naked flame.
Drilling and grinding should also be included where a  the person the permit is addressed to, i.e. the leader
flammable atmosphere is potentially present. of the group or working party, who will be present
throughout the work;
Hot work should therefore be done under the terms of a
 the exact equipment which has been made dead and
hot work permit, the only exception being where hot work
its precise location;
is done in a designated maintenance area or fabrication yard.
 the points of isolation;
 Typical precautions for control of hot work are:
 where the conductors are earthed;
 The work should be carried out only by competent
 where warning notices are posted and special safety
personnel.
locks fitted;
 All flammable substances should be removed from
 the nature of the work to be carried out;
the vicinity of the area.
 the presence of any other source of hazard, with
 Equipment that cannot be removed should be
cross-reference to other relevant permits;
covered with fire proof blankets.
 further precautions to be taken during the course of
 Fire extinguishers should be kept at hand.
the work.
 Fire watcher should be present.
Machinery Maintenance:
 Areas should be swept of any debris before start of work.
Machinery maintenance has added risks to working as
 Wooden floorings to be damped down with water.
safety critical systems are disabled and guards are removed
 After completion of the work, smoldering embers to access potentially dangerous parts of the machinery. A
should be disposed off correctly. PTW system ensures that:
Work on Non-live (Isolated) Electrical  Work is carefully planned and executed.
Systems:  There is complete isolation of power sources.
 Any stored potential energy is released.

Identify the circuit Apply circuit main

 Access and egress into plant is controlled.
or equipment to be earth(s) where
worked on necessary
 The nature of the work is communicated to the workers.
 The workers are competent to do the work.
 There is adequate supervision.
Cut off supply, Take precautions
isolate and secure against adjacent live Confined Space:
isolation parts where necessary

Retain keys. Post

Issue permit-to-work
‘caution’ and
where necessary
‘danger’ notices

Prove circuit or Apply local earth(s)

equipment dead where necessary

DEAD WORKING, ie SAFE

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An enclosed place or partially enclosed place with limited  Minimize the consequences of the fall by providing
space and accessibility is called confined space. Working in soft landing systems like ‘netting’
confined spaces may lead to death and wide range of injuries.
 Ensure that the weather conditions like wind and
A normal place is converted into confined space when visibility are at optimal levels.
certain types of work are carried out like construction,
fabrication or subsequent modification.
3.8  Emergency Procedures
E.g: Storage tanks, silos (tall tower), underground drainage, Why Emergency Procedures need to
hopper (pyramidal shaped container) and manholes be Developed:
Some of the precautionary measures should be considered
Despite all the preventative measures an organization may
for safe system of work at confined places.
initiate and implement, there are some things which may
 Test the atmosphere to detect the presence of toxic still go wrong and in those situations both the management 03
and flammable gases and oxygen levels and the workers should take appropriate steps to prevent
 Check the competency of the workers in accordance harm to all those present in the workplace and if that is
with specified task not possible, then to minimize the injuries and speedily act
upon to reduce the impact of the situation.
 Clean the work area to eradicate residues
 Isolate electrical and mechanical equipment to avoid To prepare for the above the organization needs to develop
sources of ignition emergency procedures, so that everyone is aware of their
roles and responsibilities in case an emergency.
 Ensure ventilation satisfies the work requirement
 Use of special tools and personal protective What to include in an Emergency
equipment to promote quick and safe work practices Procedure (with reference to HSG268:
 Make sure there is adequate lighting facility to work ‘The health and safety toolbox’)
without any strain
 Consider what might happen and how the alarm
 Ensure obstacle-free access and egress for safe and
will be raised. Don’t forget night and shift working,
secure access and exits
weekends and times when the premises are closed,
 Make sure emergency rescue and fire-fighting
e.g. holidays.
arrangements and communication methods are in
 Plan what to do, including how to call the emergency
place and appropriate
services. Help them by clearly marking your premises
Work at Height: from the road. Consider drawing up a simple plan
Work at height is a high-risk activity as it has got the showing the location of hazardous items.
potential to cause maximum fatalities. Incidents can occur  If you have 25 tonnes or more of dangerous
both with people falling down as well as material falling substances, you must notify the fire and rescue
down and both are high potential incidents. The PTW service and put up warning signs.
should consider the following things:
 Decide where to go to reach a place of safety or to
 Avoid working at height. get rescue equipment. You must provide suitable
 Prevent falls by providing a proper platform. forms of emergency lighting.

 Minimize the distance of the fall by providing full  You must make sure there are enough emergency
body harness. exits for everyone to escape quickly, and keep
emergency doors and escape routes unobstructed
and clearly marked.
 Nominate competent people to take control (a
competent person is someone with the necessary
skills, knowledge and experience to manage health
and safety).
 Decide which other key people you need, such as
a nominated incident controller, someone who is
able to provide technical and other site-specific
information if necessary, or first-aiders.

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 Plan essential actions such as emergency plant  Did the emergency staff operate the emergency
shutdown, isolation or making processes safe. Clearly equipment correctly?
identify important items like shut-off valves and  And did the equipments function as desired?
electrical isolators etc.
Most organizations look at the mock drills as keeping their
 You must train everyone in emergency procedures. personnel in readiness and looking at the leanings from
Don’t forget the needs of people with disabilities and these drills in further improving their procedures and
vulnerable workers. actions.
 Work should not resume after an emergency if a
serious danger remains. If you have any doubts ask What to Consider when Deciding on
for assistance from the emergency services. First Aid needs in a Workplace:
Why People need Training in The first aid coverage will depend upon the following
Emergency Procedures factors:

 General risk level of the workplace for e.g. a

Once the procedures are made, equipment procured
construction site need to have more facilities than a
and staff nominated, training needs to be provided. An
warehouse.
emergency training is given to all the employees because,
 The accident history- organizations can look at the
 Quick and effective actions may help to ease the
companies’ accident history to ensure that provisions
situation and reduce the consequences.
are adequate for the type of accidents most
 Training is essential to ensure that everyone knows frequently occurring.
what to do when there is an emergency, or disruption
 Presence of vulnerable people. An organization which
of business operations
has a large number of lone workers may have to
 Everyone needs training to become familiar with provide a portable first aid kit to each of them.
protective actions for life safety (e.g., evacuation,
 Number of workers in the workplace will determine
shelter, shelter-in-place and lockdown
the number of first aid boxes.
 Review protective actions for life safety and conduct
 Work pattern and shift systems.
evacuation drills (“fire drills”) as required by local
 The geographical location of the workplace as to how
regulations
far the organization is from the nearest hospital will
 Employees should receive training to become familiar
determine whether the organization need minimal
with safety, building security, information security
provisions or better advanced provisions so that the
and other loss prevention programs.
victim is taken care of till he reaches the hospital.
 To develop their awareness and understanding of the
 Spread of the workplace- a large workplace which
specific hazards and risks associated with their jobs
is spread in a big area need to not only look at the
and working environment.
number of workers working in an area but also how far
 There are possible vulnerable people at workplaces they need to travel before they can receive first aid.
(such as visitors), who are Usually unfamiliar with the
 Specific procedures like for e.g. workers working
alarm pattern and what they signify. Training can
with certain chemicals which may splash on to
develop awareness and the actions to be taken.
the eyes and other body parts causing injury will
 Apart from satisfying legal obligations, several require eye wash stations and full body showers as a
benefits will accrue to the employer by provision of requirement.
sound information and training employees.

Why Emergency Procedures need to

be Tested
Finally, an organization should conduct mock exercises
to mimic an emergency. These mock drills will help the
organization to understand the following:

 Is the emergency procedure working as expected?

 Have people at all levels understood their roles and
responsibilities?

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Summary
 Health and safety culture can be defined as the product of individual and group values, attitude, beliefs, perception
and competencies related to health and safety.
 A companies’ health and safety performance is determined by its health and safety culture. A positive culture leads to
good performance, while in a negative culture leads to poor performance
 Examples of positive culture of the organization
− Leadership and commitment to health and safety throughout at all levels of the organization
− Formulation of high standards of health and safety strategies
 Examples of negative culture of the organization
− Sacrifice safety for achieving productivity and sales target
03
− Violating the safety rules and procedures at workplace
− Lack of knowledge and training
− Inappropriate lines of communication system results in worker unaware of companies policies and procedures
 Indicators used to assess health and safety culture
− Accident/Incident rate
− Absenteeism rate
− Sickness rates
− Staff turnover
− Compliance with safety rules
− Complaints about the working conditions
 Influence of peers
− Peer means equal or peer is someone at your own level
− Peer group pressure involves others to perform certain activities forcefully or conform to certain standards set by
a specific group
− Peer influence is a persuasive act of encouraging others to act accordingly
− Peer group pressure may be positive or negative in relation to health and safety
Peer pressure is a forcible action and peer influence is a persuading / influencing action.
 The following things should be implemented for the group which have negative impact on health and safety behaviour
− Identify the influential persons in the group and turn them over to the safe way of behaving with use of training,
education and involvement in safety-related projects
− Once these workers are changed, they will influence the others in the group for a safe and secure behaviour
 Improving health and safety depends upon the following factors
− Gaining commitment of management
» Organization with strong top management commitment and leadership towards the health and safety
provides good foundation for health and safety culture in an organization
− Promoting health and safety standards by leadership
» By Aligning the OH&S management system with the organizations business objectives;
» By Making sure the necessary resources are available;
» By Encouraging workers and other relevant interested parties to get actively involved in improving OH&S
performance;
» By Involving everyone in OH&S decision-making that affects them;
» By Promoting open discussion about OH&S matters; and
» By Ensuring the emphasis is on improvement rather than blame
− Ensuring disciplinary procedures
» A good organization will ensure that negligent acts are reported immediately and managers should act upon
them using the available disciplinary actions in order to ensure that the mistake isn’t repeated by the workers

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 Competent workers
− It is the responsibility of the employer to ensure that the employees are competent at all levels for safe and
secure workplace operations
 Good communication
− Helps to achieve organizational objectives without any hassles
− Makes the work atmosphere more positive and encouraging
 There are three ways in which communication can be delivered. They are

Verbal Communication - Communication by speech or word of mouth

Merits Limitations
 It is personal and can be delivered from one person to  Language barrier may exist and hence information may
other easily, without others knowing about it. not be understood.
 It is quick and preparation time required is less.  Use of jargon, local or technical language may not be
understood.
 Allows for checking for understanding by asking the  Strong accent or dialect may interfere.
recipient about it.

