Edcons Institute

NEBOSH IGC-1

NEBOSH IGC-1
1- Foundation

of Health & Safety

2- Health & Safety Policy
3- Organising
4- Planning & Implementation
5- Evaluation, Review, Accident,
Investigation

NEBOSH IGC-1

1- Foundation of Health & Safety

Introduction What is Health and

Safety?

Health
physical and social well being

Safety
freedom from unacceptable risk of harm

Welfare
looking after peoples basic needs

Environment
the surroundings in which an organisation
operates

Definitions

Accident

An unplanned, unwanted event

which results in a loss of some kind

ILO Definitions

Occupational accident - an occurrence

arising out of or in the course of work
which results in
Fatal or non-fatal occupational injury

Occupational injury
death, personal injury or disease
resulting from an occupational accident

Commuting accident

ILO Definitions

Near miss
An unplanned, unwanted event that had the
potential to result in a loss

Dangerous occurrence
Event as defined under national laws and
regulations, with potential to cause an
injury or disease to persons at work or the
public

Occupational disease
A disease contracted as a result of an
exposure to risk factors arising from work
activity

Definitions Hazard and Risk

Hazard
something with the potential to cause
harm

Risk
the likelihood that harm will occur, and
the severity of harm

Hierarchy of Statute Law

Acts
Acts are known as primary legislation. Passed by houses
of parliament. Acts lay down general duties and make
provisions for regulations and approved codes of practice.
Regulations
Delegated legislation made under the health & safety at
work act 1974, by the secretary of state often for EU
directives. Consultation is taken with the HSE and other
interested parties. Breaches under the regulations can lead
to enforcement notices.

Hierarchy of Statute Law

Approved Codes of Practice (ACOPs)
Produced by the HSE with consent from secretary of
state. Help to interpret how to comply with legislation.
One ACOP per specific regulation. Not legally binding but
can be used as evidence in court. ACOPs have quasi
legal status meaning an obligation invoked by law in
the absence of an agreement. ACOPs are easier to
amend than legislation, so guidance can be given to
industry more expeditiously.
Guidance
HSE guidance notes are there to give a greater
understanding of a certain regulation or a requirement
(best practice). No legal standing and cannot be used in
court.

Hierarchy of Statute Law

Approved Codes of Practice (ACOPs)
Produced by the HSE with consent from secretary of state. Help to
interpret how to comply with legislation. One ACOP per specific
regulation. Not legally binding but can be used as evidence in court.
ACOPs have quasi legal status meaning an obligation invoked by
law in the absence of an agreement. ACOPs are easier to amend than
legislation, so guidance can be given to industry more expeditiously.
Guidance
HSE guidance notes are there to give a greater understanding of a
certain regulation or a requirement (best practice). No legal standing
and cannot be used in court.

Why Manage Health and Safety?

Moral
reasons
Legal
reasons
Financial
reasons

1. Moral

270 million accidents and 160 million

diseases a year due to work

Estimated world labour force 2,400 million

335,000 fatalities

Estimated work-related disease mortality

992,000

Estimate for all work-related deaths is 2

million fatalities a year
4000 + per day

Moral Reasons:
Society places moral obligations on people to behave reasonably to one
another and to take care of each other. This is displayed through public
opinion and can be often seen in newspapers and other media after a maj
or incident or an act which offends the moral standard of
the majority of the public (such as murder, robbery and other crimes).

The public expects employers to take reasonable care of their employees,

schools to take care of the children in their care, hospitals to take care of
their patients.

It should not be a condition of work that an employee risks life and

health in doing their job.

Society also expects that the public are protected from harm

Legal: Punitive
As a result of public pressure parliament has made laws
and regulations to define the behavior
expected of people and organizations, to expose those
who do not

comply with these standards of acceptable behavior and

to punish them using fines,
imprisonment and publicity of their conduct.

Extreme cases a winding up order can be issued by the

courts in order to close an organisation and individuals w
ithin an organisation can be prosecuted and imprisoned.

Legal: Preventive
The government appointed regulators for health & safety
(the HSE and Local Authorities) have legal powers to
issue notices which have legal
status and can prohibit dangerous activities (prohibition
notices) and force changes (improvement notices) to
prevent accidents.
Failure to comply with these can also result in fines and
imprisonment as a result of court action.

Legal: Compensatory
Civil law allows people who have suffered harm
as a result of health &safety
failures to sue for compensation for their pain and
suffering and to compensate for future losses
expected to be incurred as a result of an injury or ill
health.

Civil Law

Compensation payments
Action by an individual against another
individual or body
Civil courts
Insurance schemes to pay damages

Punitive damages
where a Defendant has broken the law
such as
an abuse of power by a government
employee
or conduct motivated by a focus on profit

Liability
Fault liability - the Claimant must show that
they were owed a duty of care
the duty of care was breached
the breach of the duty of care led to the injury or
loss

No fault liability
Employer liable for actions of employees

Criminal Law

Punishment
Offence against society

Minimum standards
Prescriptive
Goal setting

Punishments
Fines
Imprisonment
Etc

Financial:
Organizations require money to operate and achieve
their aims and part of this is controlling costs. Business'
exist to make a profit for their owners, so controlling
costs and maximizing profit are of prime importance.

Managing health and safety is a readily

measurable cost, but less readily available is the cost of
not managing health and safety.

3 - Financial Reasons

Economic losses are equivalent to 4%

of world's gross national product

Shattered families and communities

Cost of absenteeism, medical
treatment, disability and survivor
benefits
Loss

Sales @ 1%

Sales @ 2%

Sales @ 4%

25,000

2,500,000

1,250,000

625,000

The Hidden Cost to Employers

Insured costs
Injury, ill-health, damage

Uninsured costs

Product/material damage
Plant/building damage
Legal costs
Emergency supplies
Site clearance
Production delays
Overtime
Investigation time
Clerical effort
Loss of expertise

The Hidden Cost to Employers

Direct costs include
First aid treatment, sick pay, lost production
time
Fines and compensation

Indirect costs
Lost time for investigation
Lost morale and damaged worker relationships
Cost of recruitment of replacements
Lost reputation

Employers Liability Compulsory

Insurance (UK)

