Unit 1A - Course Notes

International Diploma in Occupational
Safety and Health

Unit 1A
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International Diploma - Course Contents
Unit 1 Principles of Health and Safety Management
Element 1A Fundamentals of Health and Safety Management
Preventing Accidents 1A1

International Occupational Health and Safety Framework 1A2
Health and Safety Management Systems 1A3
Risk Assessment 1A4
Safe Workplace 1A5
Control of Contractors 1A6
Safe Systems of Work 1A7
Personal Protective Equipment 1A8
Human Failure 1A9
Role of the Health and Safety Practitioner 1A10
Protecting the Environment 1A11
Engaging the Workforce 1A12
Element 1B Applied Health and Safety Management
Fire 1B1
Explosion 1B2
Major Accident Hazards 1B3
Emergency Control 1B4
Work Equipment 1B5
Occupational Transport and Driving 1B6
Mechanical Handling and Lifting Operations 1B7
Electrical Safety 1B8
Pressure Systems 1B9
Carriage of Dangerous Goods 1B10
Construction and Demolition 1B11
Working at Height 1B12
Working in Confines Spaces 1B13
Lone Working 1B14
Violence against Employees 1B15
Reporting and Investigating Incidents 1B16
01 - IDipOSH A1 v2 160514 British Safety Council

BSC International Diploma | Unit 1
Element 1A: Fundamentals of Health and Safety Management
C O N T E N T S
Study Unit Title Page
1A1 Preventing Accidents
ACCIDENTS, INCIDENTS AND NEAR MISSES ...................................................................................................... 3

INTRODUCTION ..................................................................................................................................................... 3
DEFINITION OF ACCIDENT, INCIDENT AND NEAR MISS ...................................................................................................... 3
RELATIONSHIP BETWEEN ACCIDENTS, INCIDENTS AND NEAR MISSES ..................................................................................... 4
WHAT CAUSES ACCIDENTS ................................................................................................................................. 6
DOMINO THEORY ................................................................................................................................................... 6
UNSAFE ACTS ....................................................................................................................................................... 8
UNSAFE CONDITIONS .............................................................................................................................................. 9
MULTI-CAUSAL THEORIES ....................................................................................................................................... 10
COSTS ARISING FROM ACCIDENTS .................................................................................................................. 12
CONSIDERING OUTCOMES OF EVENTS ......................................................................................................................... 12
INSURED AND UNINSURED COSTS ............................................................................................................................. 14
ACCIDENT COST ANALYSIS .............................................................................................................................. 16
DIRECT AND INDIRECT LOSSES................................................................................................................................. 16
COST BENEFIT GRAPH ........................................................................................................................................... 17
RISK CONTROL COST DECISIONS .............................................................................................................................. 17
CALCULATING ACCIDENT COSTS ............................................................................................................................... 18
REASONS FOR PREVENTING ACCIDENTS ......................................................................................................... 19
MORAL ............................................................................................................................................................. 19
LEGAL .............................................................................................................................................................. 19
ECONOMIC ......................................................................................................................................................... 19
ACCIDENT PREVENTION STRATEGY ................................................................................................................. 20
BSC International Diploma - Element 1A | Fundamentals of Health and Safety Management
Study Unit 1A1 | Preventing Accidents
Learning Outcomes
When you have worked through this Study Unit, you will be able to:
1.A.1.1 Explain the importance of and relationship between incidents and accidents
1.A.1.2 Explain why accidents occur
1.A.1.3 Explain the costs of accidents
1.A.1.4 Explain the need to prevent accidents
1.A.1.5 Implement an accident prevention strategy
Unit 1:
02 - IDipOSH A2 v2 160514 Page 2 of 20 British Safety Council

Accidents, Incidents and Near Misses

Introduction
According to estimates by the International Labour Organisation (ILO), the number of job-
related accidents and illnesses, which annually claim more than two million lives, appears to be
rising because of rapid industrialisation in some developing countries.
An assessment of workplace accidents and illness indicates that the risk of occupational
disease has become the most prevalent danger faced by people at their jobs, accounting for
1.7 million annual work-related deaths and out pacing fatal accidents by four to one.
In estimates, the ILO found that in addition to job-related deaths, each year there are some
268 million non-fatal workplace accidents in which the victims miss at least three days of work
as a result, as well as 160 million new cases of work-related illness. The ILO has previously
estimated that workplace accidents and illness are responsible for the loss of some four per
cent of the worlds GDP in compensation and absence from work.
Broken down by region, the figures indicate that workplace accidents have levelled off in many
industrialised and newly-industrialised countries, while some countries (now undergoing rapid
development in Asia and Latin America) are experiencing increases. For example, the ILO
analysis showed that while the number of fatal and non-fatal workplace accidents held steady
or declined in most regions, in China the estimated number of fatal accidents rose from 73,500
in 1998 to 90,500 in 2001, while accidents causing three or more days absence from work
increased from 56 million to 69 million. Meanwhile, in Latin America, a rise in the total number
of persons employed and growth in the construction sector, particularly in Brazil and Mexico,
appear to have lead to an annual increase in fatal accidents from 29,500 to 39,500 over the
same time period.
Faced with a rising toll of occupational-related death, injury and sickness, international bodies
such as the ILO, the World Health Organisation (WHO), the European Agency for Safety and
Health at Work, and others highlight the need for a preventative safety culture worldwide.
Definition of Accident, Incident and Near Miss

According to the UKs Health and Safety Executive (HSE) document HSG65, accidents,
incidents and near misses are defined accordingly:
Incident
An incident is an event that includes all undesired circumstances and near misses that could
cause accidents.
Accident
The HSE defines an accident as any undesired circumstances which give rise to: ill-health or
injury; damage to property, plant, products or the environment; production losses or increased
liabilities. This would suggest that an accident is an event with an adverse outcome that
results from a combination of undesired circumstances.
Near Miss
Near misses (or near hits) are any form of incident that could have resulted in injury or loss
but did not. Examples include:
A worker realises that the guard is missing and pulls his hand out, just getting a smear of
oil on his fingers.

A piece of material is ejected from a machine and lands on the floor of the workshop
some distance away, missing the window.
A worker runs into the car park and stumbles, but regains her balance and carries on
unharmed.
Relationship Between Accidents, Incidents and Near Misses
Activities at work often give rise to incidents. The outcome of these incidents may (but not
necessarily do) cause harm to people as well as loss. Accidents are a particular type of
incident and these result in loss, personal (minor) injury, serious injury or death. Where no
such outcome results, the incident is classified as a near miss.
Accident Ratio Studies and Their Limitations
There appears to be a relationship between a number of different types of accident.
F. E. Bird used accident data to produce the following accident triangle:
Serious or disabling injury

1
Minor injuries (first-aid injuries)

10
30 Damage accidents
600 Accidents with no damage - near miss accidents
Birds Accident Ratio Triangle
Other researchers have produced similar accident ratio triangles:
Fatal Major or lost time

1
1
Minor
Major 29
60
Over-3-day 300 No injury accidents

400
RIDDOR Heinrich
It is interesting to note the variations in the findings of these surveys although, regardless of
the actual data presented there is a consistent pattern that shows that there are always many
more near misses than serious injuries. What should be obvious is that the larger figure of
near miss incidents is a much better measure of accident potential than the smaller figure of
actual injuries.

Problems can arise when using accident ratios as a means of predicting accident rates in the
workplace and comparing performance. Care needs to be taken to ensure that the basis on
which the statistics were originally prepared is the same, or that the workplaces themselves
being assessed are directly comparable. Where this is not the case, any comparison with other
organisations would be meaningless.
Another limitation of statistical analysis is the extent to which the numbers involved allow
meaningful conclusions to be drawn. This is known as "statistical significance". Often, the
numbers for an individual workplace are too low to allow meaningful comparisons with the
much larger numbers involved across the industry as a whole.