Written Communication - Communication in the written format in the form of an e-mail, memo or a note
Merits Limitations
 Can be referred back to if information is forgotten.  It is indirect and can be impersonal.
 Can be written carefully to avoid confusions and to put  Takes time to prepare.
across the message carefully.  May contain jargon and abbreviations.
 Can be checked several times for correctness of
information.

Graphic Communication - Communication by the use of drawings, photographs or DVDs

Merits Limitations
 It is eye catching and visual.  Can convey only simple messages.
 Quick to interpret.  Expensive to buy or produce.
 There is no language barrier.  May be ignored.

 Communication can be broadcasted using different methods; some of them have been discussed below
S.No. Methods of communication Short description
1 Notice boards It should contain health and safety data and placed in the areas where there
are high concentrations of employees, for e.g. pantry, rest rooms
2 Posters It should be eye-catching and communicate information in simple language
(i.e. no technical jargon) with appropriate pictures
3 Tool Box Talks It is a type of meeting at the commencement of the job to make employee
aware about the risks of the task to be undertaken
4 Digital Media DVDs are used as a teaching medium to educate workers about the
organization’s health and safety policy and its objectives
5 Company Intranet It is used to share organizations latest events, meetings, upcoming trainings
related to health and safety
6 Memos These are written notifications used to provide specific information about a
and Emails single issue, such as updating procedures
7 Worker Handbooks It is a type of booklet which contains information about company policies and
procedures, safety rules and procedures and many more.

It is given to employees by the employer to create positive health and safety culture

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 Co-operation and Consultation with employees on health and safety issues plays a vital part in creating positive
health and safety culture of the organization
 A workplace health and safety committee (HSC) is a formal committee established to facilitate cooperation between
an employer and workers in developing and carrying out measures to ensure health and safety at work
 Objectives of health and safety committee
− Monitoring and review of OHS training and instruction activities
− Study of accident and disease statistics to recommend remedial actions
 Types of safety committee
− Central Safety Committee
− Plant Safety Committee
− Departmental Safety committee
03
− Foreman Safety Committee
 Training is an important aspect in building the competency of the workers. It improves knowledge and changes their
attitude towards health and safety
 The following could be the opportunities when training needs to be imparted to workers.
− General induction training
− Job change
− Process change
− Introduction of new technology
− Introduction of new legislation
 Some of the contents of a general induction training to new workers
− Organisation’s Health & Safety policy - Targets
− Fire & other Emergency Procedures- Assembly Point
− Location of welfare facilities
− Safe movement around the workplace
− Incident reporting procedure
 Human factor is a science of analyzing human’s knowledge, skills, abilities, behaviour and emotions with respect to
work. It is mainly influenced by “Organizational”, “Job” and “Individual” factors
 Following are the characteristics of the organization that influences human behaviour
− Negative culture
− No commitment and leadership from the management
− Policies and procedures
− Work patterns
− Lack of resources
− Peer group pressure
− Inappropriate communication system
 Following are the various job related characteristics that influence human behaviour
− Complicated task
− Workload
− Insufficient breaks and rest
− Poorly positioned and designed displays and controls
− Work environment (hot, cold, noisy and dusty)
− Existence and quality of the procedures
 Following are the individual related characteristics that influence human behaviour

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− Change in attitude
− Lack of motivation
− Lack of competency
− Poor perception of risk
 Link between individual, job and organisational factors
− Job allocation is to be done based on the individual’s capabilities, skills and knowledge
− Organisation requirements should be designed in accordance with the job and individual factors.
− All the three factors should go hand in hand for effective management of safety and health performance.
 The things to be considered before the evaluation and planning of training activity
− Work profile and the type of organization
− Hazards at the workplace
− Level of competency
− Accident history of organisation
− Presence of vulnerable group
 Training activity needs to be properly documented and recorded to evaluate the effectiveness of training
 Training activity is said to be effective, if it indicates the following
− Reduction in accident severity and frequency
− Reduction in injury and ill-health related absence
− Reduction in compensation claims and, possibly, insurance premiums
− Improved compliance with safe systems of work
 A hazard is a condition or situation that could hurt and bring damage to life, health, property, or environment
 Hazards can be broadly classified as

Types of hazards Examples

Physical Electricity

Chemical Sulphuric acid

Biological Leptospirosis

Ergonomic Manual handling

Psychological Stress

 Risk is the probability of getting harmed by exposure to a hazard and the potential consequences of that undesirable
event.E.g: Skin disease due to prolonged exposure to irritant chemicals, inhaling silica dust in cementing operations
develops the risk of silicosis
 The risk profile of an organisation informs all aspects of the approach to leading and managing its health and safety
risks.
 Risk assessment is a forward looking process which detects, evaluates and prevents potential problems before it
causes adverse effects to people and property in a workplace
 Purpose of risk assessment
− Determine the measures required by the organization to comply with relevant health and safety legislation
− Ensure that risks are minimized by the correct application of risk control measures
− Prevent incidents from happening and the consequent injury and ill health
− Avoid legal enforcement action against the company and its managers
 A risk assessment should meet the following criteria to be suitable and sufficient
− Ensure competence of the assessor is fit for the purpose

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− Identify significant hazards and risks and suggest appropriate control measures for the same
− Record the significant findings of the risk assessment
− Evaluate the effectiveness of the current control measures
 Employers need to follow five steps while carrying out risk assessment in a workplace

1. Identify hazards
− The most important factor in carrying out safety in a workplace is to identify the hazard accurately. Some of the
hazard identification methods are as follows.
Workplace inspection Formal inspection to be carried out so as to identify the presence of hazards
Task Analysis Hazards are identified by breaking the work activity into smaller components
Sources of information to Internal Sources (e.g accident record, medical results, risk assessment, maintenance report) 03
consult;
External Sources (e.g National Legislation, MSDS, Operating Instructions, Safety Publications)

Legislation Identification of hazards based on the legal requirements

Manufacturers’ information Hazards are identified based on the information given in the manufacture’s Material Safety Data
Sheet (MSDS)
Incident data Hazards can be identified with companies’ own internal data i.e. previous incidents, accidents and
investigations

2.  Identify people at risk

− It is vital to identify the category of people who may be affected by the hazard. Some of them are
 Workers and operators
 Supervisory and managerial staff
 Contractors
 Cleaners and housekeepers
 Visitors/ customers
 Members of the public
 Vulnerable persons like young persons, pregnant women, lone workers and disabled workers

3.  Evaluate risk

− Risk rating
 It helps to determine whether to continue with the work with the existing control measures or adopt additional
control measures to reduce or eliminate the risks associated with the identified hazards
 It is calculated by the formula
Risk rating = Likelihood (of occurrence) x Severity (of hazard)

 Risk assessment official assigns the values for the hazard severity and likelihood of occurrence and put them in a 5x5
matrix to the achieve the high, medium and low levels of risk rating

Description of Likelihood (probability of occurrence) and Severity of Hazard

S.No Likelihood (probability of occurrence) Severity of hazard
Conditions Incidents Conditions Injuries
1 Very Unlikely Occur rarely Very minor injury Slight discomfort
2 Unlikely Not yet happened, but can occur First aid injury Cut and abrasion
Strain and sprain, requires few days of
3 Fairly Likely Happened, but uncommon Lost – time injury
hospitalization
Severe injuries or prolonged illness,
4 Likely Occur often Hospital treatment
requires treatment for several months
Life loss or results in permanent illness or
5 Very Likely Occur very often Disabling injury
disabilities

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Risk levels and control measures

Risk rating Action and timescale.

1-3 Acceptable – No action required

4-6 Acceptable. If simple action can reduce further then must be done within one week.
8-12 Tolerable however efforts should be made to reduce the risk.
15-16 Unacceptable - immediate action required to reduce risk.
Unacceptable - Work shall not be started or continued until the risk has been reduced. If reduction is
20-25
not possible, the activity shall be prohibited.

Risk level values may differ for different organisation

The prioritization of the implementation of risk control measures will depend on the risk rating (high, medium and low) but the
timescale in which the measures are introduced will not always follow the ratings
Residual, Acceptable and Tolerable risk

 The certain types of risks remain after the implementation of safety measures is called residual risks
 Tolerable risk means that it is not acceptable but can be tolerated for certain amount of time, say 12 hours, within
which the control measures needs to be implemented.
 Unacceptable risk means the risk is too high and immediate control measures are needed for this type of risks
 Possible acute and chronic health effects
Acute Health Effects Chronic Health Effects
 High levels of  Lower levels of exposure
exposure
 Short exposure time  Longer exposure time
 Quick effect e.g. high  Long term effect e.g.
concentration of repeated exposure to
chlorine gas solvents

 Principles to consider when controlling risk (section 3.10.1 ILO-OSH 2001 – ‘Guidelines on occupational safety and
health management systems’
− Preventive and protective measures should be implemented in the following order of priority:
» eliminate the hazard/risk
» control the hazard/risk at source, through the use of engineering controls or organizational measures
» minimize the hazard/risk by the design of safe work systems, which include administrative control measures;
and
» where residual hazards/risks cannot be controlled by collective measures, the employer should provide for
appropriate personal protective equipment, including clothing, at no cost, and should implement measures
to ensure its use and maintenance.
 General Hierarchy of Control (clause 8.1.2 of ISO 45001:2018)
− Eliminate the Hazards
− Substitute with less hazardous processes, operations, materials or equipment
− Use Engineering controls and reorganisation of work
− Use Administrative controls including training
− Use adequate Personal protective equipment (PPE)
4.  Record the significant findings

− The significant findings of the risk assessment should be recorded as this acts as a legal document in case of any
accidents and prove to any auditor or enforcement agency that the risks are adequately controlled

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5.  Review the risk assessment

− Reviewing risk assessment between specific intervals, say once in two or three years helps to maintain a risk free
workplace
− Significant changes in process, substances, equipments, workplace environment, personnel and legal standards
trigger the review of a risk assessment process
Application of Risk Assessment for Specific Types of Risk and Special Cases:

1. Fire Risk Assessment - Factors to consider

 Construction and use of building

 Emergency routes and exits
 Fire detection and warning systems 03
 Fire-fighting equipment
 Removal or safe storage of dangerous substances
2. Display Screen Equipment (DSE) Risk Assessment

If workers use display screen equipment (DSE) daily, as part of their normal work, continuously for an hour or more, employers
must do a workstation assessment.