Insurance is increasingly expensive

claims have increased
about twice the rate of premium increases

Limited liability which may be linked

to performance

implied or expressed terms

breach of legislation makes policy void or
avoidable

Compulsory in most cases

Frameworks for Regulating Health and

Safety

The European Model

goal setting

The American Model

prescriptive

The International Labour Organisation

common

The European Model

Directives introduced which contain

the principles and objectives to be

attained by national legislation in each
Member State
Chemical Agents Directive
Physical Agents Directive
Carcinogens Directive

UK
HASAWA 1974
Management Regulations

The American Model

OSHA establishes a prescriptive

standard

and local State Law

Process Safety Management Standard

Process safety information
Process hazards analysis
Operating procedures
Training

International Labour Organisation

UN body establishes and maintain

international standards on labour and social

issues in the form of
Conventions (mandatory)
Recommendations (not mandatory)
Codes of practice and reference manuals (not
mandatory)

Standards are often adopted by countries

with limited existing law

Enforcement

Rights of Enforcement Inspector:

Power of Inspectors
Informal
verbal
in writing

Formal
improvement notice
prohibition notice
Prosecution notice

Implementation of Legislation

Factors that will influence

enforcement include

an adequate number of trained and

competent regulators
development of information resources in
hazard controls to employers
uniformity of approach
setting targets for future improvement
fostering co-operation between the parties
involved

International and National Standards

Labour and product standards

ILO-OSH 2001
Guidelines on Occupational Safety and
Health Management Systems

European standards
CEN
CENELEC

Sources of Information

Employers should provide employees

with relevant and comprehensible
information on
Risks arising from the work
Risk control measures
Emergency procedures
Names of competent persons
Risks from third parties

Sources of Information
Internal
Risk assessments
Policies
Inspection reports
Medical records
Accident records
Safety committee minutes
Plant registers
Health and Safety Practitioner (Advisor/Officer etc)
Health and Safety Representative
Company safety library

Sources of Information

External
Government sources
National Safety Organisations
Suppliers and manufactures
International, European & British
Standards
Consultants and specialists
Worker insurance companies and unions
The internet

NEBOSH IGC-1

Health & Safety Management System

Health and Safety Management

ILO-OSH 2001
OHSAS 18000
HSG65
Management systems
align health and safety objectives with business
objectives
establish a framework for health and safety
management
establish a set of effectively communicated
policies, procedures and objectives
establish a continuous improvement framework
provide an auditable baseline for performance

Main elements of ILO-OSH 2001

management system

1.Policy
2.Organising
3.Planning and implementation
4.Evaluation
5.Action for improvement
Emphasis on continual improvement

Main elements of ILO-OSH 2001

management system

1.Policy
2.Organising
3.Planning and implementation
4.Evaluation
5.Action for improvement
Emphasis on continual improvement

Main elements of ILO-OSH 2001

management system
1. Policy

A business plan for safety

In three parts
Statement of intent
Organisation and responsibilities
Arrangements for health and safety

Main elements of ILO-OSH 2001

management system
2. Organizing
Competence - in recruitment, transfer and
training
Control - commitment to the management
of health and safety
Co-operation internally and externally
Communication - flow in all directions

Main elements of ILO-OSH 2001

management system
3. Planning and Implementation
Setting objectives
Identifying hazards
Assessing risks
Implementing controls

Main elements of ILO-OSH 2001

management system
4. Evaluation
Active monitoring
Reactive monitoring

Audit
Review

Main elements of ILO-OSH 2001

management system
5. Action for Improvement
Preventive and corrective action
Continual improvement

Health and Safety Management

Systems

OHSAS 18001: 2007

Occupational Health and Safety
Assessment Series

Element -2
Health & Safety Policy

What is a Health and Safety

Policy?

Objectives
protect people from injury and ill health
comply with legal requirements
manage health and safety

Policy Layout

1. Statement of Intent

2. Organisation

3. Arrangements

Communicates the
importance of and
commitment to health
and safety
Who is responsible
for what

How the policy is

to be
implemented

Policy Statement of Intent

The importance of health and safety
Management intentions
provide safe and healthy working conditions

Commitment to

effective leadership
continuous improvement
complying with the law
allocating resources
communication and consultation

Recognition of personnel

Policy Organisation
Identify key roles
Clearly define roles and responsibilities
of management and workers

Identify competent persons

Person(s) appointed to provide assistance
Safety Representatives
Representatives of Employee Safety

Health and Safety Committee

Specify training requirements
Identify external sources of advice
Identify the role of emergency services

Arrangements
Detail of how

responsibilities will
be carried out
Planning
annual plan

Organising
consultation
training

Controlling
risk assessment
common hazards
contractors

Monitoring
inspections
noise, hazardous
substances, etc
accident statistics

Reviewing
regular review

The Role of Health and Safety Policy in

Decision Making

Targets
Specific
Measurable
Achievable
Realistic
Time bound

Rates of injury
Incidence rates
Frequency rates

Ineffective Policies

Policy not driven by management

No objectives set
Health and safety not given priority
Lack of resources
Content not understood
Emphasises employee responsibilities
Lack of monitoring
Lack of awareness
No management training

Circumstances to Review Policy

Some reasons for
review

Changes in:
key personnel
management
structure
ownership
processes
technology
legislation

Higher Incident Rate

Enforcement action
After audit
After worker
consultation

Passage of time e.g.

annual

Element -3
Organising

Organisation

Infrastructure required to achieve

organisational goals
internal parties
external parties

Inputs
Processes
Outputs

Roles and Responsibilities

Internally
Employer
Directors and Senior Managers
Middle Managers and Supervisors
Health and Safety Advisor

Externally
Persons in control of premises
Self employed
Supply chain
Clients and contractors

Provide a safe
workplace

Provide safe work

equipment and
substances

PPE but Do not

levy charges

Duties of
Employers
Provide information,
instructions,
training, supervision

Provide
consultation

Provide
emergency
procedures

Provide
adequate
welfare facilities

Duties of Employees

Co-operate with their employer

Consult with their employer
Report dangerous situations
Receive information etc
Take care for the health and safety of
themselves and others
Use Equipment as instructed by employer or
manufacturer
Not to temper with health & safety equipment
Report all the incident and accident
Perform the task as assigned