What Causes Accidents

Domino Theory
According to Heinrich:
"A preventable accident is one of five factors in a sequence that results in an injury. The
injury is invariably caused by an accident and the accident in turn is always the result of
the factor that immediately precedes it."
The five factors in his accident sequence are summarised in the following table.
Heinrich's Accident Sequence
Accident Factors Description
Recklessness, stubbornness, greed and other

1. Ancestry and social undesirable traits of character that may be passed
environment along through inheritance. Environment may develop
undesirable traits of character or may interfere with
education. Both inheritance and environment may
cause faults of person.
Inherited or acquired faults of person such as

2. Fault of person recklessness, violent temper, nervousness, excitability.
These constitute reasons for committing unsafe acts or
for the existence of mechanical or physical hazards.
Unsafe performance of persons such as: standing

3. Unsafe act and/or under danger areas, careless starting of machines,
mechanical or physical removal of safeguards and horseplay; mechanical or
hazard physical hazards such as unguarded gears or points of
operation, insufficient light, which result in accidents?
Events such as falls of persons, striking of persons by

4. Accident flying objects, etc. are typical accidents that cause
injury.
Fractures, lacerations, etc. are injuries that result

5. Injury directly from accidents.

Bird and Loftus extended Heinrich's theory to encompass the influence of management in
the cause and effect of accidents. They suggested a modified sequence of events as follows:
1. Lack of control by management.
2. This permits the existence of basic or underlying causes (i.e. personal and job factors).
3. In turn, this leads to immediate causes (such as unsafe acts or unsafe conditions)
4. Which leads to the incident in question.
5. Finally resulting in some kind of loss
This modified sequence can be applied to every accident and is of basic importance to loss
control management.
The major point that Heinrich and Bird makes is that a preventable injury is the natural
culmination of a series of events or circumstances that occur in a fixed logical order. Here an
analogy can be made with a row of dominoes placed on end such that if one falls it will cause
the next to fall and so on throughout the series If one of the dominoes is removed then the
chain of events will be halted.
Lack of Basic Immediate Accident Loss

Management underlying causes
Control Causes
Accident Domino Sequence
Similarly, if the accident sequence is interrupted by the elimination of even one of the factors
that comprise it, then the loss cannot occur and the accident has been prevented. In the case
of the accident sequence, perhaps the easiest factor to eliminate is Number 3 the immediate
causes which we define as "unsafe act and/or unsafe conditions".
Unsafe acts and conditions are often caused by a range of underlying causes such as lack of
policy or procedure, poor training, no systems of work, poor supervision etc which in turn may
be due to a lack of interest or support of senior management.
To quote from HSG65: The immediate cause (of an accident) may be a human or technical
failure, but they usually arise from organisational failings which are the responsibility of
management.

Unsafe Acts
Let us consider an example. In a wood yard, some lengths of timber were being stacked when
the siren sounded to signal the start of the morning tea-break. The stackers quickly finished
their job and went for tea. After tea they resumed work in another part of the yard.
Unfortunately, they had left some of the timber in the first stack sticking out into the access
path. Later, at dusk, another employee came along, omitted to turn on the appropriate yard
lights and tripped over the poorly-stacked timber.
In another example, in the same yard, one of the other workers used a defective ladder, with
the result that he fell and broke his arm and sustained laceration to a leg in addition to other
superficial injuries. Subsequent investigation revealed that the ladder had a non-slip safety
foot on only one leg and that it had been too long for the job in hand. The result was that it
was pitched at an excessively shallow angle, consequently causing it to slip at its base.
In both examples, accidents occurred because of unsafe acts. In one case, a third party was
injured; in the other, the unsafe act was done by the injured party.
Examples of Unsafe Acts
Unsafe acts of persons may be considered under the following headings:
Operating without authority.
Operating or working at unsafe speed.
Rendering safety devices inoperative.
Using unsafe equipment, or using equipment unsafely.
Unsafe methods, e.g. loading, carrying, mixing.
Adopting unsafe position or posture.
Working on moving or dangerous equipment.
Horseplay, e.g. distracting, teasing, startling.
Failure to wear safe clothing or use personal protective devices.
Lack of concentration; fatigue or ill-health.
Types of Unsafe Act
From an accident prevention point of view, it is useful to classify two types of unsafe act:
active and passive.
Active Unsafe Acts
An obvious example of the active type of unsafe act is the case where a worker deliberately
removes a safety guard, possibly to improve his rate of production. This act, coupled with the
fact that he is now working faster, may produce more errors and/or stress. Many of these
errors may go unnoticed, some may produce near-misses, but eventually, by the law of
averages, an injury accident will ensue.
Of course, it is difficult to control a persons behaviour, but the most effective measures have
been found to be through proper training and adequate supervision.
Passive Unsafe Acts
Passive unsafe acts are generally more difficult to deal with. An example here might be the
failure of an employee to wear Personal Protection when clearly everyone knows that they

should. There will be a range of possible reasons why the protection is not worn and these
passive acts are often very difficult to change. Modifications to behaviour can be made through
participation and consultation schemes, training programmes and effective supervision.
Unsafe Conditions
Mechanical
For many years machinery has been responsible for many industrial accidents around the
world. Government legislation was enacted improved techniques in machine guarding,
ergonomic design and an increased awareness of moral and social responsibilities have
combined to drastically reduce the number of injuries attributable to machinery accidents.
This still leaves considerable cause for concern, because machine accident injuries are usually
severe, and often result in partial or even permanent disablement.
Although there are regulations and standards relating to the fencing and guarding of
dangerous machinery, most accidents arise because of lack of provision of adequate guards or
because of failure to use the guards provided. Sometimes it is not possible to make guards
that are 100% effective at all times and automatic and interlocking guards should not be
regarded as infallible. Nevertheless, all guards should be well designed, correctly adjusted,
adequately maintained and tested or inspected regularly.
Some machines may be left unguarded because they are presumed to be 'safe by position'.
No machinery can really be safe by position because its relative safety depends upon the
proximity of people, and a person near the machine is, or is not, safe by position.
In one case, a drive shaft and motor were sited unguarded high up on an internal wall of a
factory. It was thought to be safe by position. At some later date, when alterations were
being carried out, a worker on a ladder outside the factory reached through a hole in the wall
with the result that his arm was amputated.
Machines may sometimes be started by mistake or without the appropriate authorisation. One
example is where a machine is stopped for routine maintenance or adjustment. This might not
be obvious to the operative, particularly on a change of shift, who may start the machine,
causing injury to the mechanic.
The remedy in such cases lies in the adoption of a safe system of work, including a permit-to-
work. This commonly involves advising the supervisor at the start and completion of the job,
removing fuses, locking or covering starter switches, and hanging the appropriate notices. It
is essential the maintenance work should be unable to proceed without the necessary
authorisation, duly signed by the appropriate supervisor as necessary.
Physical
Industrial psychologists have spent a great deal of time in examining how operator
performance varies as external conditions change, the idea being that there is an optimum
condition for performing each kind of task. For example, when conditions of lighting, heating,
ventilation, humidity and noise are closely studied, it has been found there is some desirable
range within which an operator will function efficiently. Anything outside that range, either too
little or too much, will adversely affect his performance. However, many workers will make an
extra effort to maintain a given output despite a deterioration of working conditions. In such
cases it has been found that this is usually accompanied by an increase in the frequency and
severity of accidents.