Employers should look at:

 The whole workstation, including equipment, furniture, & work conditions

 The job being done
 Any special requirements of a member of staff, for example a user with a disability
3. Manual Handling Risk Assessment

Assessing Manual Handling Risks:

• Load

• Individual

• Task

• Environment

Remember as LITE or TILE

4. Hazardous Substances (COSHH) Risk Assessment

Factors to consider

 Gathering information about the substances, the work and the working practices
 Evaluate the Risk to Health
 Deciding on the necessary measures to comply with regulations
 Recording the Assessment
5. Noise Risk Assessment

Things to consider during noise risk assessments

 Who’s hearing checks show early signs of Noise Induced Hearing Loss (NIHL)?
 Where are the potentially noisy areas in the workplace?
 Who is working in them or visiting, and for how long?
 Do you have to shout in those areas to be heard?
 Is there any potentially noisy mobile plant being used by employees?

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Specific risk assessment methods are used for certain risks because of the following reasons

 For certain hazards more information is required to conclude on the risk level for e.g while using chemicals the risk
phrase i.e whether the chemical is a carcinogen or an irritant and the quantity of the chemical, whether it exceeds the
threshold limit, contributes to the risk level. A detailed study of the MSDS is also required.
 Other hazards like noise require a noise survey to determine the level of risk
 Determining control measures for fire hazards can be complex as it depends on the fire load of all the combustibles
that may be stored in a particular place.
 Specific risk assessment is a systematic approach and it contributes to a more detailed approach ensuring that all
factors are considered.
 The following groups of workers require special attention in the process of risk assessment.
S.No Types of persons Factors to be looked upon while risk assessment
1 Young person  Physical and psychological i.e. carried work within capacity or beyond capacity
 Exposure to chemicals or biological substances
 Type of work environment – Extreme hot or cold, noise or vibration
2 Expectant and nursing  Ergonomic issues like prolonged standing, sitting or awkward body movement
mothers  Ionizing radiation
 Manual handling
 Rest room facilities
3 Disabled workers  Health and fitness
 Competence
 Unsuitable work
 Medical facilities
4 Lone workers  Physical attacks
 Monitoring and supervising facilities
 Alarm responsiveness
 Entry and exist route

 Impact of Management of change (MOC)

Simple changes in workplace increase health and safety risks and, in some cases, lead to disasters e.g. Flixborough disaster
in the UK. Hence, MOC process requires procedures for both permanent and temporary modifications to ensure that the full
implications of any change are understood before it is put into practice, to ensure that new hazards are not introduced and
that existing risks are not unwittingly increased.

 Managing the impact of change by

− communication and co-operation
− risk assessment
− appointment of competent people
− segregation of work areas
− amendment of emergency procedures
− welfare provision
 Workers play a major role right from development to review of safe systems of work. This leads to develop positive
health and safety culture among the workers
 Documenting SSOW procedures ensure precise reference for all workers. It can also be used as a reference for use in
training and instruction in safe procedures.
 There are a variety of controls that can be adopted in safe systems of work. They are
− Technical:
» Engineering control is employed to minimize the hazards or risks.

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» It incorporates control measures such as fencing or barriers of different kinds to insulate workers from
hazards and failsafe devices to avert further damage to machinery and personnel in the event of failure
− Procedural:
» Describes safe ways of doing things to ensure that the work is done according to the procedure, legislation or
cultural requirements of the organization
− Behavioural:
» This includes best practices for promoting safe behaviours of individuals E.g: No smoking is permitted during
the task, hard hats must be worn
 Task Analysis methodology is adopted in the development of SSOW. It is the process of breaking down the operation
into small component tasks to identify the hazards at each component and suggest appropriate control measures for
the same.
 The steps in task analysis can be broken down using the acronym SREDIM
03
− Select the task to be analyzed
− Record the steps or stages of the task
− Evaluate the risk associated with each step
− Develop the safe working method
− Implement the safe working method
− Monitor to ensure its effectiveness
 The following factors are to be considered while developing a SSOW
− People – Who is it for?
− Equipment – What type of equipment involved? How it influence on health and safety performance
− Materials – What type of materials used or handled during the work? How to safe removal of material waste?
− Environment – In what type of environment conditions the work is carried out?
 Structured training needs to be developed and imparted to the workers before implementing a SSOW
 Effectiveness of the SSOW can be measured by periodic monitoring which involves
− Examining worker comfortability and adaptability in complying with SSOW
− Ensuring procedures laid down in SSOW are being carried out effectively
− Analysing of areas which require additional modifications
 The permit-to-work procedure is a specialized type of safe system of work under which certain categories of high risk –
potential work may only be done with the specific permission of an authorized manager
 The function of a permit-to-work system is as follows.
− Confirm if the specified work has proper authorization
− Identify the type of work and its limitations and suggest appropriate control measures
− Make sure suitable control measures are in place to deal with hazards arises out of work
− Ensure that hazards and residual hazards in the work area have been eliminated before undertaking high-
hazardous work in that work area
 There are four main sections in a permit-to-work:
− Issue
 This section identifies hazards and determines the safety precautions with respect to the work being carried out.

− Receipt
 This section ensures that the worker understand all the hazards, risks and necessary control measures to be imple-
mented for the work being carried out

− Clearance/Return to service
 This section confirms work completion in safe and secure conditions.

− Cancellation
 This section has an authority to cancel the work permit

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− Extension (Optional)
 This section grants additional time to complete work activities

 The following is the list of work activities that require permit-to-work

− Hot work – includes cutting, welding, brazing, soldering
− Work on Non-live (Isolated) Electrical Systems – includes working on high-voltage apparatus and high-voltage non-
live terminals
− Machinery maintenance – includes removal or disabling of safeguards and control systems, work inside the
machinery
− Confined Space - An enclosed place or partially enclosed place with limited space and accessibility
− Work at height - Work at height is a high risk activity as it has got the potential to cause maximum fatalities
 Emergency procedures comprise safe and secure plan of actions to be executed in the event of emergency
 Importance of developing emergency procedures is to avoid multiple casualties and possible financial collapse of the
organization
Things to be included in an emergency procedure with reference to HSG268: ‘The health and safety toolbox
 Plan essential actions such as emergency plant shutdown, isolation or making processes safe. Clearly identify
important items like shut-off valves and electrical isolators etc.
 You must train everyone in emergency procedures. Don’t forget the needs of people with disabilities and vulnerable
workers.
 Work should not resume after an emergency if a serious danger remains. If you have any doubts ask for assistance
from the emergency services
 Nominate competent people to take control (a competent person is someone with the necessary skills, knowledge
and experience to manage health and safety).
 Decide where to go to reach a place of safety or to get rescue equipment. You must provide suitable forms of
emergency lighting
Significance of People Need Training in Emergency Procedures
 Quick and effective actions may help to ease the situation and reduce the consequences.
 Training is essential to ensure that everyone knows what to do when there is an emergency, or disruption of business
operations
 Everyone needs training to become familiar with protective actions for life safety (e.g., evacuation, shelter, shelter-in-
place and lockdown
 Review protective actions for life safety and conduct evacuation drills (“fire drills”) as required by local regulations
 Employees should receive training to become familiar with safety, building security, information security and other
loss prevention programs.
Emergency procedures need to be tested as it helps the organisation to understand the following
 Is the emergency procedure working as expected?
 Have people at all levels understood their roles and responsibilities?
 Did the emergency staff operate the emergency equipment correctly?
 And did the equipments function as desired?
Following should be taken into account when deciding on First Aid needs in a Workplace
 General risk level of the workplace
 accident history
 Presence of vulnerable people
 Number of workers in the workplace
 Work pattern and shift systems.
 geographical location of the workplace
 Spread of the workplace
 Specific procedures like for e.g. workers working with certain chemicals

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Health and Safety Monitoring and Measuring 4 71

ELEMENT 4

HEALTH AND SAFETY 04

MONITORING AND
MEASURING

Learning Outcomes:

4.1. D
 iscuss common methods and indicators used to monitor the effectiveness of
management systems

4.2. Explain why and how incidents should be investigated, recorded and reported

4.3. E
 xplain what an audit is and why and how it is used to evaluate a management
system

4.4. E
 xplain why and how regular reviews of health and safety performance are
needed

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4.1 Active and Reactive Active monitoring methods (health

Monitoring and safety inspections, sampling
and tours) and their usefulness
The Differences between Active and
Reactive Monitoring Following is the list of different active monitoring methods.
We have seen previously that an organizations health  Safety Inspections
and safety management system is based on the P-D-C-A
 Safety Tour
Cycle. In this element we will be introducing ourselves to
the Check part or the monitoring of the health and safety  Safety Sampling
management system. Most of the active monitoring methods gather information
Managers need to check the organizations performance by looking at the following three aspects:
so as to verify whether the targets set have been met or  Documentation: by examining records, reports and
still something needs to be done to achieve them. This documents.
check can be done by active and reactive monitoring.
 Interview: by speaking to people concerned to gauge
Health and Safety Monitoring Methods: their views and opinions and,
Active Monitoring:  Observation: by looking at peoples’ behaviour and the
This is done actively before something goes wrong, conditions present, in other works looking at unsafe
involves routine inspections and checks to ensure that acts and conditions.
standards are met, policies are implemented and the Active monitoring will thus help us in actively monitoring
controls are adequate to take care of the risks present. It the workplace and help us prevent any untoward incidents.
measures the Progress Now the questions rises is, what is to be measured and
how are they going to be measured. We will now answer
both of these questions.