Controllers of Premises

Premises are safe

Safe access and egress
Plant and substances are safe and
without risk to health

Information about emergency services

Information about underground
services

Proper display of emergency signs

Designers, Manufacturers, etc

Ensure articles and substances are

safe

and without risk to health

Carry out testing

Provide information on their products

Health and Safety Advisers

Health and Safety Advisers should
be trained and suitably qualified for the level
of risk
maintain adequate information systems
interpret the law in the context of their own
organisation
establish management and risk control
systems
Help to develop organization health and
safety policy
establish and maintain emergency
procedures
present their advice independently and
effectively
Participate in accident investigation

Relationships Outside the

Organisation

Enforcing Authority

Equipment

Fire Service
Insurance companies
Contractors
External consultants
Architects and engineers

manufacturers and
suppliers
Clients and
customers
The Police
Occupational health
practitioners
Members of the
public
The media

Type of Contract

Labour only
Fixed price
Totally separate sites

Five Steps to Managing

Contractors
Step 1 Selecting a
Contractor

Step 2 Planning the Job (Risk

Assessment & Method Statement)

Step 3 Controlling
Contractors on Site (PTW)
Step 4 Checking
Contractors Work

Step 5 Reviewing
the Contractors
Performance

Management of Contractors
Client

Responsibilities

Contractor

Responsibilities

H&S of employees
contractor employees

H&S of employees
client employees

public or third parties

public or third parties

Management of Contractors

Problems arise because of

Unsuitable methods of selection
Poor planning of contractor work
Little agreement over the method of
carrying out the work
Poor communication regarding risks
Poor monitoring or supervision

Health and Safety Performance

Number of Accidents

Safe place
Safe person

Technical improvements (hardware)

Process and procedural safety (software)
Human factors

1970s

1980s

1990s

2000s

Health and Safety Culture

Culture is
the product of individual and
group values, attitudes,
competencies and patterns of
behaviour that determine the
commitment to, and the style and
proficiency of, an organisation's
health and safety programmes
the way we do things around
here

Positive Culture

Tangible outputs
increased
compliance with rules and procedures
staff morale

reduced
staff complaints
staff turnover
absenteeism
sickness and accident rates

Organisational Factors

Planning
Organising
Controlling
Monitoring
Reviewing

Internal Influences

C_________?
C_________?
C_____?
C_-_________?
C_____________?
Production/service demands?

Indicators of Culture:

Accident rates
Absenteeism
Sickness rates
Staff Turnover
Enforcement Action Records
Complaints from employees about
working conditions

Positive Culture
Factors include

senior management commitment

ownership of health and safety at all levels
effective communication
health and safety training
shared view of risks and acceptable behaviour
learning from experience
balance of health and safety and production
external factors e.g. economic climate

Influences on Behaviour at Work

INDIVIDUAL

ORGANISATION

Culture, leadership,
resources, work patterns,
communications..

Competence, skills
personality, attitude,
perception..

JOB

Task, workload, environment,

display and controls,
procedures..

External Influences
Societys
expectations
Economic
conditions

Unions and
Stakeholders

Political
priorities

The
Organisation

Insurance
companies

Legislation
and
enforcement

Agencies
Pressure
groups

Management Commitment

Factors include
robust management system
senior management leadership by
example
targets for each manager
management training
provision of resources
measurement of targets
recognition of good performance

Leadership and Example

Ensure health and safety is a key business
priority

Visible senior management commitment

Involve senior management in monitoring
performance

Develop a trusting relationship with staff

Co-operation between management and
workers

Measure senior management performance

Job Factors

Ergonomics
Extent of decision making
Procedures, information and
instruction

Working environment
Maintenance of workplace and
equipment

Working time

Ergonomics
Inter action between worker his work environment,
work equipment, task and Equipment.

The study of humans and how they interact with

work equipment
work environment
work method
Design task to fit human
good posture
reduce human error
Controls and information
Faults and emergencies
Visible and understandable
Feedback
Logical layout
Consistent and expected

Extent of Decision Making

Individual capability
Complexity of the job
Degree of automation
Knowledge of risk
Encouragement to seek assistance
Availability of information and
assistance

Procedures, Information and

Instruction

Clear, unambiguous, understandable

Consulted for clarity and workability
Monitored for compliance
SAFE SYSTEM OF WORK

The following safe system of work

shall be used when removing
swarf from machines:
1
2
3

Working Environment

Physical stresses imposed by poor

working conditions
Heat/cold
Noise
Lighting
Fumes/Dusts etc.

Maintenance and Working Time

Poor maintenance
Poor housekeeping
Unsociable hours
Fatigue
Recovery period

Individual Differences
Physical
age
physique
physical condition
gender

Psychological
attitude
aptitude
motivation
perception
personality

Socio-cultural
education
experience
home life
peer groups
job satisfaction
job security

Personal Factors Increasing Risk

Poor attitude to work
Low motivation
Inadequate physical capabilities
medical conditions
lack of stamina/strength

Inadequate mental capabilities

poor reasoning

Poor perception of risk

alcohol or drugs

Immaturity
Lack of training and/or
experience

Attitude

Attitude
the tendency to respond in a particular
way to a given situation

Factors

background
personality
anxiety
experience
expectation
peer group

Ability and Aptitude

Ability
capacity to perform a particular physical or
mental function

Aptitude
natural predisposition towards an ability

Perception

Perception
the way people interpret and make sense
of presented information
sensory input
mental processing

Perception

Factors affecting perception

nature of the hazard

previous experience
familiarity with the situation
feeling in control
level of training
peer pressure
confidence in others
personal characteristics

Perception

Improving employee perception

increasing awareness of hazards
involving people in the risk assessment
process
increasing knowledge
identifying reasons for employees'
misperceptions
addressing environmental factors

Motivation
The driving force

Self
behind the way a
realisation
person acts in order
achievement
to achieve a goal Social Self esteem
group affinity
ego, status

Safety

emotional and
physical

Physiological
basic needs

Maslows Hierarchy
of Needs

Human Failures
Skill based
errors

Errors

Slips of
action
Lapses of
memory

Rule based
Mistakes
Knowledge
based

Human
failures
Routine
Violations

Situational
Exceptional

Reasons for Non Compliance

Lack of motivation
Unrealistic working procedures
Lack of management commitment
Over-familiarisation with the task
Repetitive work
Peer group pressure
Inadequate or ineffective supervision
Fatigue and stress
Lack of information, training and consultation
Job insecurity