Temperature
Many experiments have been carried out on the effects of temperature. The main variables
are air temperature, humidity, air flow and the operator's clothing and activity. The general
consensus is that conditions for thermal comfort, work efficiency and minimum accident rates
are much the same. Temperatures in the range 16-24C appear to be acceptable for most
people, with the heavier workloads at the low end of the range and sedentary tasks at the
higher end. Very hard work, or the use of protective clothing, will lower this temperature
range, while it will be raised by high air movement (which gives greater body cooling).
Noise
The effect of noise is extremely complex. It is known that noise can damage the auditory
mechanism and that prolonged exposure to levels above 120 dB (decibels) causes permanent
damage. Lower levels interfere with speech and communication and there can also be
interference with working efficiency. Errors have been found to increase with noise and non-
auditory effects, such as loss of touch sensitivity, have been reported. Either of these effects
could easily be responsible for an accident.
Examples of Unsafe Conditions
The following examples describe unsafe conditions from which an accident may result:
Inadequate guarding; guards of inadequate height, strength, mesh, etc.
Unguarded machinery or the absence of the required guards.
Defective, rough, sharp, slippery, decayed, cracked surfaces.
Unsafely designed machines, tools.
Unsafe arrangement, poor housekeeping, congestion, blocked exits.
Inadequate lighting, glare, reflection.
Inadequate ventilation, contaminated air.
Unsafe processes - mechanical, chemical, electrical, and nuclear.
Hot, humid or noisy environment.
This is not to say that an unsafe act or unsafe condition alone could not result in an accident.
For example, horseplay is an unsafe act that could take place in otherwise safe conditions, but
could nevertheless result in an accident. Similarly, a person could be working in a perfectly
safe manner, using safe equipment and materials that are without hazard, but suffer injuries as
the result of the collapse of a floor riddled with woodworm and dry rot. (One could argue,
however, that collapse of the floor was due to an unsafe act, i.e. failure to inspect the floor and
supporting joists and failure to calculate the floor loadings.)
Multi-Causal Theories
There is often more than one cause of an accident, not only in sequence, but occurring at the
same time. For example, a methane explosion requires:
Methane in the explosive range of 5% to 15%.
Oxygen or air.
Ignition source.

The ignition will only happen if these three events occur together. Each of the three events
may, in themselves, be the end result of a number of different sequences of events. In
accident investigation, all causes must be identified.
Systems Theory
This is another way of looking at a multiple cause situation.
Factories and processes may be treated as systems, i.e. an assembly of parts or components
connected together in some organised way to perform some task, with inputs and outputs and
various kinds of control mechanisms.
A systems approach is often useful in simplifying complex operations. Part of the system can
be taken as a 'black box', with only the inputs and outputs considered.
System failures are prevented or minimised by components that cannot fail, by back-up
systems, or by redundancy built into the system. Accidents happen in our system because it
includes fallible components such as machines and human beings. The system is operating in
the failure mode.
The essential features of the multiple causation approach are shown diagrammatically in the
figure that follows.
Sub Causes
Cause a
Cause b Unsafe
Act
Cause c
Injury,
Accident Damage
or Near-miss
Cause d
Cause e Unsafe
Condition
Cause f
Features of the Multiple Causation Approach

Costs Arising from Accidents

Most accidents are minor in nature but may stop production for some time and lead to the
injured employee being away from work for a few days. This involves the cost of lost
production, and sick pay, etc. A major accident, on the other hand, can lead to a prolonged
absence from work for the employee involved and the costs of an investigation during which
equipment and machinery may be at a standstill.
Considering Outcomes of events

As explained earlier an accident is an event with an adverse outcome that results from a
combination of undesired circumstances.
Incidents include all loss making and non-loss making events but of course the outcome of any
event is often a matter of chance and they may not lead to a loss at all. It is useful to consider
the outcome of the event as being one of four types that can help us to determine the
associated costs of the event:
A: Those causing no injury.
B: Those causing no injury but damaging property.
C: Those causing injury but no property damage.
D: Those causing injury and property damage.
Incident Outcomes
no property damage property damage

A B
No injury A person steps on banana skin - Steps on banana skin - slips -
does not slip drops cup which breaks
C D
Injury Steps on banana skin - slips - Steps on banana skin - slips -
sprains ankle sprains ankle - drops cup which
breaks
There will be costs associated with any event, even the no-injury/no property damage event
might incur costs associated with reporting and recording the event. But of course the more
insignificant the event, the less cost will be attributed.
Direct and Indirect Costs
Costs of accidents may be split into two types:
Those relating directly to the incident.
Those relating indirectly to the incident.
Some examples are given below:

Type A accidents
Direct costs
None.
Indirect costs
Negligible. Possibly the cost associated with reporting and recording the near miss.
Type B Accidents
Direct Costs
Cost of replacement property.
Cost of repair to property.
Indirect Costs
Waste of material and time spent on job to date.
Downtime awaiting repair.
Downtime awaiting replacement.
Type C Accidents
Direct Costs
Costs of medical treatment - first-aid, ambulance, etc.
Compensation payments.
Fines for breach of statutory duty.
Legal fees
Indirect Costs
Lost time due to:
Workers stopping to assist sympathise or discuss the incident.
Machinery stoppage to free victim.
Supervisors assisting victim.
Persons investigating accident.
Rearrangement of schedules.
Preparation of reports.
Attendances at courts of law.
Hospital visits.
Visits to relatives.
Lost profit due to:
Loss of victim's production.
Cost of training replacement.
Reduced productivity, wages and overtime.
Failure to meet production dates.

Cancellation of orders.
Loss of future orders.
Lost overheads due to:
Higher insurance premiums.
Plant and staff idle.
Cost of plant hire.
Incidental costs:
Difficulty recruiting good staff.
Poor staff causing increase in waste.
Poor workers having more accidents.
Type D Accidents
These are likely to include, at least, all the costs involved in Class B and C accidents.
Insured and Uninsured Costs
Employers will invariably take out insurance to cover themselves against potential losses
caused by such events as fire and theft. In many countries they are also required by law to
have insurance against certain types of liability, as discussed below. However, many of the
costs involved in respect of accidents at work are not covered by insurance.
Uninsured costs include all indirect costs as well as those relating to loss of production as a
result of many types of incident. In addition, the insurance to cover loss in respect of certain
events may be void where it may be shown that the employer has not taken adequate
precautions to prevent the incident.
Employers liability insurance is a legal requirement in the UK (under the Employers Liability
(Compulsory Insurance) Regulations 1998) and without it a company cannot trade. It is
required to cover the claims which may be brought in respect of the employers civil liabilities
such as negligence, breach of statutory duty, etc. and the minimum insurance is for 5
million.
Insurance claims under employers liability insurance have outstripped premium increases in
recent years, partly due to increased public awareness and concern about health. Also, people
are more ready to claim, and compensation payments as well as legal costs are continuing to
rise. These factors are causing great concern among insurers, who fear the future cost of
todays health hazards (particularly issues such as work-related upper limb disorder and
passive smoking). Employers liability insurance premiums can rise dramatically for employers
who cannot show evidence that risks are being managed, and some companies may well
become uninsurable.

It is useful to be able to distinguish between the different cost elements and the following
figure represents examples of types of accidents costs that make up the overall costs of an
accident.
INSURED
Employers liability Business interruption I
D Public liability Product liability N
I Damage to buildings D
R Damage to vehicles I
E Sick pay Investigation costs R
C Repairs Loss of goodwill E

T Product lost/damaged Loss of corporate image C
Hiring and training of replacement T

staff
UNINSURED
Costs Associated with Accidents and Losses

Each of these types of cost needs to be calculated. The easiest is the direct insured costs; a
premium will be paid and any loss will (hopefully) be covered by the insurance. The indirect
but insured costs will be partly covered by the insurance. Here the problem is that it is never
possible to ensure that the entire cost can be forecast and so insured. In any case, the risk
manager will be seeking to reduce the insurance burden by retaining risks that can be
controlled in other ways.
The indirect and uninsured costs will need careful consideration, and are the costs of things
like future loss of sales due to poor public image and loss of goodwill or the costs associated
with the investigation itself or the recruitment of any replacement labour needed as a
consequence of the accident:
In a survey undertaken by the HSE it was found that that for every 1 that employers spend
on insurance, the uninsured costs of accidents over a year amounted to between 8 and 36
times that amount. This is the reason why the direct costs of accidents are often considered
to be just the tip of iceburg.