What is Going to be Measured: Creating

our Own Performance Standards:
Every organizations work type and culture is different
and what is measured by one organization need not be
measured by another. As such the products, processes
and environment also differs. The following are some
examples of performance standards which can be used for
active monitoring:
Reactive Monitoring:  We can monitor whether health and safety training
This is done after something goes wrong, like for has been imparted as per the agreed training
example an accident or an ill health event. This helps the calendar.
organization to learn from mistakes and put measures in
 Housekeeping can be monitored by dividing the
place to prevent its recurrence. It measures the Failures.
organization into various zones and comparing each
zone against a set checklist
 Checking the quality and number of risk assessments
 Checking whether safety inspections are happening
as per the schedule
 Checking if safety rounds have been conducted
 Whether workers are undergoing medical surveillance
as per the schedule
Once the performance standards are set, then we can go
about systematically checking them.

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Active (Proactive) Monitoring Methods in How to Carry out Systematic Inspections?

Detail: To ensure that while carrying out an inspection, nothing is
1. Safety Inspections: missed out, one way of doing this is by using the concept
of the 4Ps.
The term, safety inspection means a regular, scheduled
 Plants and substances - which include work
activity and there is a comparison done to some standards
equipment, manual and mechanical handling
to confirm acceptability.
equipment, vehicles, dangerous and flammable
A safety inspection involves the straightforward materials and hazardous substances.
observation of a workplace and/or the activities or  Premises - which include access, egress, working
equipment within it with the aim of identifying hazards environment and housekeeping areas
& assessing the use and effectiveness of control
 Procedures - which include risk assessments, permit
measures. It is usually carried out by a manager, employee to work, contractor management etc.
representative and Safety Advisor and is often aided by
 People - which include primarily the behaviour of the
the use of a checklist.
people, their training and ability and if they are vulnerable.
Safety inspections could be ‘routine’ which could be done Now, the above 4Ps inspections might be done in such 04
to check say the housekeeping standards of a workplace. a way as to all four elements are covered in a single
It could be either a ‘periodic’ inspection which is done at inspection or each of these elements may be inspected
a regular interval or a ‘pre-use check which is done at the separately, for e.g:
start of every shift. It could also be ‘statutory’ inspection
 A daily inspection (plant) may be carried out of the
to fulfill a legal requirement. fork lift trucks before start of operation each day by
the operator.
 Supervisors can check the behaviour of the people
once every week or fortnight.
 There could be random check of the procedures used
maybe once every week.
 A weekly round may be carried out to ensure that the
normal entrances/exits and the fire exits (premises)
are free of any hindrances and hazards.
The Arrangements Required to carry out
the Workplace Inspection
Who will do the Inspection: Along with the type of
Types of Safety Inspections: inspection it is also necessary to give specific responsibility
 Routine Inspection: To determine if general for each type of inspection. For example pre-use inspection
standards of health and safety are acceptable or is done by the operators themselves, while monitoring
if corrective action is necessary (e.g. a quarterly the behaviour of the workers is done by supervisors and
housekeeping inspection in an office). likewise a thorough check of a portable electrical machine
is done by maintenance.
 Statutory Inspection is performed by a competent
person to fulfill a legal requirement (e.g. the  The competence of the inspector- this is essential
annual thorough examination of an item of lifting to meet the objectives of the monitoring. A person
equipment). needs to be trained on how to carry out the
inspection correctly and should be clear as to what is
 Periodic Inspection of plant and machinery as part
acceptable and what is not. He may also require to be
of a planned maintenance program (e.g. a mechanic
certified and a record needs to be maintained of any
inspects the brakes on a lorry on regular basis to
training given.
ensure they are not excessively worn).
 The objectivity of the inspector- An inspector needs
 Pre-use-checks carried out by workers before they to be impartial and objective while carrying out an
use certain items of plant and machinery (e.g. the inspection.
startup checks carried out by a forklift truck driver).
The person carrying out an inspection should have the

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necessary  A lesser competent inspector can do the inspection,

provided that the checklist is created by an expert.
 Training
 Checklists themselves become a standard, with which
 Knowledge and experience
the actual situation can be compared with and there
 Certification to a specific standard
is also consistency of approach.
 Understanding of the workplace
 Finally a filled up checklist becomes a record for
 Health & Safety principles future reference.
 Willingness to ask questions However, there are certain drawbacks of checklists that
 Impartial and objective in their approach even in a we should be aware of:
familiar area
 Checklists need to be reviewed and revised regularly
Frequency of Inspection: as processes and procedures change. This may not
This depends upon the type of inspection and the hazards happen and older checklists may be used, thereby
present. For example an office would require less frequent overlooking certain new hazards.
inspections compared to a workshop, while the inspection  Checklists could be filled up from the desk without
of a hazardous chemical storage area requires to be done any actual inspection.
even more frequently. Other things to be considered are  Inspectors may overlook certain hazards which not be
the manufacturers’ recommendations and if there is any mentioned in the checklist.
law to govern the frequency, for example a statutory
Typical Topics that might be Included in a
inspection of a crane needs to be done once every year.
Generic Safety Inspection Checklist
Factors to be taken into Account while
 Housekeeping- cleanliness of the aisle, proper storage
Determining the Frequency of Inspection: of material.
 The level of risks in the activity.  Fire- Escape routes, emergency procedures, fire
 The manufacturers’ recommendations. detection, firefighting, proper storage of flammable
 The companies’ own internal policy. materials.

 In some cases the countries laws may determine the  Chemicals- correct storage and usage, compliance to
frequency. PPE.

 Inspection and audit findings may suggest a higher  Electrical- proper usage of portable tools, use of
frequency. protective devices.

 Previous accident history and results of investigations.  Environment- adequate lighting, noise and dust
controls and space.
 Complaints from workers.
 Vehicles- segregation of pedestrians, pedestrian
 Risk assessments may suggest Inspections
crossing zones, vehicle parking areas.
Tools Required for Inspection - The
Action Plan for the Issues Identified:
Checklist:
Post inspection there should be arrangements to rectify
Checklists are good tools to ensure the systematic and
the problems that may have been identified during the
correct inspection of the workplace. The following are the
inspection. The problems identified should be prioritized
merits of using the checklist:
and the same should be followed up until the controls are
implemented.

Active Monitoring Techniques (Contd.):

2. Safety Sampling:
A safety sampling is done to save on time as the inspector
looks onto a representative sample and depending upon
the sample been acceptable or not the inspector could
decide on compliance or non-compliance. For ex: if a
construction site has 25 different types of ladders, 2 may
 Checklists ensure that nothing is missed out during
be picked up by an inspector to check for compliance for
inspection.
safety norms and thus concludes that all of the ladders

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are compliant. But safety sampling cannot replace 100%  Lessons learnt from a single incident or
inspection. It goes without saying that somebody had  Lessons learnt from incidents as a whole that has
to do the 100% inspection and only to ensure that this happened, say in the last three years.
Data can be converted into trends which can tell the
organization whether the numbers of incidents are
showing an upward or a downward trend or

Data can generate hot spots so as to know, what areas of

the organization require specific management attention
so as to improve the safety performance.

The data collected needs to be converted into certain

indices to enable meaningful comparison. There are
different indices that industries generate for comparison.
One among them is the ‘accident incidence rate’ or the
AIR. Following is the formula:

AIR = (Number of accidents in the given period/ the

04
average number of people in the given period) x 1000.

This formula converts the incident data into a figure that

inspection is been done correctly a random sample is would be equivalent for every 1000 workers, thus allowing
picked up and confirmed. for comparison of data within each organization and
across organization.
3. Safety Tours:
This term implies a routine unplanned round taken by a high
Benefits of Collecting Near Miss Data:
ranking manager. The manager can take along with him We can identify underlying causes which may allow
the line manager, supervisor and workers representative. preventative action to be taken before something more
The main objective of this tour is for the observation of serious occurs. It gives message to workforce that all
workers’ behaviour and promotes consultation and shows failures are taken seriously not just those leading to injury.
visible leadership of the management.
Generally accepted near misses greatly outnumber
accidents and can therefore produce more data from
Reactive Monitoring Measures and
which a greater understanding of the deficiencies in
their Usefulness: management systems can be identified and rectified

This is done to learn from past incidences and prevent it Evaluation of Performance by Looking at
from happening in the future. The reports generated from the Enforcement Action:
reactive monitoring denotes the failures of the systems
The number of enforcement actions over the last several
and ineffectiveness of the control measures
years can also be converted into trends so as to analyze
Reactive monitoring examines the following to measure whether it is rising and if yes to find out the reasons for the
health and safety performance same. The fines issued by courts are also worth analyzing.
 Accident data Evaluation of the Performance by Looking
 Ill health data at the Civil Claims:
 Absenteeism data Workers or others affected by the organizations activities
 Claims records can approach the civil court against the employer to
 Number of complaints reported claim for compensation. Organizations may also track the
 Prosecutions number of civil claims year on year and the total amounts
paid to compare their performance reactively.
 Enforcement notices
Evaluation of Performance by using
Incident Data Statistics:
The data on above reactive methods can be analyzed from:

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Why lessons need to be learnt from The Difference between Leading and
beneficial and adverse events. Lagging Indicators
What are Beneficial and Adverse Events?
Sr.
Organizations with positive culture are always striving Leading indicator Lagging indicator
No.
to improve their health and safety performance. The
steps thus taken may result in the safety performance to 1 A leading indicator is Lagging indicators are
improve, like for e.g. a reduction in reportable accidents, proactive in nature. measurements that
or a decrease in compensation payments as a result of They include safety include data from the
reduced incidents and claims etc. These events which lead initiatives or reported past. They include
to improved performance are known as beneficial events. activities, with the goal of incidents and accidents
preventing unfavourable statistics.
While adverse events are those that lead to deterioration
events before they
of the health and safety performance. For e.g. an increase
happen.
in ill health or a large number of fire incidents.
2 Leading indicators are Lagging indicators
 The Lessons learned from both beneficial and adverse
generated as a result are generated as a
events is the learning gained from the process that is
of active monitoring result of reactive
applied.
activities like safety monitoring activities
 Each failure or success needs to be analysed, so that inspections, preventive like measuring hours
what has been done correctly and what has been not maintenance etc. lost due to reportable
is known to the organization. injuries.
 Beneficial events will give the confidence to the
management to replicate the processes that lead to 3 Leading Indicators can Examples of Lagging
such benefits all throughout the organization. For e.g. include: Indicators:
if the organization finds that the implementation of  Number and type  Injury Frequency
a new fire checklist has drastically brought down the of Safety Trainings and Severity
number of fire incidents, then the same may be taken completed vs planned  Lost Workdays
up by all the departments.
 Results of  Reportable
 Similarly, adverse events are something which needs Behavioural Audits incidents
to be investigated and the root causes needs to be
 Results of Safety  Employees
evaluated. The learning’s from such events and the
Audits compensation cost
ways to prevent it should be communicated across
the organization so that it does not repeat again.  Number of Toolbox  Chemical releases
Talks done vs planned
 Organizations understand that they will benefit
from better knowledge of accidents if they, in turn,  Participation in Safety
commit to improve their approaches to investigation, Committee
including the way these generate recommendations  Equipment/Machinery
and reports. The consequence should be lessons Maintenance vs
being learned, improvements made, fewer accidents planned
and so reduction in losses.  Hazard Identification
 Lessons learnt need not be only from events within & Risk Assessments
the organization but also from adverse and beneficial
incidents outside the organization. 4 Leading indicators will The results of the
help to improve safety lagging indicators
Organizations, thus take advantage of the key learning
through awareness will prove to the
opportunities given by both adverse and beneficial events.
and prevention and will management that the
In fact, it is a key feature of the P-D-C-A cycle which leads
show stakeholders that steps taken to improve
to continual improvement.
the company is taking occupational health
proactive steps to achieve and safety is actually
excellence in safety. working.