Reducing Human Error and

Violations

Competence
Motivation
Role clarity
Supervision
Information and instructions
Drugs and alcohol prevention policies
Environmental conditions
Task design

Age and Experience

Age

Issue

Below 18
years old

not fully developed

may perceive risk in a different way
less experienced

20s to
30s

learning and developing skills and experience

growing in maturity
new skills and unfamiliar routines may cause rule based
mistakes

working for over 20 years

experienced with the work, workplace and risks
may be over-familiar
new technology may cause knowledge based error

40s to
50s

60+

loss of physical strength and manual dexterity

may be more prone to injury

Promoting Safe Behaviour

Discipline
Reward
Inform
Facilitate
Train
Involve
Cooperation

Involving Employees in Health and

Safety
Participation in
risk assessments
accident investigations
development of safe systems

Defect reporting
Suggestion schemes
Training and information
Health and safety committee
Joint inspections
Mentoring new and inexperienced workers

Training and Competence

Training
the systematic
development of
attitudes, knowledge
and skills to perform
adequately a task or
job

Competence
knowledge
skills
experience
personal qualities
knowledge of
limitations

Training Needs Analysis

1. Analyse the content of the job and the performance
standards

2. Identify the knowledge skills and experience

(competence) needed

3.
4.
5.
6.

Assess the individual's existing competence

Implement the training
Evaluate the training
Monitor the effectiveness

When is Training Needed?

Induction training
Additional training
new or increased risks

Refresher training

Factors to be considered include:

The type and function of the organisation

The hazard and risk profile
The accident history of the organisation
There may be statutory training
requirements
The level of training previously provided,
together with the detail of which
employees have been trained and when.

Induction Training of New Employee:

Health and safety policy

Emergency procedures
First aid
Welfare facilities
Safe movement
Accident and incident reporting
Consultation arrangements
Safety rules
Personal protective equipment
Safe working and permits
Risk assessment system

Toolbox Talks

Consider

target audience
training style and methods
number of trainees
time available
skills required of the trainer
training aids required
training facilities
evaluating the effectiveness of the talk

Health and Safety Communication

Getting the right message to the right

person at the right time

Requires
personal competence
knowledge and understanding
purpose

Barriers to Communication

Presenter
and/or
Message
jargon
ambiguity
complexity

Receiver
sensory
Place
impairment
noise
learning
PPE
issues
distractions
inexperience
motivation

Exam question

Explain why it is important to use a

variety of methods to communicate

health and safety messages (8)

It is important to use a variety of methods because individuals

respond to many stimuli and that variety prevents overfamiliarisation with one method and helps to reinforce a
message.
There may be a need to overcome barriers created by different
languages, or by the inability of some employees to read, and so
methods including written, oral, visual and practical examples
will need to be used.
There may be environmental factors such as noise or other
distractions such as wearing protective equipment to be
considered. These may inhibit the ability of a person to
concentrate or hear; therefore methods other than the spoken
word may be necessary.
Sometimes there may be the need to motivate, stimulate interest
and gain involvement of colleagues, and this may not be
achieved if the same message is repeated by the same media
over and over again.
Different types of information will require different methods of
communication. For example, a system of working that is
complex and high risk will need to be written down so that
operators can refer to it and are not expected to remember the
details from oral instructions alone.

Methods of Communication

Written

safety policy
handbooks
risk assessments
health and safety articles
letters and memoranda
Minutes of Meetings
press releases
accident reports

Methods of Communication

Oral

tool-box talks
demonstrations
informal training sessions
team briefings/meetings
safety committee
lectures
telephone
discussions
instructions

Methods of Communication

Visual
posters and notices
photographs
videos
charts/graphs
body language

Propaganda

Target a specific issue

Be close to the problem
Support known procedures
Set realistic standards
Be actively supported at all levels

Visual Communication

Posters
advantages and disadvantages?

Films and videos

advantages and disadvantages?

Health and Safety Representatives

Functions
Represent employees on general health
and safety matters
Investigate hazards, accidents and
complaints
Carry out inspections of the workplace
Consult with enforcement inspectors
Attend Safety Committees
Participate in health and safety committee

Rights of Health and Safety

Representatives

ILO C155
Access to the workplace and workers
Protection from dismissal etc
Contribute to the decision making process
Contact enforcement officers
Contribute to negotiations
Receive appropriate training
Reasonable paid time to perform their
duties
Reasonable facilities

Health and Safety Committees

Objectives
study of statistics/trends
examination of safety audit reports
consideration of reports and information
assist the development of procedures
monitor training, communications,
publicity
link with enforcement authority

Committee Meetings
Agenda items
review of

progress against objectives

recent incidents
safety inspections and audits
new or impending legislation

enforcement authority reports

amendments to policy and risk assessments
effectiveness of health and safety training
introduction of new equipment and processes
employees concerns
management concerns

Effective Committees

Right number and mix of members

Adequate authority
Knowledge and expertise
Good communications
Suitable level of formality
Predominantly pro-active
External input
Access to specialists
Minutes of meeting
Limited individual input
Identified and agreed priorities

Ineffective Committees

Lack of management commitment

No clear terms of reference
No agenda
Uneven balance
Lack of respect
Poor leadership
No influence on management decisions
Infrequent meetings
Trivial topics
No access to information/advice

Emergencies

Fire precautions
First Aid Emergency
Individual, Group
Other emergencies
Flood
Criminal damage
Bomb threats
Storm
Earth Quake

First Aid

Aim
Preserve life and minimise the
consequences
Prevent Deterioration
Promote Recovery
Treat minor injuries that do not require
medical attention

Assessment of First Aid

Requirements

Nature of the work

Size of the organisation
Past accident history and accident types
Nature and distribution of the workforce
Remoteness of the site from emergency medical
services
Needs of travelling, remote and lone workers
Employees working on shared or multi-occupancy
sites
Annual leave and other absences of first aiders
Provision for nonemployees
Other relevant factors trainees

First Aid Personnel

Appointed Persons
take charge of
situation
send for ambulance
basic knowledge
one day course

First Aiders
preserve life
treat minor injuries
four day course which
is certificated and has
3 yearly refresher