Accident Cost Analysis

Direct and Indirect Losses
We have discussed the costs associated with accidents and when measuring potential losses,
both indirect and direct losses must be considered. The problem here is that it is relatively
straightforward to calculate the direct costs of an accident (if we have robust systems for
capturing the data) but when calculating the indirect losses we may have to rely on reasonable
assumptions and prediction which may not be entirely accurate but should be a close
estimation so as to afford the opportunity for senior management to understand the impact of
the accident on the financial standing of the business.
If we are going to capture, analyse and present accident cost data as part of our performance
monitoring programme we need to have a reliable cost for an injury accident, and for damage
accidents. This will usually involve filling in an accident cost sheet. The following is an
example of such a form.
ACCIDENT COST SHEET
Location
Description of Accident
Type of Accident: Lost-time injury
Damage/(delete those not applicable) Non-lost-time injury
Details of injury to employee(s) and/or damage to plant, equipment or materials
Date of accident
Number of days lost (lost-time injuries only)
Cost Element
1. Safety administration costs
2. Medical centre costs
3. Cost of lost time of injured employee
4. Cost of replacement labour
5. Costs of welfare (or other) payments (made by company) to
employee
6. Cost of lost production
8. Cost of repair/replacement of damaged plant/equipment
(a) Labour cost
(b) Materials cost
9. Cost of damaged materials
10. Other costs
Total
Accident Cost Sheet

Cost Benefit Graph

There are costs involved with all accidents and losses. There will also be costs involved with
accident prevention and risk reduction. It is possible to spend more on risk treatment than we
save by the reduction of the losses. The cost-benefit graph is illustrated in the next figure.
POSITIVE
+ MAXIMUM BENEFIT BENEFIT
BENEFIT
0
COST OF SAFETY
NEGATIVE BENEFIT
Cost-Benefit Graph
This graph shows the position where there is maximum benefit and suggests that there is a
point where putting more money and resources into a project can achieve no further benefit
and therefore is considered wasteful and unnecessary.
The safety practitioner is often asked to carry out such an analysis for the safety measures that
he is proposing.
Risk Control Cost Decisions

Cost Areas
There is obviously a cost implication from controlling any kind of risk. These costs can be split
into the following areas:
Organisational
These are the costs of staff, and the time involved in investigation, records and first-aid
and medical provision.
Design
Reduction of accidents will involve engineering aspects, such as the purchase and
fabrication of safety devices. Safety systems need to be designed and programms for
recording and costing losses will have to be tried out.
Planning
New safe methods of work, permit-to-work schemes and factory layouts could be
considered here.
Operational
Consideration must be given to the costs of running and maintaining safety systems,
maintaining guards and interlocks, providing PPE as well as carrying out sampling and
testing.

Calculating Accident Costs

The UKs HSE has published a series of examples of accident costs. Students are encouraged
to review the HSE website at http://www.hse.gov.uk/costs/index.asp

Reasons for Preventing Accidents

Moral
It is widely accepted that moral reasons should be the prime reason for managing risk,
although whether this is actually the case is open to debate in some cases.
There is a need for maintaining a moral code within our society. Without it, employers can be
tempted to treat the health and safety of the workforce as being of lower importance than
financial profit.
Moral reasons are based on the concept of an employer owing a duty of reasonable care to
his or her employees. A person does not expect to risk life and limb, or physical health, as a
condition of employment.
Society expects every employer to demonstrate a correct attitude to health and safety to his or
her workforce. It is totally unacceptable to place employees in situations where their health
and safety is at risk.
In addition to the obvious duties owed by an employer to his or her workers, he or she also
has a moral obligation to protect other people whose health and safety may be affected by the
undertaking, for example, contractors or members of the public.
Legal
Over the years, many moral obligations have been turned into health and safety legislation.
The "duty of care" is seen in the UKs common law judgments. The UKs Health and
Safety at Work, etc. Act 1974 (HSWA), and Regulations made under it, follows a long list
of legal enactments that reinforce the duty of care.
Many countries have introduced their own legal duties regarding the protection of workers
from harm and where this is not the case adoption of other countries health and safety laws
as best practice is common.
There are strong legal reasons for employers to manage risk:
Preventive - enforcement notices (improvement or prohibition) can be issued by
enforcement inspectors.
Punitive - where the criminal courts impose fines and imprisonment for breaches of legal
duties. These punishments can be given to the company or to individuals within the
company.
Compensatory - where employees are able to sue in the civil courts for compensation.
Economic
As has been explained accidents and ill-health are costly and the indirect costs involved are
often substantially more than direct costs. The financial burden placed on employers is often a
key factor in the ownership and development of safety management systems that will help to
reduce the costs of failure and sub-standard practice at work.
The Safety Practitioner will often be required to develop budgets and justifications for
implementing safety initiatives and it is here that a sound knowledge and understanding of the
costs associated with poor practice is essential if proposals and business cases are to be
successful.

Accident Prevention Strategy

An accident prevention strategy is a long-term plan of action designed to prevent accidents
from happening. Of course, the strategy may be aimed at specific accident types or may
be more general. Accident prevention means implementing measures to prevent them
from happening. It will, necessarily, involve identifying how accidents can occur.
We have already seen earlier in this study unit that accidents can result in different types
of loss. The resulting cost to the company can be measured not only in terms of its effect
on peoples lives, but also in terms of the financial cost to the business. We have also
seen that behind serious incidents, there are many more near-miss events that could
easily have led to something more serious the underlying causes are the same.
Therefore, because many of the causal factors are the same, it makes sense to use a total
loss approach where the aim is to control all accidental loss.
Accident prevention, when applied to a complex organisation, can be quite daunting. We
have already considered the myriad causes of accidents arising from workplace,
organisational, personal, job factors, etc. Many causes can ultimately be linked to a failure
(or lack) of management systems. An overall approach to long-term accident prevention is
therefore to effectively manage it. This can be done by implementing a safety
management system; these are described in detail in Element 1A4.

C O N T E N T S
1A2 International Occupational Health and Safety

Framework
THE MAIN FUNCTIONS AND RESPONSIBILITIES OF KEY INTERNATIONAL OHS ORGANISATIONS .................. 3
INTRODUCTION ..................................................................................................................................................... 3
INTERNATIONAL LABOUR ORGANISATION (ILO) .............................................................................................................. 3
WORLD HEALTH ORGANISATION (WHO) ...................................................................................................................... 5
EUROPEAN UNION (EU) LAW..................................................................................................................................... 7
THE EUROPEAN TRADE UNION INSTITUTE (ETUI) ........................................................................................................... 9
THE HEALTH AND SAFETY EXECUTIVE......................................................................................................................... 10
OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION (OSHA) U.S. ................................................................................. 11
NATIONAL INSTITUTE FOR OCCUPATIONAL SAFETY AND HEALTH (NIOSH) U.S. ..................................................................... 11
THE NATIONAL OCCUPATIONAL HEALTH AND SAFETY COMMISSION (NOHSC) AUSTRALIA ....................................................... 12
BRITISH STANDARDS INSTITUTION (BSI) .................................................................................................................... 12
GENERAL DUTIES OF EMPLOYERS .................................................................................................................... 14
DUTIES OF EMPLOYER TO EMPLOYEES ........................................................................................................................ 14
DUTIES ON EMPLOYERS TO NON EMPLOYEES ................................................................................................................ 15
DUTIES OF PERSONS IN CHARGE OF PREMISES TO NON-EMPLOYEES .................................................................................... 15
BSC International Diploma - Element 1A Fundamentals of Health and Safety Management
Study Unit 1A2 | International Occupational Health and

Safety Framework
Learning Outcomes
1.A.2.1 Describe the functions of the key occupational health and safety informing bodies
1.A.2.2 Outline the principles underlying the general duties of employers in relation to
occupational safety and health
Unit 2:

The main functions and responsibilities of key

international OHS organisations
Introduction
The aim of all health and safety legislation, no matter what Country it applies to is to protect
the workforce and others who might also be affected from foreseeable hazards and associated
risks from an employers undertaking. International health and safety law has been developing
since the 19th Century and many Countrys have suitable legislation in place to protect the
workforce, however work practices and methods are constantly changing with technical
progress and therefore legislation has to change to keep pace.
New legislation is also sometimes brought into force as result of International working groups
and organisations raising awareness of particular work practices which continue to cause death
and serious injury year after year such as work at height or health issues such as vibration.
These two topics have recently been the subject of European Union Directives and
implemented into the UK legal system as:
Work at Height Regulations 2005.