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4.2 Investigating Incidents Role and Function of Investigation:

An incident investigation plays the following roles:

 It is a reactive monitoring technique and hence

presents the organization with valuable data for
analysis (trends).
 A proper investigation helps us understand why
the incident happened and what could be done to
prevent it in the future.
 An incident would generally point out to a failure in
the risk assessments, at the same time the results
of an incident investigation will tell us what changes
needs to be done in the risk assessment by means of
additional or enhanced control measures.
This course concentrated in prevention of accidents till
now, but in spite of our best efforts, still accidents may  An investigation ensures that the staff isn’t
happen and same could lead to injury or damage to demoralized by the incident. 04
property.  Internally a company has to decide on disciplinary
measures against workers who may have played a
When an incident happens, it is important on the part of
part in the accident. Investigations are not to be
the organization to record it correctly and investigate it to
avoid a recurrence. carried out for putting blame on workers, but it
definitely throws light on who needs to be disciplined.
Clearly, there are good financial reasons for reducing
 An incident investigation is also a legal requirement.
accidents and ill health. Costing show that for every Rs.
100/- a business spends on insured costs, it can be losing  To process a claim from the insurance agency, an
between Rs.800/- and Rs.3600/- in uninsured costs. investigation is required.
 Incident investigation helps in calculating the costs of
The same accidents happen again and again, causing
suffering and distress to an ever-widening circle of accidents.
workers and their families. The investigation and analysis
Reporting of Incidents Plays the following
of work-related accidents and incidents forms an essential
Role:
part of managing health and safety. However, learning
the lessons from what you uncover is at the heart of  To preserve the accident scene for future
preventing accidents and incidents. Identify what is wrong investigations.
and take positive steps to put it right.  To meet the legal requirement to report incidents.
Carrying out our own health and safety investigations  To trigger the provisions of first-aid treatment.
will provide us with a deeper understanding of the risks
associated with our work activities. Blaming individuals is Different Levels of Investigations:
ultimately fruitless and sustains the myth that accidents
Minimal, Low, Medium and High
and cases of ill health are unavoidable when the opposite
is true. Well thought-out risk control measures, combined (With reference to HSG245)
with adequate supervision, monitoring and effective
The table below will assist you in determining the level
management (i.e. our risk management system) will
of investigation which is appropriate for the adverse
ensure that our work activities are safe. Health and safety
event. Remember you must consider the worst potential
investigations are an important tool in developing and
consequences of the adverse event (e.g. a scaffold collapse
refining our risk management system.
may not have caused any injuries, but had the potential to
An effective investigation requires a methodical, cause major or fatal injuries).
structured approach to information gathering, collation
and analysis. The findings of the investigation will form the
basis of an action plan to prevent the accident or incident
from happening again and for improving our overall
management of risk. Our findings will also point to areas
of our risk assessments that need to be reviewed. This link
with risk assessment(s) is also a legal requirement.

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Observation:
The scene of the incident needs to be approached and
physical evidence needs to be gathered, investigators may
observe for ex; a patch of oil or a broken tool or a tripped
off circuit breaker etc. These will be vital clues and aid
finding out the root cause of the incident.

To aid in these observations an investigator needs to come

prepared with appropriate equipment like:

 Cameras to capture the scene.

 Measuring tape to take measurements.
 Pen and notebook to take down the observation and
make sketches.

 In a minimal level investigation, the relevant Interview:

supervisor will look into the circumstances of the
There may be one or several witnesses to an incident.
event and try to learn any lessons which will prevent
Interviewing these witnesses provides with substantial
future occurrences.\
clues as to what caused the incident. Witnesses need to
 A low-level investigation will involve a short be interviewed at the appropriate time, some witnesses
investigation by the relevant supervisor or line manager may be in shock and may not be able to respond to
into the circumstances and immediate, underlying and queries adequately- this needs to be considered by the
root causes of the adverse event, to try to prevent a investigators.
recurrence and to learn any general lessons.
Following is the technique to be followed while conducting
 A medium-level investigation will involve a more
a witness interview:
detailed investigation by the relevant supervisor
or line manager, the health and safety adviser and  Interview to be carried out in a quiet room away
employee representatives and will look for the from the accident spot, so that there can be proper
immediate, underlying and root causes. interaction with minimum distractions.

 A high-level investigation will involve a team-  The interviewer should then introduce himself, and
based investigation, involving supervisors or line clear the purpose of the interview as something of
managers, health and safety advisers and employee a fact finding mission, rather than a fault finding
representatives. It will be carried out under the mission. Emphasis should be laid out on the fact that
supervision of senior management or directors and will the interview is important so as to find out the cause
look for the immediate, underlying, and root causes. of the incident and avoid it from happening again.
 The interview is to be recorded and signed at the end
Basic Incident Investigation Steps:
of the session as a record.
Before an incident investigation can start, the following  The interview should be carried out using open ended
things needs to be considered: questions like ‘What’, ‘where’, ‘why’ etc. This is to
1. Gathering the information prevent putting words into the witnesses’ mouth and
allow him to openly express his opinion.
2. Analysing the information
 The interviewer should keep an open mind and not
3. Identifying risk control measures
jump into conclusions.
4. The action plan and its implementation  End the interview by thanking the witness.
Step 1: Gathering the Information Documentation:
Information can be gathered by looking at the following Records and documentation will have to be referred so
three things: as to substantiate the physical and verbal evidence with
 Observation. written records. The records could be varied and exhaustive
 Interviews. (depends upon the type of accident and the depth of
investigation). In general the following documents may be
 Documentation.
checked and examined:

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 The relevant policies of an unauthorized access aisle, not looking where he’s
 Employee training records going, and heads towards a fire exit – a short cut to the
 Maintenance records car park.

 Sickness and absenteeism records The forklift truck driver sees the man at the last minute
 Risk assessments and brakes hard, but skids on a patch of oil left by a leaking

 Safe system of work forklift. He comes to an abrupt stop and the load falls onto the
warehouse operative, breaking his arm and bruising his leg.
 Site plans and layout
 Active monitoring records In this example the immediate causes are:

 Struck by the load

Step 2: Analysing the Information
 Load falling
The information gathered from the above, and then needs
to be analysed so as to find out the causes of the incident.  Forklift skidding
The causes of the incident are most commonly divided  Patch of oil
into:  Braking hard
 Immediate causes  Using the unauthorized aisle 04
 Underlying causes  Speed
 Root causes The underlying causes are:

Immediate Causes:  Forklift leaking

This as the name suggests is the immediate reason for the  Rushing to get the job done
cause of the accident. Let’s take that an operator hurt his  Speed limiter removed
finger while operating machinery. This would have been  Lack of maintenance or inspection
caused by a guard not present or the guard removed.
 Taking a short cut
The immediate causes are the result of ‘unsafe acts’ and
‘unsafe conditions’. In this case the unsafe act is removal  Leaving work early
of the guard, and the unsafe condition would be guard not The root causes are:
provided in the first place itself.
 Lack of supervision
Underlying Causes:  Work pressures
These are the causes which are behind the immediate  Poor customs and practices
causes. These could be like time pressures to complete the
task, not enough training or lack of maintenance. Step 3: Identifying Risk Control Measures
Control measures now need to be identified to remedy
Root Causes:
the situation. These measures should take care of both
These would normally point towards management the immediate and root causes. These control measures
deficiencies like no policy for training, no preventive should be well thought of for
maintenance of the machines, poor work practices.
 No control measures in place or if so not used
Let’s now take an example of an accident and try to find
 Prevent any wrong measures been implemented and
out the root causes:
thereby loss of time, cost and effort
You’re the manager of a distribution depot. It’s Friday
 Combinations of the above.
afternoon, close to the end of the working day.
Each possible risk control measure should be evaluated for:
One of your warehouse operatives has had enough for
the day and decides to pack up early. Meanwhile, in the  Their ability to prevent recurrences
warehouse one of your forklift truck drivers, who’s equally  Whether they are practical
keen to finish his work, is driving his truck loaded with
 Whether they will be used
boxes of paint. The forklift truck turns a corner and heads
 Whether they will remain effective
at speed along the aisle towards the loading bay.
It will be important to consider whether similar risks exist
At that very moment, the warehouse operative comes out
elsewhere in the premises or on another site.