First Aid Equipment

Information for employees

First aid boxes
First aid rooms

Number of Appointed Persons and

First Aiders

For low risk situations

Appointed Persons - one at all times
First Aider - at least one per 50 employees

Element -4
Planning & Implementation

Hazard and Risk

HAZARD
Something with the
potential to cause
harm

RISK
Combination of
Likelihood and the
severity of the harm

The Risk Assessment Process

suitable and sufficient
cover all work aspects such as people, activity,
equipment, environment and materials
take account of the way work is organised
identify the significant hazards and risks
evaluate the risks if it is acceptable, tolerable, or
unacceptable
identify control measures
enable priorities to be set
take account of non-routine operations
take account of risks to the public
competent persons to conduct the assessment
ensure it is valid for a period of time

Competence of Risk Assessor:

Experience and training
identifying hazards
risk assessment (estimation and evaluation of risk)
Ability to consider existing controls and to provide
suitable control measures

Knowledge of the process or activity

Technical knowledge of the plant and equipment
Good communication with people involved
Report writing skills
Ability to interpret legislation and guidance
The right attitude

HSE Guidance

Look for the hazards

Decide who may be harmed and how
Evaluate the risks and decide on
precautions

Record the findings and implement

them

Review and update

Step 1 - Identify the Hazards

Task observation
Accident, ill-health
or near miss data

Workplace

inspections

Job safety analysis

Legal standards
Guidance
Consultation

Step 2 - Decide Who May be

Harmed
Employees
Operators
Maintenance workers
Cleaners
Persons nearby

Nonemployees
Agency workers
Contractors
Visitors
Members of the
public

Vulnerable groups
Young workers
New and expectant
mothers
Night workers
Home workers
Lone workers
Disabled staff

Step 3 - Evaluate the Risk

Existing control measures

adequacy
effectiveness

Risk estimation
likelihood and severity

Further control measures

elimination or reduction of risk

Existing Control Measures

Baseline risk assessment

workplace precautions
hardware controls at the point of the hazard
procedural controls

risk control systems

Provision and correct use

Risk Estimation

Qualitative risk assessment

judgements against standards

Semi-quantitative risk assessment

risk ranking

Hierarchy of Controls
Eliminate the hazard
Reduce the hazard
Isolate the hazard
Control the

Safe
Place

hazard(Engineering)

Provide PPE
Discipline to ensure the above
measures are effective
(information, instruction,
training, supervision,
monitoring, health
surveillance)

Safe
Person

Guidance and Minimum Legal Standards

Guidance shows good practice

Minimum legal standards
Machine guards
Traffic
Noise and vibration
Chemicals and substances
Ionising radiations

Residual risk
Prioritisation based on risk

Step 4 - Record Significant

Findings

Adequacy of existing controls

People affected
Extent of the risk
Further actions required
Reference to other documents used in
the assessment

Step 5 Review the Assessment

After significant change
If any reason to suspect it is no longer valid
accident, ill-health, near miss or dangerous occurrence
new equipment/changes to equipment, plant, processes
or personnel
changes in legislation
monitoring or audit results
enforcing authority or insurance company action/advice
new information
improved control measures
young persons, new/expectant mothers or disabled
persons
periodically

Special Cases for Risk Assessment

Young Persons

Issues
lack of knowledge
body not fully developed
attitude
take risks
peer group influence
over enthusiastic

Risks to Children and Young People

Physically demanding work
Psychologically demanding
Physical agents
Biological/Chemical agents
Work equipment
Dangerous processes
Dangerous workplaces

Special Cases for Risk Assessment

New/Expectant Mothers

Issues
development of the unborn child
health of the mother

Aspects of pregnancy
backache
tiredness etc

Risks to New or Expectant Mothers

Physical Agents

heat, noise, vibration, manual

handling, radiation

Chemical Agents

carcinogens, substances such

as lead, mercury etc

Biological Agents

cause abortion of the foetus or

neurological damage

Working Conditions
mining, DSE, etc

Special Cases for Risk Assessment

Disabled Workers

Issues
reduced mobility
access to welfare
facilities
reduced
sensory input
communication
reach distances

Solution
consider disabled
persons during risk
assessment
make reasonable
adjustments

Special Cases for Risk Assessment Lone

Workers

Situations
one person on
premises
working separately
outside normal
working hours
away from base

Risks
condition of location
equipment
pregnant, young or
disabled
no emergency
facilities
no training,
supervision and
communication

Exam Question

Outline the factors that should be

considered in carrying out a risk
assessment (8)

The factors that should be considered when carrying out the risk assessment
are:
1. The nature of the activities being undertaken including what is being done,
where, and any equipment and materials involved.
2. The hazards involved which could arise from the process and cause injury
or ill health or both. For example, these might include machinery hazards
such as traps or entanglement leading to crushing of hands etc.
3. The likelihood and severity of harm that could be caused to enable a
simple estimation of the priorities for further control measures to be
introduced.
4. The number of employees exposed to the hazards. Generally, the more
people exposed the more likely it is that someone will suffer harm.
5. The duration of exposure to the hazards. For example, the longer
individuals are exposed to a noise hazard, the greater their chances of
becoming deaf.
6. The competence of those carrying out the work. What skills and
knowledge do individuals require for the safe operation of the process.
7. An evaluation of existing control measures such as machine guards or
personal protective equipment. Are these suitable or are more effective
controls required?
8. The competence of those conducting the assessment. Do they have the
training and experience and knowledge of the process to be able to
effectively conduct the assessment?

General Principles of Prevention

Avoid the risk

Evaluate the risks which cannot be avoided
Combat the risks at source
Adapt the work to the individual
Adapt to technical progress
Replace the dangerous
by the non-dangerous or less dangerous

Develop a coherent prevention policy

relating to the working environment

Give collective protective measures priority

over individual protective measures

Give appropriate instructions to employees

General Hierarchy of Control

Safe Place

Eliminate
Reduce
Isolate
Control
PPE
Discipline

Safe Person

Benefits of PPE

Low cost
Short term measure
Portable
Disposable PPE reduces the risk of
infection

Protect user from harm

Easy to use

Limitations of PPE

It
It
It
It
It

does not eliminate or reduce a hazard at source

only protects the wearer
fails to danger
may introduce new hazards
relies on workers to use it
uncomfortable
worn for part of the shift
worn incorrectly
does not fit
not compatible with other PPE/equipment
does not offer the right protection
used when damaged
not adequately maintained causing contamination
usage need enforcement