The Control of Vibration at Work Regulations 2005.
In this section we shall review a number of key organisations along with their functions in
relation to protecting workers from harm.
International Labour Organisation (ILO)

The International Labour Organisation (ILO) is built on the constitutional principle that
universal and lasting peace can only be established if it is based upon social justice. The ILO is
responsible for the eight-hour working day, maternity protection, child-labour laws, and a
range of policies which promote workplace safety and peaceful industrial relations.
The ILO is the international institutional framework which makes it possible to address such
issues (and to find solutions) allowing working conditions to improve everywhere. No country
or industry could have afforded to introduce any of these in the absence of similar and
simultaneous action by its competitors.
How the ILO Works

The ILO has a tripartite structure unique in the United Nations, in which employers and
workers representatives (the social partners of the economy) have an equal voice with those
of governments in shaping its policies and programmes.
The ILO also encourages this tripartism within its member States by promoting a social
dialogue between trade unions and employers in formulating, and where appropriate,
implementing national policy on social, economic, and many other issues. Minimum
international labour standards and the broad policies of the ILO are set by the International
Labour Conference, which meets annually. Every two years, the Conference adopts the ILOs
biennial work programme and budget, which is financed by member States.

The Functions of the ILO

The ILO has four principal strategic objectives:
1. To promote and realise standards, and fundamental principles and rights at

work:
2. To create greater opportunities for women and men to secure decent

employment:
3. To enhance the coverage and effectiveness of social protection for all:
4. To strengthen tripartism and social dialogue.
These objectives are realised in a number of ways:
Formulation of international policies and programmes to promote basic human rights,

improve working and living conditions, and enhance employment opportunities.
Creation of international labour standards backed by a unique system to supervise their

application to serve as guidelines for national authorities in putting these policies into
action.
An extensive programme of international technical co-operation formulated and

implemented in an active partnership with constituents, to help countries in making these
policies effective in practice.
Training, education, research, and publishing activities to help advance all of these efforts.
International Labour Standards - Conventions and Recommendations

International labour standards are legal instruments drawn up by the ILO's constituents and
setting out basic principles and rights at work. They are either conventions, which are
legally binding international treaties that may be ratified by member states, or
recommendations, which serve as non-binding guidelines. In many cases, a convention
lays down the basic principles to be implemented by ratifying countries, while a related
recommendation supplements the convention by providing more detailed guidelines on how it
could be applied. Recommendations can also be self governing, i.e. not linked to any
convention.
Conventions and recommendations are drawn up by representatives of governments,

employers and workers and are adopted at the ILO's annual International Labour Conference.
Once a standard is adopted, member states are required under the ILO Constitution to submit
them to their competent authority (normally the parliament) for consideration. In the case of
conventions, this means consideration for ratification. If it is ratified, a convention generally
comes into force for that country one year after the date of ratification. Ratifying countries
commit themselves to applying the convention in national law and practice and reporting on its
application at regular intervals. The ILO provides technical assistance if necessary. In addition,
representation and complaint procedures can be initiated against countries for violations of a
convention they have ratified.

World Day for Safety and Health at Work

In 2003, the ILO began promoting occupational safety and health across the globe as part of
the annual World Day for Safety and Health at Work. Since the ILO began observing the day,
(which is held on 28 April each year), the event has become one of global importance and is
now marked in over 100 ILO member States. In 2005, the ILO SafeWork programme chose
the theme preventative safety and health culture, with a focus on the construction industry
and younger and older workers.
In 2010 the programme highlighted technological advance, emerging workplace risks, and
changing patterns of employment and workforce.
World Health Organisation (WHO)

The WHO is a specialised agency of the United Nations governed by 193 Member States
throughout the World Health Assembly. WHO promotes technical co-operation for health
among nations, carries out programmes to control and eradicate disease, and strives to
improve the quality of human life.
Its four main functions are:
To give world-wide guidance in the field of health.
To set global standards for health.
To co-operate with governments in strengthening national health programmes.
To develop and transfer appropriate health technology, information and

standards.
Health is defined in WHOs Constitution as: A state of complete physical, mental and social
well-being and not merely the absence of disease or infirmity.
The main tasks of the World Health Assembly are to approve the WHO programme and the
budget for the following biennium and to decide major policy questions.
WHO addresses occupational health through a programme in WHO headquarters, the six WHO
regional offices and WHO country offices, with the support of a strong network of 70
Collaborating Centres.
Global Strategy on Occupational Health for All

WHO is implementing a global strategy to:
Provide evidence for policy, legislation and support to decision-makers, including work
carried out to estimate the magnitude of the burden of occupational diseases and injuries.
Provide infrastructure support and development through capacity building, information

dissemination and networking.
Support protection and promotion of workers health.

WHO also assists countries to develop or upgrade their national occupational health profiles
and action plans and to create the capacity to implement the plans. It has a particular focus
on strengthening capacity building activities, particularly on practical solutions, and to
enhancing work addressing selected priority groups, such as health care workers.
Other WHO Occupational Health Activities

Needlestick Injuries
Since 2003, there has been a special project Health Care Workers/Prevention of Needlesticks:
a special pilot project to reduce the exposure to HIV and other sharps-related infections
(hepatitis B and C) in health care workers associated with injections.
The project aims to raise awareness and reduce injuries in a variety of health care settings in
selected countries. The project is implemented by WHO (HQ, Regional and National Offices),
WHO Collaborating Centres and the International Council of Nurses, and is based on the WHO
Toolkit entitled Behaviour Change Strategy to Achieve a Safe and Appropriate Use of
Injections. The Toolkit provides technical and policy guidance to health-care workers,
administrators and politicians in order to promote injection safety.
Practical Solutions
The focus of WHO has been to support countries to implement solutions to tackle the most
serious and prevalent occupational hazards. Work is under way on the development of
practical solutions, with a focus on control banding, silicosis, child labour, and workplace health
promotion.
Control Banding is an approach to risk assessment and management that groups workplace
risks into control bands based on a combination of hazard and exposure information. It can
be applied to chemicals and other workplace hazards.
Over the years, ILO and WHO have paid special attention to the prevention of silicosis in
collaboration with national and international organisations. Continuous efforts are being
undertaken in organising various activities in developing countries aimed at the prevention of
occupational respiratory diseases, which are targeted particularly at the elimination of silicosis.
Hazardous child labour is a widespread phenomenon that has recently appeared on many
political agendas in countries in all regions. It is estimated that around 350 million children,
about one in every six children aged 5 to 17 on the face of the globe, are involved in child
labour. Of these, some 179 million (one in eight) are trapped in the worst forms of child
labour, including hazardous child labour. The Occupational Health and Safety community has
not been effectively involved in the definition and action on hazardous child labour.
WHO considers the workplace as a priority setting for health promotion into the 21st century.
The workplace can have a very positive impact on the health and well-being of workers, their
families, communities and society at large. However, in spite of demonstrated benefits,
current workplace health promotion efforts reach a limited number of workplaces and workers
around the world. WHO supports a participatory process to help promote a stronger
implementation of occupational and environmental health legislation. It suggests tools for

maintaining or strengthening national (and sector-based) healthy workplace initiatives, such as

an awards system as an incentive for participating enterprises, and creation of healthy
workplace networks.
Regional Initiatives, Including the WHO/ILO African Joint Effort