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Information from the event, etc. should be circulated  Internal Incident Reporting:
to other areas. Organisations are particularly open to An organization through its incident reporting policy
criticism if a series of similar accidents occur. should put systems in place for incidents to be recorded
Example: and reported internally. It should specify the different
types of incidents that need to recorded, the means
 Immediate actions could be: cleaning up an oil spill, or
of reporting and the responsibilities of reporting and
replacing a guard.
recording the incident.
 Long term measures could be like: Creating a
A typical internal incident report would contain the following:
housekeeping policy and daily cleaning regime, or
preventive maintenance of the machines at regular  Name and address of the casualty
intervals.  Date and time of the incident
 Location of the accident
Step 4: The Action Plan and its
Implementation  Details of the injury
 Details of the treatment given
Remedial actions should be both corrective and preventive
and they need to be recorded in a systematic way so as  Description of the event causing injury
to make the plan actionable. The best way to do this is to  Details of any equipment or substances involved
create an action plan. Action plan in simple words can be  Witnesses’ names and contact details
described as “who will do what and by when”.  Details of the person completing the record
This action needs to be reviewed periodically so as to close  Signatures
out the action points within the stipulated period. The An organization having created a means of reporting the
action needs to be prioritized depending upon the severity incidents should then go about encouraging the workers
of the incident. Those actions, if not taken can lead to legal for reporting the incidents. But, unfortunately there are a
action, would obviously call for a higher priority. large number of barriers that may prevent a worker from
Following are the contents of a typical incident reporting incidents.
investigation form: Some of the barriers of incident reporting could include:
 Date and time of the incident.  No reporting policy in place.
 Location of the incident.  A work culture of not reporting.
 Details of the injured person/ persons involved.  Workers not aware that reporting of incidents is part
 Details of injury sustained. of their roles and responsibilities.

 Description of the activity carried out the time.  There is blame culture in the organization, workers
are afraid of disciplinary measures or of reprimand.
 Drawings or photographs used to convey information
on the scene.  Filling of the forms are too hard or takes too long.

 Immediate and underlying/ root causes of the  There is peer pressure that prevents reporting.
incident.  Once reported there is poor management response.
 Assessments of any breaches of legislation.  Some may not report so as to prevent the
 Details of witnesses and witness statements. departmental statistics from been affected which
may then further impact the earnings in the form of
 Recommended corrective action, with suggested
incentives.
costs, responsibilities and time scales.
Internally an incident may have to be notified to a range
 Estimation of the cost implications for the organization.
of personnel, the more dangerous the incident the
How occupational accidents and diseases are more higher up it will be have to be reported. Generally
recorded and notified by the organisation following are the personnel who would be notified about
(as per ILO Code of Practice – chapters 4–7) the incident:

When an incident happens, it needs to be recorded and  The top management.

reported. An incident would require to be reported both  The HR and personnel department.
 Internally within the organization and  The health and safety specialist.
 Externally to agencies.  Workers representative.

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Externally: Chapter III, Clause 11: Notice of certain

 To the family of the casualty. Dangerous occurrences
 Insurance companies. Where in an establishment there is any dangerous
 Public relations advisors. occurrence of such nature, (whether causing any bodily
injury or disability, or not) the employer shall send notice
Reporting of incidents to external agencies thereof to such authorities, and in such form and within such
Depending upon the type of incident, certain incidents time, as may be prescribed by the appropriate Government.
needs to be notified to the external agencies particularly Chapter III, Clause 12: Notice of Certain
the enforcement agencies. Following are the types of diseases
incidents that need to be reported to the enforcement
agency: (1) Where any worker in an establishment contracts any
disease specified in the Third Schedule, the employer
 Accidents that have resulted in major injuries or “Loss of the establishment shall send notice thereof to such
time injuries’’. authorities, and in such form and within such time, as
 Dangerous occurrences as notified in the law. may be prescribed by the appropriate Government.
 Occupational diseases.
These incidents need to be reported within a set time
4.3  Health and Safety Auditing 04
frame in the format prescribed by the enforcement Definition of the term ‘Audit’ (as per
agency.
Clause 3.32, ISO 45001:2018)
The ILO has published several international standards
on recommended reporting procedures. The principal
ISO 45001 defines audit as “a systematic, independent
and documented process for obtaining audit evidence
reference is the 2002 Protocol to the Occupational
and evaluating it objectively to determine the extent
Safety and Health Convention 1981 (P155); this greatly
to which the audit criteria are fulfilled.”
expands the general reporting standards of article 4 of the
occupational Safety and Health Convention 1981 (C155). It It is normally a lengthy process carried out by a trained
is supported by recommendation 194, which lists types of auditor, often someone from outside the organisation,
diseases that should be reported to national governments. looking at the strengths and weaknesses of the
organisation by using questionnaire.
The Indian connection: The Occupational Safety,
Health and Working Conditions Code - 2020 Why Health and Safety Management
Chapter III, Clause 10: Notice of certain accident Systems should be audited
1) Where at any place in an establishment, an accident An audit, if carried out systematically, would critically
occurs which causes death, or which causes any evaluate the organizations existing Health and Safety
bodily injury by reason of which the person injured is Management System (HSMS) and suggest for changes
prevented from working for a period of forty-eight which would bring about better results. It is a structured
hours or more immediately following the accident or way of assessing the health and safety performance of an
which is of such nature as may be prescribed by the organisation by multipronged approach as follows:
appropriate Government, then, — ― Documentation check
a) employer or owner or agent or manager ― Interview with staff
referred to in section 67of such establishment ― Direct Observation
if it is mine; or Post the audit, the auditor would present the findings of the
b) employer or manager in relation to such audit by means of a report and also give a gist of it during
establishment if it is factory or relates to dock the closing meeting. The findings of the audit could be
work; or a) Negative: failings of managements system.

This would normally be present in the report
c) the employer of a plantation or an
in the form of non-conformities (NC), which
establishment relating to building or other
could comprise of more serious issues like
construction or any other establishment, non- compliance to legal requirements or not
shall send notice thereof to such authorities, in following the requirements of certain clauses of
such manner and within such time, as may be the standards.
prescribed by the appropriate Government

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b) Positive: Also, there could be ‘Observations’ Some common causes of product design liability are:
or ‘Opportunities for Improvements’. These concealed or non-obvious hazards, lack of appropriate
are not so serious issues and infact represent safety devices, inadequate structural design, failure to
‘conformity’ but can be complied with for a more consider foreseeable misuses, inadequate warnings/
robust management system. Observations also
instructions and failure to comply with relevant safety
highlight the positive aspects of the management
standards. Strategies for minimizing these defects
system, which needs to be celebrated and
shared widely across the organization for parallel include: incorporating guarding and interlocks, structural
deployment. Such observations provide for analysis and testing and comparison with safety standards
‘organizational learning’ and also gives assurance and applicable regulatory guidelines. An effective product
to the stakeholders that things are in control and safety audit can identify many potential hazards, increasing
that the organization is proactively managing customer satisfaction and reducing the likelihood of
health and safety. injuries and safety recalls.
Whether the findings are negative or positive, the audit as
2. Process audit
a process helps the organization to continually improve.
This type of audit verifies that processes are working
Difference between Audits and within established limits. It evaluates an operation or
Inspections: method against predetermined instructions or standards
to measure conformance to these standards and the
effectiveness of the instructions. A process audit may:
Audit Inspection
 Check conformance to defined requirements such as
 Examines documents  Checks the workplace time, accuracy, temperature, pressure, composition,
 Examines procedures  Checks records responsiveness, amperage, and component mixture.
 Interviews workers  Usually quick  Examine the resources (equipment, materials, people)
 Verifies standards  Lower cost applied to transform the inputs into outputs, the
 Checks the workplace  May only require basic environment, the methods (procedures, instructions)
 Can be a long process competence followed, and the measures collected to determine
 Usually expensive  May be Part of an audit process performance.

 Requires a high level of  Done by a team  Check the adequacy and effectiveness of the process
competence (Manager, Safety Adv. controls established by procedures, work instructions,
Worker Rep) flowcharts, and training and process specifications.
 Done by Trained Auditor
3. System audit
Types of audit: Product/Services, An audit conducted on a management system. It can be
Process, System described as a documented activity performed to verify,
1. Product/ Service Safety Audit: by examination and evaluation of objective evidence,
that applicable elements of the system are appropriate
This type of audit is an examination of a particular product
and effective and have been developed, documented,
or service, such as hardware, processed material or
and implemented in accordance and in conjunction with
software, to evaluate whether it conforms to requirements
specified requirements.
(i.e., specifications, performance standards, and customer
requirements). A safety management system audit evaluates an
existing safety management program to determine its
The goal of a product safety audit is to identify design
conformance to company policies, contract commitments,
defects, which comprise a high percentage of product
and regulatory requirements.
liability claims. Compliance with government or industry
voluntary standards constitutes design minimums and may Similarly, an environmental system audit examines an
not be sufficient to ensure a “reasonably safe” product. environmental management system, a food safety system
Furthermore, in addition to ascertaining the potential audit examines a food safety management system, and a
hazards of a product when used as intended, auditing quality system audits examine the quality management system.
should attempt to identify foreseeable misuses of a
product as well. In addition, auditing applies not only to
the product itself, but also to accompanying instructions
and warnings, though these should only be used when a
hazard cannot be eliminated or guarded against.

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Advantages and Disadvantages of Pre- audit Preparations:

External and Internal Audits

Advantages Disadvantages

External  Independent of any  Expensive.

audits internal influence.  Time-
 Fresh pair of eyes. consuming.
 Already has audit  May not
experience. understand
 May have wider the business
experience of and so make This happens before an audit starts, and the following
different types of impractical needs to be defined upfront.
workplace suggestions.
 The scope of audit- which will tell us what needs to be
 Recommendations  May intimidate audited
workers and so
often carry more  The area of the audit- the departments in which this 04
weight. get incomplete
audit needs to be conducted.
evidence.
 May be more up to  The extent of the audit- whether a comprehensive
date with the law audit, companywide or selective audit, covering a few
and best practice. departments.
 May be more able  Who will be required - auditors will require a wide
to be critical, e.g. of variety of personnel with whom they would require to
management. conduct interviews, also the auditors would require
Internal  Less expensive.  Auditors may
escorts who will accompany them in their visits to the
audits  Auditors already not notice
workplace.
familiar with the certain issues.
 Information gathering - Normally an auditor would
workplace and  Auditors may
ask for a wide variety of documents which they would
what is practicable not have good
study upfront so they can prepare for the audit.
for the industry. knowledge
of industry or Competency of the Auditor:
 Can see changes
since last audit. legal standards. An audit can be done by a
 Improves  Auditors may single person or a group
ownership of issues not possess of people, nevertheless
found. auditing skills the auditors need to be
so may need competent to conduct
 Builds competence
training. the audit. A competent
internally.
 Auditors auditor would be
 Workforce may be someone who has the
are not
more at ease. relevant certification, has
independent so
 Familiarity with experience of conducting
may be subject
workforce and similar audits and has good knowledge of the companies’
to internal
individuals. processes. The above competence is required for both
influence.
internal as well as external auditors.
The Audit Stages:
During the Audit:
The process of audits involves several stages. Though
An audit would begin on the designated day at the
there are different types of audits but most would follow
designated time with an opening meeting. At this meeting
the following typical process:
both the auditors and the auditees will be present and
after the customary introductions, the auditors would
announce the scope and extent of the audit and the
schedule for the audit which is agreed mutually.