Provision of PPE

Risk assessment
other measures reduce the risk at source

Further risk assessment

level of risk
performance data for PPE
comparison of types

Effective PPE
hazards, risks, ergonomics
duration, standards

Provision of PPE

Compatibility of PPE
Maintenance and replacement of PPE
Accommodation for PPE
Information, instruction and training
Cost of PPE

Use of PPE
Factors that affect use include

fit
health of worker
period of use
comfort
maintenance
training
interference
management commitment

Reporting losses or defects

Main Types of PPE

Head
Eye protection
Feet
Hands and arms
Body
Respiratory

PPE

Head
Eyes
Feet and legs
Hands
Whole body
Lungs

Crash helmets

Safety helmets

Bump caps

Hair nets

PPE

Head
Eyes
Feet and legs
Hands
Whole body
Lungs

Safety spectacles

Eye shields

Safety goggles

Face shields

PPE

Head
Eyes
Feet and legs
Hands
Whole body
Lungs

Steel toe cap

Anti-pierce

Anti-static

Chemical resistant

Hot metal

Thermal insulation

PPE

Head
Eyes
Feet and legs
Hands
Whole body
Lungs

Kevlar or chainmail

Neoprene, Nitrile, Rubber, PVC

Leather

Rubber

PPE

Head
Eyes
Feet and legs
Hands
Whole body
Lungs

Temperature extremes

Chemical resistance

High visibility

Waterproof

Falls

PPE

Head
Eyes
Feet and legs
Hands
Whole body
Lungs

Respirators

Breathing apparatus

Face fit test

Assigned protection factors

Operative exposure = 70 PPM

WEL = 35 PPM

Minimum APF = 2

Respiratory Protection
Respirator - filters

the surrounding air

dust masks
positive pressure
powered respirator
cartridge type
respirator

Breathing apparatus
- supplies purified
air

air hose
air line
self-contained
breathing apparatus

Limitations

Respirator

Breathing Apparatus

Incorrect filter selection

Heavy backpacks

Ergonomic considerations

Restricted time of use

Incompatibility with other

PPE

Entanglement of airlines
or obstructions

No air supplied where

oxygen is depleted

Regular maintenance and

training

Safety Signs and Signals

Sign board
Illuminated sign
Acoustic signal
Verbal communication
Hand signal
Warning tape
Signs (Safety, Warning, Mandatory,
Prohibition, Fire)

Objective

Overcome reading and language

difficulties

pictorial symbols
standard shapes
standard colours

Safety Signs

A Safe System of Work

A formal procedure which results from a

systematic examination of the task in order

to identify all the hazards

It defines safe methods to ensure that

hazards are eliminated or risks minimised

and step by step method to perform task is
developed.

The SSOW can be in the form of check list,

instruction or detailed manual.

E.g. Crane operation, confined space, work at

height, lone working

Key Elements

Planned in advance of the work

Isolated and non-routine tasks
Consider disability or experience

workers
Familiarity breeds contempt
Established by
written instruction
training
enforced

Competence

Writers of SSOW need

understanding of the task
knowledge of hazards and risks
interpret standards for control
awareness of their own limitations
communication skills

Developing a Safe System of Work

Job Safety Analysis

Select the task to be studied
Record each stage of the task
Evaluate the risks
Develop a safe system of work
Implement the system
Monitor the effectiveness

What is a Permit To Work System?

A documented control system

requiring written confirmation that

certain actions have been carried out
before a specific high risk activity is
carried out
Machinery maintenance
Confined spaces
Excavation close to buried services
Hot work
Work on or near overhead cranes

Operation of a Permit to Work

Issue (Authorised Person)

Receipt (Execution Authority)
Task Activity
Clearance of Site
Cancellation/Closing
Extensions

Confined Space:
any space of an enclosed nature where
there is a risk of serious injury from
hazardous substances or dangerous
conditions.
Confined space is a space which has
limited entry and exit, where one has to
enter bodily and which is not suitable for
continuous human occupancy.

Examples of a Confined Space

Cellars
Deep excavations
Enclosed drains
Sewers
Silos
Storage tanks
Combustion chambers
Ductwork
Open-topped chambers
Unventilated or poorly ventilated rooms
Vats

Confined Space Hazards

Hazards may
be present in the confined space
enter the confined space
be introduced by the work

Fire or explosion
Loss of consciousness due to
increased body temperature
asphyxiation

Drowning
Asphyxiation due to a free flowing solid or
entrapment

 Eliminate /Avoid
ModifySpace
the confined
space
Confined
Entry Safe
System of Work:
Do the work from outside
clear silo blockages using remotely
operated vibrators
inspection and sampling operations from
outside
remote cameras for internal inspection
clean using long handled tools

Risk Assessment

The task
materials
environment
equipment
people

Emergency rescue
Existing control measures
Further control measures

Safe Systems of Work Confined Space:

Appoint a supervisor/ PTW, Emergency

Isolate energy sources
Gas purging
Provide ventilation
Clean before entry
Test/monitor the atmosphere
Provide special tools and lighting
Provide PPE, Entrant
Arrange communications (Attendant)
Limit working time
Permit-to-work, information sign

Emergency Procedures
Confined Space:

Communications
Rescue and resuscitation equipment
Capabilities of rescuers
Shut down adjacent plant
First aid procedures
Local emergency services

Lone Workers
On site
Only one person works on the premises
People work separately from others
People work outside normal hours

Off site (peripatetic or mobile workers)

On construction etc
Agricultural and forestry workers
Service workers
Professionals who visit customer and client
premises

Lone Work Risk Assessment

Does the workplace present a special

risk

Potential consequences of injury

Safe access and egress

Safe plant, equipment, substances etc
Manual handling issues
Risk of violence
Special risks to women or young
persons

Lone Worker Considerations

Medical conditions
Sufficiently experienced
Training to control, guide and help in
situations of uncertainty
Avoiding panic reactions

Employers should set the limits to

what can and cannot be done while

working alone

Lone Worker Supervision

Periodic visits and observation
Regular contact using either a telephone or
radio

Automatic warning devices operated

manually or automatically by the absence of

activity

Checks that a lone worker has returned to

their base or home on completion of a task

Emergency procedures
Access to adequate first-aid facilities
Mobile workers should carry a first-aid kit

Element 5: EVALUATION

(Monitoring or Measuring Performance)

Accidents:
Accident
an unplanned, unwanted event which results in
loss

Incident/near miss
an unplanned, unwanted event that has the
potential to result in loss

Occupational ill-health
any acute or chronic ill-health caused by physical,
chemical or biological agents as well as adverse
affects on mental health

Incident, Accident and Ill health

Investigation

Reasons for investigation

prevent future accidents
demonstrate concern
identify weaknesses in management
systems
prevent business losses
collate accident and ill health data and
establish trends
comply with legislation
defend claims/prosecutions

Reporting of Accidents
Notification
Immediately by telephone

Reporting
Accidents and diseases
Commuting accidents
Dangerous occurrences and incidents

Reasons Why are accidents not reported?