The Regional Initiatives in Occupational Health are the cornerstones for the implementation of
tools and materials developed by the WHO Global Occupational Health Programme.
Efficient application of available knowledge to practical solutions to overcome the knowledge

application gap is more important than generating new theoretical knowledge. An important
example is the development and implementation of the WHO/ILO Joint Effort on Occupational
Health in Africa (AJE). This project recognises that many factors are working in occupational
health and safety in the African region, but that there has been a lack of strategic co-
ordination. In many countries, less than 10% of workers are covered by any occupational
health programme or service. With the support of WHO and the ILO, the AJE has established
a precedent for promoting and protecting workers health by information generation and
sharing, education and training for workers, employers, professionals and decision-makers,
and risk assessment and management.
Another regional initiative supported by WHO and ILO is under development in the Asian
region, joining two of the WHO regional offices (Western Pacific Regional Office WPRO and
South East Asian Regional Office SEARO) with both ILO Asian offices.
European Union (EU) Law

European Law generally consists of EU Directives and EU Regulations. EU Directives are
binding on member states with respect to the objectives to be achieved but the method for
achieving this is left open. Directives are normally implemented by regulations made in the
member states.
EU Regulations however, are directly acting on member states and requires no further
implementation.
The main institutions of the EU are as follows:
Council of the European Union
The Council of the European Union was previously known as the Council of Ministers. It
consists of one member from each of the member states and usually meets in Brussels. The
office of President rotates on a six monthly basis between the member states.
The Council has a number of powers, the most important of which are:
To ensure the co-ordination of the general economic policies of the member states.
To take decisions and to delegate implementing powers to the European Commission.
To request the Commission to undertake any studies the Council deem appropriate in
order to achieve Community objectives and to submit proposals on them to the Council.
The Council of the European Union is the principal decision-making institution in the
Community.

The European Commission

The Commission is made up of Commissioners from the various member states. The President
of the Commission is nominated by the member states in consultation with the European
Parliament. Voting on issues is resolved by a simple majority. The Commission's functions are:
To formulate and institute policy decisions.
To promote and represent the interests of the EU.
To implement EU policy.
To institute proceedings before the European Court of Justice for any violations of EU
obligations by member states, or against any EU institution considered to have exceeded
its powers.
European Parliament
Originally, the Parliament lacked real executive power and had a mainly advisory role.
However, with the adoption of the Single European Act, its powers have widened
considerably. In addition to its legislative role, the Parliament can join with the Commission
and the Council of the European Union in dealing with legislation relating to discrimination on
grounds of nationality, free movement of workers or services, and the establishment and
function of the EU's internal market.
European Court of Justice (ECJ)
This Court, based in Luxembourg, consists of judges appointed from the member states who
are assisted by advocates-general.
Most cases brought before the ECJ deal with the interpretation or application of EU legislation
as it affects individual rights. If an individual person can show that the member state is in
breach of EU law, s/he can bring the case before the ECJ. However, the individual cannot
make a direct approach to the ECJ. The case must commence in a national court.
Where there is a conflict between EU law and national law, EU law takes precedence. If during
the course of a case in a national court a point of EU law is raised and disputed, the individual
may ask the court to refer the matter to the ECJ.
Enforcement of EU laws
Decisions of the ECJ become precedents for the courts of member states and any future
legislation enacted by member states must have regard to such decisions.
Once a Decision has been made by the ECJ the Court can impose a financial penalty on a
member state which fails to comply with the judgment of the Court.
The European Agency for Safety and Health at Work (EASHW)
The European Agency for Safety and Health at Work was set up by the European Union and is
based in Bilbao, Spain. It aims to make Europes workplaces safer, healthier and more
productive by encouraging improvements in the working environment.
The main functions of the Agency are:
To collect and disseminate technical, scientific and economic information in the Member
States in order to pass it on to the Community bodies, Member States and interested

parties. This collection takes place to identify existing national priorities and programmes
and provide the necessary input to the priorities and programmes of the Community.
To collect technical, scientific and economic information on research into safety and health
at work and on other research activities which involve aspects connected with safety and
health at work, and disseminate the results of the research and research activities.
To promote and support co-operation and exchange of information and experience

amongst the Member States in the field of safety and health at work, including
information on training programmes.
To organise conferences and seminars and exchanges of experts from the Member States
in the field of safety and health at work.
To supply the Community bodies and the Member States with the objective available
technical, scientific and economic information they require to formulate and implement
judicious and effective policies designed to protect the safety and health of workers.
Furthermore, to provide the Commission with the technical, scientific and economic
information it requires to fulfil its tasks of identifying, preparing and evaluating legislation
and measures in the area of the protection of the safety and health of workers, notably as
regards the impact of legislation on enterprises, with particular reference to small and
medium-sized enterprises.
To establish, in co-operation with the Member States, and coordinate the network referred
taking into account the national, Community and international bodies and organisations
which provide this type of information and services.
To collect and make available information on safety and health matters from and to third
countries and international organisations (e.g. WHO, ILO).
To provide technical, scientific and economic information on methods and tools for
implementing preventive activities, paying particular attention to the specific problems of
small and medium-sized enterprises.
To contribute to the development of future Community action programmes relating to the

protection of safety and health at work, without prejudice to the Commissions sphere of
competence.
The European Trade Union Institute (ETUI)

The Health and Safety Department of the European Trade Union Institute - Research,
Education, Health and Safety (ETUI-REHS) aims at promoting high standards of health and
safety at the workplace throughout Europe. It succeeds the former European Trade Union
Technical Bureau for Health and Safety (TUTB), founded in 1989 by the European Trade Union
Confederation.

One of its main activities is in providing information on health and safety issues and policy
while coordinating European networks of health and safety experts in the field of technical
standards and chemicals.
The Health and Safety Department

The Health and Safety Department monitors the framing, national incorporation and
implementation of European legislation in the field of occupational health and safety. It has
set up an Observatory on the application of the European directives to carry out comparative
research into the impact of Community legislation on prevention systems in EU countries, and
work out common trade union responses.
Expertise and Research

The Health and Safety Department also provides resources of expertise to trade union
members of the Advisory Committee on Safety, Hygiene and Health Protection at Work, which
meets in Luxembourg and the Bilbao-based European Agency for Safety and Health at Work.
It conducts research into such fields as risk assessment, prevention systems, musculoskeletal
disorders, gender dimension and health at work, ergonomics, mental workload and
occupational stress.
It runs networks of experts on technical standardisation (ergonomics, safety of machinery) and

hazardous substances (classification, risk assessment, setting occupational exposure limits).
The Health and Safety Department works in co-operation with the two other departments of
the ETUI-REHS involved in industrial relations and education and is financially supported by
the European Commission.
The Health and Safety Executive

The UKs Health and Safety Executive (HSE) is responsible for the regulation of almost all the
risks to health and safety as a result of workplace activities. Their mission is to protect people
by ensuring the control of risk in the workplace. This is done through the enforcement of the
Health and Safety Work Act and other relevant statutory provisions
The HSE covers health and safety in a variety of workplace sectors including nuclear plants,
mines, factories, farms, hospitals, schools, offshore gas and oil installations, the safety of the
gas grid and the movement of dangerous goods and substances, railway safety, and many
other aspects of the protection both of workers and the public. Local authorities are
responsible to HSE for enforcement in offices, shops and other parts of the services sector.
The duties of the HSE include protecting people in the UK against risks to health or safety from
workplace activities by conducting a sponsoring research, promoting training, providing an
information service and by putting forward proposals for new or revised legislation and
guidance. They also have a specific duty to maintain the Employment Medical Advisory Service
which provides advice on matters relating to occupational health.