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Depending upon the schedule the auditor would then visit selecting the people to carry out the audit employers
each department and conduct the audit. The auditor would should be sure that the auditor is sufficiently strong of
gather factual information by looking at the following mind to deal with these situations. It is important when
evidences: carrying out internal audits that the auditor is impartial; this
will usually mean that the auditor does not audit a function
 Paperwork or
of the organisation that they have responsibility for.
documentation – the records
would indicate how well Time and Resources
the HSMS is working in the
Audits are an in-depth analysis of compliance with
organization. It would also
standards and must not be treated lightly. The planning
indicate to potential gaps.
of the audit alone can be very time consuming. Evidence
 Typically, an auditor may look gathering and verification can also take a long time,
at the following documents depending on the scope of the audit. Employers should
to gain evidence of conformity. not apply pressure on the auditor to get the job done in
– Health and safety policy. less time than is appropriate and must be prepared to
– Risk assessments and safe systems of work. allocate sufficient time to the task.

– Training records. Similarly, the auditor might need other resources than time,
such as access to documentation, measuring equipment,
– Minutes of safety committee meetings.
electronic storage facilities, and research facilities (internet,
– Maintenance records and details of failures. library, etc.) in order to do a thorough job.
– Active monitoring records.
– Reactive monitoring records. End of the Audit:
– Emergency arrangements and mock drill records. The audit would come to an end with a closing meeting
and the participants would generally be the same as that
– Inspection reports by insurance agencies.
of the opening meeting.
– Outputs of regulator visits.
The auditors will give a verbal feedback as to what their
– Records of any worker complaints.
main observations were and give a list of the improvements
 Interviews: An auditor would interview the workers required. The auditors would then follow up their verbal
and managers of each department audited to report with a written audit report which will in detail
understand how well the policies of the organization are speak about the recommendations for improvements and
understood at each level and whether they know their the timescales with priorities. An audit report may list a
roles and responsibilities towards health and safety. number of findings as follows.
 Observation: An auditor would take a round of the  Major non-conformance: These are significant issues
department audited and observe the behaviour of the which needs immediate attention. It would generally
workers and also to verify the correct implementation point out to legal issues or major failures in the HSMS
of the SSOWs. in avoiding accidents. In ISO terms, these would
mean denial of certification or even withdrawal of an
Selection of Staff already awarded certificate.
 Minor non- conformance: These are issues which are
less serious and would generally do not point to any
major weaknesses in the HSMS. These would require
corrective action to be taken in a set period of time.
They would not cause a failure in the system.
 Observations: Auditors may put forward their
opinions on certain issues pertaining to the HSMS.
These may or may not be implemented by the
organization.

If audits are to be carried out internally, organisations

should be mindful of the fact that, very often, the results
of the audit may appear to be critical of the organisations
and/or individual performance. This can lead to feelings of
resentment or even violence towards the auditor. When

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4.4 Review of Health and What the review should consider:

Safety Performance A wide variety of issues may be considered during the
review:
Why Health and Safety Performance
 Pending actions from previous reviews:
should be Reviewed The previous reviews would have a range of
recommendations which would have been converted
into action plans. Whether the targets set in the
action plan is achieved or not can also be reviewed.
 Legal compliance: Any legal compliance still pending
to be achieved should be reviewed and regularly
followed up for closure.
 Findings of active monitoring: The findings of safety
inspections/ surveys/ tours and sampling will feed into
the review which help the organization understand its
compliance with the set standards. 04
 Reactive monitoring data such as:
Following are the main purposes of Health and Safety
– Accident and incident data: This is a major
Performance review:
performance indicator for the organization
 Determine cause to prevent recurrence and would always form part of set targets.
 Identify weaknesses in management systems The number of incidents within the period of
discussion would be taken up and ascertained
 Identify weaknesses in risk assessment
whether it is within the set limits and whether
 Demonstrate management commitment the trends are encouraging or otherwise.
 Comply with country’s legal requirements – Absence and sickness data: This would help in
 Collect data to establish losses understanding whether the sickness is because
 Provide information for Civil/Criminal actions of occupational related diseases or otherwise.
 Provide information to insurance company Absence caused by workplace related stress
could also be reviewed.
 To meet the requirements of shareholders and
stakeholders  Quality assurance reports: In this the company’s
rejection and rework rates could be discussed
By ensuring that a cycle of continuous review takes place
and even the customer complaints. This helps the
at all levels at desired frequencies, the following purposes
company perform the role in the supply chain.
are achieved:
 Audit reports: Both internal and external audit
 The management keeps on continuously measuring reports will be discussed and major, minor non
its performance. conformities whether closed or yet to be closed
 It constantly updates their performance by comparing will be reviewed. Any worthwhile suggestions by
the set targets vs the achieved. the auditors can also be taken up and decided on
 It helps the management know whether enough is implementation.
been done to achieve the targets or more needs to be  Monitoring data/ records/ reports: Various
done. survey reports could be presented. For e.g. if dust
 It helps the management meet the commitments is considered to be problem for the organization,
set towards both their internal and external stake then the dust survey results could be presented and
holders. discussed.
 It demonstrates commitment of the management  External communications and complaints: Issues
towards continual improvement and thus boosts raised by the enforcement agencies or people living in
morale of the workmen and aid in the creation of the vicinity could be discussed.
positive health and safety culture.  Consultation: Issues discussed in the safety
committee meeting can be summarized.
 Objectives met: A wide range of objectives set at

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the planning stage can be discussed. Objectives could

be checked for achievement or the gaps could be
discussed and further course of action decided to
achieve the same within the set period.
 Legal and best practice developments: New
national and international laws may have been passed
and could require organizations to implement them
within the set time frame. These could be reviewed
and plans to implement them could be frozen during
the review.

Reporting on Health and Safety

Performance:
Review results on health and safety performance should
be communicated to the senior management level. This is
especially useful to enable all of senior management to

 Understand the existing workplace scenario and

necessary initiatives to be taken
 Determine whether the health and safety
management system elements are in place and
operating effectively across the organisation
In addition, results of the review should also be
communicated widely in the organization and especially
for those having responsibility to respond.

Feeding review outputs into action

and development plans as part of
continuous improvement:
The results of the discussion during the review meeting
are recorded in the minutes of minutes. These minutes
should feed into creating action plans which will help the
organization to achieve the decisions made.

The minutes as well as the action plan, needs to be

cascaded down the line to the line managers level and may
even be discussed in the safety committee meeting, so that
everyone is aware of the management’s commitments.
The minutes will help different levels as follows:

 Top management to set new targets and aid in

continual improvement.
 Middle management to review their own
performance and set enhanced targets at their levels.
 Line management to review their performance
and further cascade down the targets to the
workers level.

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Summary
 Positive health and safety culture of the organization can be achieved by proper monitoring of the health and safety
management system
 In general, health and safety performance of the organisation is monitored by two methods. They are
– Active (Proactive monitoring)
– Reactive monitoring
 Active (Proactive) monitoring – Evaluating health and safety standards before the occurrence of unwanted event. It
includes
– Safety inspections
– Safety tour
– Safety sampling
 Active monitoring gathers information in the following ways
– Documentation – Examine records, reports and documents
– Interview – Communicate with people to get views and opinions
04
– Observation – Watching people’s behaviour
 The following are some of the examples to derive standard of performance in an organisation
– Check health and safety training imparted to the workers as per the training calendar
– Monitor housekeeping activities in different zones again a set checklist
– Ensure safety inspections are happening as per the schedule
– Make sure workers are undergoing medical surveillance regularly
 Methods of active monitoring

– Safety Inspection
 It is a regular and scheduled activity that is carried out in comparison with accepted performance standards
 It involves straightforward observation of a workplace, activities, and equipment to identify hazards
 It is usually carried out by a manager, employee representative and Safety Advisor
 Types of safety inspections
Routine inspection Determines if general standards of health and safety are acceptable or if corrective
action is necessary
Statutory inspection Performed by a competent person to fulfill a legal requirement
Periodic Inspection This is to ensure that the plant and machinery are maintained properly
Pre-use-checks To ensure the equipment or system is in good condition and safe to operate before
operation

 Systematic inspections focus on four Ps for active monitoring of health and safety performance.
Types of P’s Areas to be inspected
Plant Work equipment, machinery and vehicles
Premises Workplace and its environment
People People’s working method and behaviour
Procedures Safe system of work, permit to work
 Allocating specific responsibility is essential for each type of inspection. This should be based on the relevancy and
competency of the individuals E.g: Pre-use inspection is done by the operators themselves, while monitoring the
behaviour of the workers is done by supervisors
 The person carrying out an inspection should have the necessary
– Relevant training, knowledge and experience
– Certification to a specific standard

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– Understanding of the workplace