Ignorance of reporting procedures

Peer group pressure
Preserve safety record
Complicated procedures
Lack of feedback
Avoid receiving treatment

Accident Reported to:

Incident Reportable to Authority

Some incidents need to be reported

to regulator by law, e.g.

Fatality
Major injury
Dangerous occurrence
Disease
Lost time injuries
Member Public Involved

Content of Incident Report Form

Name and address of casualty

Date and time of accident
Location of accident
Details of injury
Details of treatment given
Description of event causing injury
Details of any equipment or substances
involved
Witnesses names and contact details
Details of person completing the record
Signatures

Domino Theory
Adverse events have many causes
What may appear to be bad luck can, on analysis,
be seen as a chain of failures and errors that lead
almost inevitably to the adverse event
This is often known as the Domino Effect

A Lack of management control

B Indirect causes
C Direct causes
D Accidents
E Injury

Accident Categories
slips/trips/falls on the
same level

falls from height

falling objects
collision with objects
trapping/crushing
manual handling

contact with

machinery/hand tools

electricity
transport
contact with chemicals
asphyxiation/drowning
fire and explosion
animals
violence

Investigation

Steps to take following an

incident/accident

emergency response
initial report
initial assessment and investigation
gathering further information

Investigation

Level of Incident Investigation?

The decision should be made on potential
consequences and the likelihood of
another event occurring

Investigation

Who should investigate?

supervisors and line managers
a senior manager
a senior manager from another
department
health and safety professionals
a specialist (engineer)
Safety Representative
an employee experienced in the work
activity

Investigation

What equipment will be required?

camera
writing materials
paper or investigation forms
measuring tape
area plans
protective equipment
a checklist

Four Steps to Investigation

1.
2.
3.
4.

Gather the information

Analyse the information
Identify the risk control measures
Take action

1.

Gather the Information

Establish the facts

what activities were being carried out at the time?
was there anything unusual?
were there adequate SSoW and were they
followed?
was the risk known - if so why wasnt it controlled?
did the organisation and arrangement of the work
influence the accident?
was maintenance and cleaning sufficient?
was the safety equipment sufficient?

Gather the Information

Other factors
nature of the work (routine)
specialist examinations
medical reports
interviews/witness statements
do not dismiss contradictory evidence

Gather the Information

Documentary evidence

risk assessments
SSoW
incident/accident history
training records
maintenance records
equipment instructions
monitoring (dust, noise etc)
supervision rota's
inspection reports
pre-start equipment checks

2.

Analyse the Information

Analysis should determine

cause of the injury
immediate causes
underlying causes
root causes

3. Reasons for Accidents

There may be
no control measures in
place
control measures in place
that were not used
control measures in place
that failed
combinations of the above

Identify the Risk Control Measures

Apply the following hierarchy

Elimination
Safe place
Safe person

ERIC Prevents Death (ERIC-PD)

4.

Take Action

Investigation report should provide

summary and conclusions
details of the person injured, the date,
time, location
information gathered
analysis of the information
recommendations
action plan

 Identify the reasons why Accident

records should be kept
monitoring trends
prevent a recurrence
legal reasons
health surveillance
defend civil claim/criminal action
For Bench Marking
For provision of H & S Resources
For Measuring the performance
For review of H & S management system

Collecting Data
Collecting data
incidents and accidents
work related ill-health

Analysing data
category of person
injury type
part of body injured
age
work activity
shift/time of day
location of accident

Data can identify trends

and be compared with
other benchmarks

Accident Statistics

Incidence rate

no. of reportable injuries

no. of employees

Frequency rate

no. of reportable injuries

no. of hours worked

Severity rate

x 100 000

no. of reportable injuries

time lost

x 100 000

x 100 000

Communicating Accident Data

Safety committees
Local team briefings
Company magazines
Board room performance reports
Performance reviews for managers
Annual reports

Identify Limitations of Accident Statistics

Zero accidents does not necessarily indicate

low risk

Data is based on past failures

Underreporting
Statistics can be manipulated
Individual differences
Different risks in different jobs and tasks
A single (unusual) event can greatly
influence statistics

Reasons for Poor Reporting of Accidents

Unclear organisational policy

No reporting system in place
Culture of not reporting (peer pressure)
Overly-complicated reporting procedures
Excessive paperwork
Takes too much time
Blame culture
Apathy poor management response
Concern over impact on
organisation/individuals
Reluctance to receive first aid

Monitoring/ Measuring
Performance/ Evaluation
Active:
Looking at control measures to see if they are correct
and being used before accidents, etc. are caused
Active Monitoring Measures progress
Reactive:
Using accident, incident and ill-health data to
highlight areas of concern
Reactive Monitoring Measures failure

Active Monitoring Methods

Safety Inspection

Examination of workplace, statutory inspection,

plant and machinery, pre-use checks, documents,
human behavior

Safety Sampling

Representative sample to judge compliance

Less time-consuming

Safety Survey

Detailed examination of one issue, topic

Safety Tour

High profile inspection by managers

Can be used to observe behaviours too

Monitoring worker health - a proactive measure

Shows effectiveness of controls

Health Surveillance

Benchmarking
Measurement tool to compare performance
internally or externally

identify key performance indicators

ensure monitoring procedures are effective
feed in to the continuous improvement cycle
provide the ability to identify normal practice
among peer businesses and to compare
performance
avoid making mistakes by learning lessons from
others
generate management focus, interest and,
therefore action
gain the confidence of stakeholders

Typical topics of H & S Inspection:

Fire safety
Housekeeping
Environment issues
Traffic routes
Chemical safety
Machinery safety
Electrical safety
Welfare facilities

Features of H & S Inspection

A straight observation of a workplace or the
activities or equipment, behavior.
Usually carried out by a manager or employee
representative, trained person
Often aided by the use of a checklist
May be carried out routinely
Has the aim of identifying hazards &
assessing the use & effectiveness of control
measures.
It is recorded procedure which can be reffered
It is systematic and it can be legal compliance

Workplace Inspections
Limitations
some hazards not
visible
some hazards not
always present
unsafe practices may
not occur during the
inspection

Types of inspections
general workplace
inspections
statutory inspections
compliance
inspections
commissioning
inspections

Frequency
Competence

Inspection is carried out by:

A physical

inspection of premises, plant

and equipment. Undertaken by:
Directors

/ Supervisors / Line

Managers
Health
Joint

& Safety Advisor

teams of managers and

employees
Safety

Representatives

Workplace Inspections

Competence of inspectors
knowledge of workplace inspection
techniques
advantages and disadvantages

understanding of process or service

knowledge of hazards and controls
ability to complete checklist or write
report
experience

Inspection Checklists
condition of processes and

plant
contractors
electrical
environmental conditions
transport routes
fire protection
first aid provision
hand held/portable tools
hazardous substances
housekeeping/cleanliness
lifting equipment
lighting

manual handling
machinery guarding
noise
personal protective
equipment
pressure vessels
safe access/egress
signs and abstracts
suitability of stored
materials
temperature/ventilation
welfare conditions

H & S Inspection
Factors to consider:
Type of inspection
Frequency of inspection
Allocation of responsibilities
Competence of the inspector
Objectivity of inspector
Use of checklists
Action planning for problems
found
Training for inspectors

Inspection Reports

Inspections must lead to corrective

action

Actions to eliminate or control hazards

must be

clearly defined
prioritised
allocated to responsible persons for action
allocated deadlines for completion
allocated a review date

Report Writing

Introduction - Your terms of reference.

Summary - Short outline of important
points

Method - What you did to comply with

your terms of reference.

Findings - A logical list of what you

found.

Conclusions - Nothing new at this stage.

Recommendations - Relevant &
achievable.

H & S Audit
A safety audit is: A thorough, systematic and critical
examination of safety management systems and
procedures
It should be carried out to:
Asses the quality & implementation of the
safety policy
Identify potential risks and their associated
control measures
Analyse workplace activities and assess if they
are being carried out safely

Audit

Determines the
existence,
adequacy,
and use
of a health and safety management system

Types of Audit

Management system audit

internal/external

Management system audit of

contractors

internal/external

Certification/registration audits
external
to assess conformity with OHSAS 18001

Features of H & S Audit

Critical examination of an organization's safety
management systems & procedures.
Carried out by a trained auditor, often someone
from outside the organization.
It is a structured way of assessing the H&S
performance of an organization by supplying
answers to a series of questions,
Often involves a scoring system such that
improvements can be made
Identify the gaps between set standard and actual
performance

Objectives and Scope

Objectives
extent of conformity
with the SMS
evaluation of legal
compliance
evaluation of whether
SMS achieves
objectives
identification of areas
improvement

Scope
Comparison

Extent and

boundaries
physical locations
business units
activities and
processes
other disciplines
time period

Pre Audit Preparation

1. Setting audit objectives
2. Selecting the audit team
3. Notifications and contact with the
auditees
4. Information gathering
5. Interviews
6. Draw conclusions
7. Report and presentation
8. Action by the organisation

Internal and External Audits

Internal audits

External audits

Advantages

Disadvantages

Cheaper

More expensive

Easier to arrange

More time required to organise

Informal, non-threatening

Disadvantages

May be influenced by internal

relationships

Conclusions may not taken

seriously

May be bias

Assumptions influence
conclusions

More formal, more threatening

Advantages

Less knowledge of internal

relationships

Increased formality and

experience may give weight to
conclusions

Independent of internal
competition

Independence requires auditors

to ask obvious questions

Typical information examined during

an audit:

Heath and safety policy

Risk assessments
Training records
Minutes of safety committee meetings
Maintenance records
Record of monitoring activities
Accident investigation reports and data
Emergency arrangements
Inspection reports from insurance companies
Regulator visitors
Worker complaints

Difference between Audit & Inspection

Audit
Examines documents
Examines procedures
Interviews workers
Verifies standards
Checks the workplace
Can be a long
process
Usually expensive
Requires a high level
of competence

Inspection
Checks the
workplace
Checks records
Usually quick
Lower cost
May only require
basic competence
Part of an audit

Reactive Monitoring

Dealing with things that went

wrong!
Accidents, incidents, ill-health,
other unwanted events and
situations
highlights areas of concern
things that have already gone
wrong
measures failure
2 methods
lessons from one specific event,

Reactive Monitoring
Data collected and reported about:

Accidents
Dangerous occurrences
Near-misses
Ill-health cases
Worker complaints
Enforcement action

Assist in analysing
Trends events over a period of time
Patterns hot spots of certain
types, e.g. injury

Reactive Monitoring

Enforcement actions

Often required during pre-tender

qualifications

Civil claims

Total cost of claims can be calculated

May be affected by:

Advertising campaigns on Court

orders
Dissatisfaction with organisation

H&S Review

Dynamic, living document

Review if change to
organisational structure
working arrangements
premises
legislation
as a result of monitoring or
enforcement
periodically

Reason for Performance Review

Review and evaluate the effectiveness of the
management system
and promote continual improvement
Does the organisation
achieve objectives
implement effective risk controls
ensure the effectiveness of training,
communication and consultation programmes
learn from management system failures
implement lessons learnt across the whole
organisation
meet legal standards
reduce the risk of accidents and ill-health

Why H & S Review (to Check)

Are we on target?
If not, why not?
What do we have to change
to continually improve?
Essential part of management
system
Requirement of ISO certification
For OHSAS 18001 Certification

What to Review:
Legal requirement and organisational requirements,
new developments in Law
Accident and incident data + corrective actions
Inspections, surveys, tours, sampling
Absence and sickness data (increased Rate)
Quality assurance reports
Audit reports
Monitoring data/records
External communications and complaints
Consultation results
Achievement of objectives
Enforcement action
Actions from previous management reviews