Their field-staff include many specialist areas such as nuclear, railways, mines, agriculture and
the Employment Medical Advisory Service (EMAS), the latter dealing exclusively with the
health aspect of Health and Safety.
Occupational Safety and Health Administration (OSHA) U.S.

OSHA's mission is to ensure the health and safety of people in the American workplace by
setting and enforcing standards; providing training, outreach, and education; establishing
partnerships; and encouraging continual improvement in workplace safety and health.
OSHA and its state partners have over 2000 inspectors, as well as complaint discrimination
investigators, engineers, physicians, educators, standards writers, and other technical and
support personnel spread throughout the country. OSHA establishes protective standards,
enforces them, and reaches out to employers and employees through technical assistance and
consultation programs.
Nearly everyone who works in the U.S. comes under OSHA's jurisdiction (except miners,
transportation workers, many public employees, and the self-employed). Other users and
recipients of OSHA services include occupational safety and health professionals, the academic
community, lawyers, journalists, and personnel of other government entities.
OSHA aims to ensure worker safety and health in the United States by working with employers
and employees to create improved working environments. Since it launched in 1971, OSHA has
helped to cut workplace fatalities by more than 60 per cent and occupational injury and illness
rates by 40 per cent.
National Institute for Occupational Safety and Health (NIOSH) U.S.

The National Institute for Occupational Safety and Health (NIOSH) is the federal agency
responsible for conducting research and making recommendations for the prevention of work-
related injury and illness. NIOSH is part of the Centre for Disease Control and Prevention
(CDC) in the Department of Health and Human Services.
NIOSH was established by the Occupational Safety and Health Act of 1970 which also
established the Occupational Safety and Health Administration (OSHA). Although NIOSH and
OSHA were created by the same Act of Congress, they are two distinct agencies with separate
responsibilities. NIOSH is in the U.S. Department of Health and Human Services and is a
research agency. OSHA is in the U.S. Department of Labour and is responsible for creating and
enforcing workplace safety and health regulations. NIOSH and OSHA often work together
toward the common goal of protecting worker safety and health.
NIOSH objectives include:
Conduct research to reduce work-related illnesses and injuries.

Promote safe and healthy workplaces through interventions, recommendations and
capacity building.
Enhance global workplace safety and health through international collaborations.

The National Occupational Health and Safety Commission

(NOHSC) AUSTRALIA
The National Occupational Health and Safety Commission (NOHSC) is Australias national body
that leads and coordinates national efforts to prevent workplace death, injury and disease in
Australia. The NOHSCs vision is injury and disease free workplaces across the country.
NOHSC is a tripartite statutory body with 18 members including representatives of all

Australian governments, employers and employees. Its objectives are achieved through
implementing the National OHS Strategy 2002-2012 and through coordinating a national forum
that operates through meetings of the Commission and its committees.
NOHSC is not a regulatory authority and so does not make or enforce laws. The types of
activities that NOHSC undertakes include:
Producing key national standards as a model for laws in each Australian jurisdiction to help
achieve nationally consistent regulation.
Providing OHS statistics.
Ensuring health and safety issues are included in training courses for employees in
Australian industry.
Providing practical guidance on solving OHS problems.
Setting the national OHS research agenda.
British Standards Institution (BSI)

Founded in 1901, the BSI Group is a leading business services provider to organisations
worldwide. The Group has over 5,700 employees in 110 countries, providing:
Independent certification of management systems and products.

Commodity inspection services.
Product testing services.
The development of private, national and international standards.
Management systems training.
Information on standards and international trade.
The Group is divided into a number of divisions:
BSI British Standards is the National Standards Body of the UK and develops standards
and standardisation solutions to meet the needs of business and society. They work with
government, businesses and consumers to represent UK interests and facilitate the
production of British, European and international standards. British Standards trading arm
is BSI Business Information, which focuses on providing standards information and
dynamic services that add value to business standards, best practice and management
systems.
BSI Management Systems operates world wide to provide organisations with

independent third-party certification of their management systems, including ISO
9001:2000 (Quality), ISO 14001 (Environmental Management), OHSAS 18001 (Occupational
Health and Safety), BS 7799 (Information Security), BS15000, an IT management system

and Food Safety management systems. In addition, BSI Management Systems also offers a
range of training services around management systems.
BSI Product Services is best known for the Kitemark, the UKs first product quality mark.
BSI Product Services exists to help industry develop new and better products and to make
sure they meet current and future laws and regulations, from commercial construction to
motorcycle helmets, from mobile phones to fire extinguishers, from car headlights to
medical devices. It also provides third party certification, specifically for CE marking a
legal requirement for certain categories of products to be sold within the EU. The division
also offers an exciting new range of schemes aimed at improving quality within service
markets.

General Duties of Employers

The Health and Safety at Work etc. Act 1974 is the principle legislation governing health and
safety standards in the UK. The Act takes a self-regulatory approach supported by
enforcement from the UK enforcement agencies (HSE and Local authorities). The principles
underlying the general duties of employers with respect to occupational safety and health are
supported by various levels of compliance against legal duties. Whilst we will not cover all UK
duties within this text it is useful to consider the standards of compliance as is it applies to UK
legislation.
In the UK the extent to which employers must comply with the legal duties are qualified by
certain phrases. Some duties are absolute and must be complied with. Others are qualified by
terms such as so far as is reasonably practicable and so far as is practicable which allow
for some degree of judgement based on level of risk and costs involved in managing the risk.
So far as is reasonably practicable means that the degree of risk must be balanced against
the time, cost, effort and degree of difficulty necessary to combat it. If these were so
disproportionate that it would be quite unreasonable to carry them out then it would not be
reasonably practicable.
So far as is practicable implies a stricter standard - where if it is technically possible in light

of current knowledge and best practice then it must be done. Cost, time and trouble are not
taken into account.
This concept was challenged recently within the European Union but was considered an
acceptable approach and remains in force in the UK.
Duties of Employer to Employees

Regardless of any legal background for protecting employees from harm, the general duty
placed on the employer is to -
.ensure, so far as is reasonably practicable, the health, safety and welfare at work of all his
employees.
The general duty includes:
the provision and maintenance of plant and systems of work that are safe and without
risks to health;
arrangements for ensuring the safety and absence of risks to health from the use,
handling, storage and transport of articles and substances;
the provision of information, instruction, training and supervision sufficient to ensure
the health and safety at work of his employees;
the maintenance of any workplace in a safe and healthy condition including means of
access and egress and
provision and maintenance of the working environment for his employees which is safe
and without risk to health and adequate as regards the provision of and arrangements
for their welfare facilities.

Employers must also prepare a written statement of their safety policy. This policy must show
the statement of intent from senior management, the organisation (including roles and
responsibilities) and arrangements for the implementation of it. Together with any revisions, it
must be brought to the attention of his employees.
Employers must also consult with employees in good time about any matters which might
affect the health and safety of the employees. This might include for example, the introduction
of new technologies or systems of work, safety training or information to be provided
Duties on Employers to Non Employees

An Employers must conduct his undertaking in such a way as to not endanger others because
of his work activities.
Others could include persons such as contractors, visitors, the general public and, under
certain circumstances trespassers and burglars.
The duty to contractors really starts before they enter the premises to commence work. The
employer should ensure that they are competent to do the job that they are being employed
to carry out - however large or small it may be. The contractors themselves have the same
duty of care.
The duty of care to visitors will be similar to that provided to employees. The level of
protection necessary will be determined by the degree of risk. A visitor may become a
trespasser should he enter any area where he is not permitted to go.
An employer has a duty of care to members of the public. For example they should protect
them from falling scaffolding and lamp posts - they should not allow infected water droplets to
fall upon them causing legionellis nor should they permit them access to premises such as
building sites.
Duties of Persons in Charge of Premises to Non-Employees

Any person who has, to any extent, control of non-domestic premises or the machinery or
equipment in it or access and egress from or to it, used by people who are not their
employees, has a duty of care to them.
Control means the person in charge of the premises and not employees such as a caretaker
or on-site agent.
Premises could include buildings where contractors enter to service or install machinery or
equipment, coin-operated launderettes, games arcades or university laboratories used by
research students.
The duty to safeguard people will be determined in the light of his knowledge of the expected
use for which the premises have been made available and of the extent of his control and
knowledge, if any, of the use thereafter.