– Health & Safety principles
– Willingness to ask questions
 Frequency of inspection is mainly determined by the nature of the work and level of risk. For example
– Frequent inspection is needed in case of work involving higher risks like scaffolding, forklift operation, and rigging
and dogging
– Inspection can be carried out once in a month or year for work involving lower risk like office-based environments
 The following factors should be taken into account while determining the frequency of inspection
– Level of risks in the activity.
– Manufacturers’ recommendations.
– Companies’ own internal policy.
– In some cases the countries laws may determine the frequency
– Inspection and audit findings may suggest a higher frequency.
– Previous accident history and results of investigations.
– Complaints from workers.
– Risk assessments may suggest inspections
 Checklist is a valuable tool to check the whether the inspection is covered in all aspects. It becomes a record for future
reference when it is filled.
 Checklist has some limitations like ignoring of other issues that are not included in it
 Appropriate action plan must be implemented for the issues identified during the inspection. It has to clearly define the
following
– Corrective action required
– Information of persons who executes the action plans
– Priorities/timescales
 Methods of active monitoring (Contd.)
– Safety Sampling
 It is a technique which uses list of standards or regulations to monitor whole workplace compliance by exam-
ining at a representative sample E.g: Effectiveness of 100 fire extinguishers can be analysed by examining and
testing the 2 fire extinguishers.
– Safety Tours
 It is a type of inspection which involves walking around the workplace to examine work environment, safety
practices and worker’s behaviour.
 It is usually carried by a group which includes worker representative, safety specialists, managers, and compe-
tent persons.
 Its main purpose is to reveal management’s commitment to health and safety.
 Reactive monitoring – This is done to learn from past incidences and prevent it from happening in the future.
(Reacting after things have gone wrong). It usually refers the following things to measure the health and safety
performance
– Accident data
– Ill health data
– Absenteeism data
– Claims records
– Number of complaints reported
– Prosecutions
– Enforcement notices

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 Analysing the database of reported accidents and incidents helps to identify trends in WSH and identify hotspot areas
(particularly those with high accident records) for enhancing the overall safety of the organisation
 Accident incidence rate (AIR) is used to compare organisation’s safety performance against a pre-defined standard.
Following is the formula
AIR = (Number of accidents in the given period / the average number of people in the given period) x 1000.
 Generally accepted near misses greatly outnumber accidents and can therefore produce more data from which a
greater understanding of the deficiencies in management systems can be identified and rectified
 Total number of enforcement actions and civil claims are also constitutes for measuring the safety performance of the
organisation.
 The investigation and analysis of work-related accidents and incidents forms an essential part of managing health and
safety
 When an incident happens, it is important on the part of the organization to record it correctly and investigate it to
avoid a recurrence
 Lessons need to be learnt from beneficial and adverse events because of the following reasons
– The Lessons learned from both beneficial and adverse events is the learning gained from the process that is
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applied.
– Each failure or success needs to be analysed, so that what has been done correctly and what has been not is known
to the organization.
– Beneficial events will give the confidence to the management to replicate the processes that lead to such benefits
all throughout the organization.
– Similarly, adverse events are something which needs to be investigated and the root causes needs to be evaluated.
The learning’s from such events and the ways to prevent it should be communicated across the organization so
that it does not repeat again.

 Leading and lagging indicators

– Leading indicator is proactive in nature. They include safety initiatives or reported activities, with the goal of
preventing unfavourable events before they happen.
– Lagging indicators are measurements that include data from the past. They include incidents and accidents
statistics.

 Role and function of investigation

– It is a reactive monitoring technique and hence presents the organization with valuable data for analysis (trends).
– A proper investigation helps us understand why the incident happened and what could be done to prevent it in the
future.
– It plays a major role to process a claim from the insurance agency
– Incident investigation helps in calculating the costs of accidents

 Levels of Investigations (With reference to HSG245)

– Minimal
– Low
– Medium
– High

 The following are the basic steps that can be followed for carrying out an effective accident investigation:
– Gathering the information - Information can be gathered by the following three things
 Observation
 Interviews
 Documentation
– Analyzing the information. – Gathered information needs to be analyzed to find out the causes of the incident.

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The causes of the incident are commonly divided into

 Immediate causes – Acts or condition that leads to a particular result or event
 Underlying causes – Acts or condition that leads to the development of immediate causes
 Root causes – Initiates a condition or acts that leads to dangerous outcomes
– Identifying risk control measures
 Control measures need to be identified to remedy the situation. These measures should take care of both the
immediate and root causes
– Action plan and its implementation
 Remedial actions should be both corrective and preventive and they need to be recorded in a systematic way
so as to make the plan actionable
 When an incident happens it needs to be recorded and reported. An incident would require to be reported both
− Internally within the organization and
− Externally to agencies.
 Internal incident reporting - An organization through its incident reporting policy should put systems in place for
incidents to be recorded and reported internally. A typical internal incident report would contain the following:
− Name and address of the casualty
− Date and time of the incident
− Location of the accident
− Details of the injury
− Details of the treatment given
 Reporting of incidents to external agencies - Depending upon the type of incident, certain incidents needs to be
notified to the external agencies like enforcement agencies. Some examples of incidents that need to be reported
− Accidents that have resulted in major injuries or “Loss time injuries’’.
− Dangerous occurrences as notified in the law.
− Occupational diseases.
 Some of the barriers of incident reporting includes
− No reporting policy in place.
− A work culture of not reporting.
− Workers not aware that reporting of incidents is part of their roles and responsibilities.
− Filling of the forms are too hard or takes too long.
− There is peer pressure that prevents reporting.
 The following are the personnel and agencies who would be notified about the incident:
Internal Incident Reporting External Incident Reporting
Top Management Enforcement agencies
HR and personnel department Insurance companies
Health and safety specialist Public relations advisors
Workers representative To the family of the casualty

 Each incident report as well as a set of incident reports will present to the management of an organization with
invaluable data which will help them in its analysis and help them in managing the prevention of incidents even better
 Finally all these reporting, recording and analysis of the incidents should culminate into lesson learnt, which can then
translate into awareness amongst the workers and overall health and safety improvement.
 ISO 45001 defines audit as “a systematic, independent and documented process for obtaining audit evidence and evaluating
it objectively to determine the extent to which the audit criteria are fulfilled.”
 The scope and purpose of the audit is to verify that
− Organization has an appropriate health and safety management system

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− Whether the implementation is done correctly with appropriate risk controls in place.
− Results obtained through implementation of the system matches with the goals set by the organization
 Health and Safety Management Systems should be audited because of the following reasons
Negative: Identifies the failings of management system. This would be non-conformities (NC), non- compliance to
legal requirements and not following the requirements of certain clauses of the standards.

Positive: Highlights the positive aspects of the management system and provides assurance to the stakeholders
that things are in control and that the organization is proactively managing health and safety.

 Difference between audit and inspection

− Audits are usually performed to check the effectiveness of health and safety management system like safety
policies, arrangements, procedures, and safe systems of work
− Inspections are carried to determine the hazards and risks associated with the particular type of work
 Types of Audit
– Product/ Service Safety Audit:
This type of audit is an examination of a particular product or service, such as hardware, processed material or
software, to evaluate whether it conforms to requirements (i.e., specifications, performance standards, and
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customer requirements).

– Process audit
This type of audit verifies that processes are working within established limits. It evaluates an operation or method
against predetermined instructions or standards to measure conformance to these standards and the effectiveness
of the instructions.

– System audit
An audit conducted on a management system. It can be described as a documented activity performed to verify,
by examination and evaluation of objective evidence, that applicable elements of the system are appropriate
and effective and have been developed, documented, and implemented in accordance and in conjunction with
specified requirements

 Before commencement of the audit process, the following things should be ensured.
The scope of audit  It should specify what needs to be audited. It may be company policy, health and safety
policy and so on
The area of the audit  Information about the departments or sites needs to be audited
The extent of the  Whether a comprehensive audit, companywide or selective audit, covering a few
audit departments
Who will be required  Auditors will require a wide variety of personnel with whom they would require to conduct
interviews
Information  Normally an auditor would ask for a wide variety of documents which they would study
gathering upfront so they can prepare for the audit

 Competency of the Auditor

− Auditors need to be competent to conduct the audit. He/she must be familiar with audit techniques, familiar
with work practices, have the ability to interpret standards and be in a position to be able to keep up to date
with new information and standard
− When selecting the people to carry out the audit, employers should be sure that the auditor is sufficiently
strong of mind to deal with any kind of situations
 During the audit, the auditor would gather factual information by looking at the following evidences

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Paperwork or documentation  Records would indicate how well the HSMS is working in the organization.
Typical record includes
– Health and safety policy
– Risk assessments and safe systems of work
– Training records
– Minutes of safety committee meetings
– Maintenance records and details of failures
– Active monitoring records
– Reactive monitoring records
Interviews  Interact with workers and managers to ensure how the policies of the
organization are understood and implemented
Observation  Observe behavior of workers and system of work to identify and analyse
problematic safety and other issues
 An audit report may list a number of findings as follows.
Major non-conformance  These are significant issues which needs immediate attention
Minor non- conformance  These are issues which are less serious
Observations  Auditors may put forward their opinions on certain issues pertaining to the
HSMS

 It is the responsibility of the organisation to implement all the recommendations and corrective actions recommended
in the health and safety audits
 Depending upon the audit report, the management team needs to come out with an action plan by assigning
responsibilities and approving resources to achieve them in the desired time.
 Monitor and analyse of activities related to organization’s operations like business structure, employee behavior is
called internal audit. It is normally carried out by competent person of the organization.
 Advantages and disadvantages of internal audits
Advantages Disadvantages
 Less expensive. Auditors are not independent so may be subject to internal influence
 Auditors already familiar with the Auditors may not notice certain issues
workplace and its processes and
operations

 Organization’s performance standards and health and safety policy is audited by third party is called external audit
 Advantages and disadvantages of external audits
Advantages Disadvantages
 No internal influence  Expensive
 Have wider experience auditing different  Time-consuming
types of workplace

 The purpose of reviewing health and safety performance to:

– Determine cause to prevent recurrence
– Identify weaknesses in management systems
– Identify weaknesses in risk assessment
– Demonstrate management commitment
– Comply with country’s legal requirements
– Collect data to establish losses
– Provide information for Civil/Criminal actions

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– Provide information to insurance company

 A wide variety of issues may be considered during the review
– Actions from previous reviews
– Legal compliance
– Findings of active monitoring
– Reactive monitoring data such as Accident data. Absence and sickness data etc
– Quality assurance reports
– Audit reports
– Monitoring data/ records/ reports
– External communications and complaints
– Consultation
– Objectives met
– Legal and best practice developments
 Review results of the health and safety performance should be informed to the senior management for necessary
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actions, processes and controls to be put into place
 The results of the discussion during the review meeting are recorded in the minutes of minutes. These minutes will
help different levels as follows:
– Top management to set new targets and aid in continual improvement.
– Middle management to review their own performance and set enhanced targets at their levels.
– Line management to review their performance and further cascade down the targets to the workers level.

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