C O N T E N T S
1A3 Health and Safety Management Systems
HEALTH AND SAFETY MANAGEMENT SYSTEMS .................................................................................................. 3

HSES MANAGING FOR HEALTH AND SAFETY .................................................................................................................. 3
PLAN ................................................................................................................................................................... 5
DETERMINING THE POLICY ........................................................................................................................................ 5
PLANNING FOR IMPLEMENTATION ................................................................................................................................ 5
DO ....................................................................................................................................................................... 7
PROFILING HEALTH AND SAFETY RISKS.......................................................................................................................... 7
ORGANISING FOR HEALTH AND SAFETY ......................................................................................................................... 7
CONTROL ............................................................................................................................................................ 7
CO-OPERATION ................................................................................................................................................... 10
COMMUNICATION ................................................................................................................................................. 10
COMPETENCE ...................................................................................................................................................... 11
IMPLEMENTING THE PLAN ....................................................................................................................................... 13
CHECK ............................................................................................................................................................... 14
MEASURING PERFORMANCE ..................................................................................................................................... 14
INVESTIGATING INCIDENTS AND ACCIDENTS ................................................................................................................. 15
ACT .................................................................................................................................................................... 17
REVIEW YOUR PERFORMANCE ................................................................................................................................... 17
TAKE ACTION ON LESSONS LEARNED .......................................................................................................................... 18
ACTIVE MONITORING TOOLS ........................................................................................................................... 19
OCCUPATIONAL HEALTH AND SAFETY ASSESSMENT SERIES (OHSAS) 18001 ................................................. 34
SUMMARY TABLE OF MAIN REQUIREMENTS OF OHSAS 18001 ........................................................................................... 35
HSG65 ............................................................................................................................................................... 37
BSC International Diploma Element 1A | Fundamentals of Health and Safety Management
BSC Level 6 Diploma | Unit 3
Element 1A | Fundamentals of Health and Safety Management
Study Unit 1A3 | Health and Safety Management Systems
Learning Outcomes
1.A.3.1 Describe the elements of a health and safety management system (e.g. HSG65)
1.A.3.2 Outline the principles of OHSAS 18001
Unit 5:

Health and Safety Management Systems

According to OHSAS18001 (see below), a health and safety management system can be
defined as follows:
The part of the overall management system that facilitates the management of the
occupational health and safety risks associated with the business of the organisation. This
includes the organisational structure, planning activities, responsibilities, practices, procedures
and resources for developing, implementing, achieving, reviewing and maintaining the
organisations occupational health and safety policy.
Health and safety management systems can be defined and described, with certain functions
ascribed to each part of the system. Until recently, there have been two main frameworks for
such systems. The first is usually referred to as HSG65 and is described in the guidance
document Successful Health and Safety Management produced by HSE. The second is the
framework found within BS OHSAS 18001 which an internationally recognized standard to
which organisations can gain certification.
HSEs Managing for Health and Safety
HSE has now moved away (since August 2013) from the model previously provided in HSG65,
and the guidance given in the original document has been replaced by an online resource
Managing for Health and Safety which can be found on the HSE website at
http://www.hse.gov.uk/managing/index.htm. At the time of writing (September 2013) there is
no hard copy of this guidance, but HSE has stated that this will be produced in the near future.
The original model within HSG65 was based on the POPMAR (Policy, Organising, Planning,
Measuring performance, Auditing and Review) framework for managing health and safety. A
brief summary of this framework is provided at the end of this chapter. The POPMAR
framework has been replaced by one of Plan, Do, Check, Act (PDCA). It is the view of HSE
that the move towards PDCA achieves a better balance between the systems and behavioural
aspects of management. It also treats health and safety management as an integral part of
good management generally, rather than as a stand-alone system. The components of this
PDCA model are summarised in the table below.

Elements Outline content
Plan Determining the policy

Planning for implementation
Do Profiling health and safety risks

Assessment and prioritisation of risks
Organising for health and safety
Control
Co-operation
Communication
Competence
Implementing the plan
Check Monitoring performance

Active monitoring
Reactive monitoring
Investigating accidents and incidents
Act Reviewing performance

Learning lessons

Plan
Managing for Health and Safety divides guidance on planning into two main elements:
Determining the policy.
Planning for implementation.
Determining the Policy
Brief guidance is provided here; the main points are:
The policy sets a clear direction for the organisation to follow and should be shared
throughout the workforce, so that everyone understands how health and safety will be
managed.
It is best written by someone within the organisation rather than someone from
outside, as it needs to reflect the organisations values and beliefs, and its commitment
to provide a safe and healthy environment.
It should be written in consultation with the workforce, and should be signed by a
person at the top of the organisation; the owner or a director.
Further detail regarding the legal requirements for a health and safety policy are given below.
Planning for Implementation

Planning the system to manage health and safety involves:
designing, developing and implementing suitable and proportionate management
arrangements, risk control systems and workplace precautions.
operating and maintaining the system while also seeking improvement where needed.
linking it to the management of other aspects of the organisation.
In order to plan successfully, the following need to be established:
where the organisation is now, by considering accurate information about the current
situation.
where the organisation needs to be, using legal requirements and benchmarking to make
comparisons.
the action that is necessary to reach that point.
Key Actions in Effective Policy Development and Planning
Leaders should:
Make a statement of intention. State what will be done to keep a safe and healthy
environment for workers and anyone else who could be affected by work activities.
Clearly set out everyones roles and responsibilities. This should include those with
particular roles, for example directors, supervisors/managers, safety representatives,
workers, fire wardens, first-aiders and the competent person.
State how things will be done and what resources will be allocated to make things happen.
Details should be included of the systems and procedures that will be in place to help to
meet legal obligations, such as:
o how risk assessments will be carried out.

o plans are for training and safe use of equipment.

o the controls that will be in place to ensure specifiers and buyers are competent in
assessing the risks in procurement, for example knowing the requirements for purchasing
suitable personal protective equipment (PPE).
o how accidents/incidents will be investigated.
o how workers will be consulted.
o how equipment will be maintained.
o how success of the plan will be measured.
Consider how health and safety performance will be measured. Consider setting
performance targets e.g. for reductions in accidents or absences, or an increase in
reporting issues or near misses.
Prioritise actions.
Sign the policy statement to demonstrate commitment to health and safety.
Managers should:
Consider the management of contractors when developing a policy.
Identify when the policy be reviewed, for example:
o when changes have taken place, such as in processes or staff.
o following accident or incident investigations, both within the organisation and where
lessons have been learned from others.
o following consultation with employees representatives.
o if new information is received, e.g. from manufacturers or others in the same sector or
industry.
Talk to other occupants not employed or managed by the company, but who share the
same premises.
Discuss plans with workers or their representatives.
Communicate the plan so that everyone knows what is required.
When developing plans and policies, consider the level of competence necessary to comply
with the law.

Do
Managing for Health and Safety divides guidance on doing into three main elements:
Profiling health and safety risks.
Organising for health and safety.
Implementing the plan.
Profiling health and safety risks

This is the term used for assessing and prioritising risks within the organisation
Key actions in profiling health and safety risks
Effective leaders and line managers should know the risks their organisations face,
rank them in order of importance and take action to control them.
The range of risks should go beyond health and safety risks and include quality,
environmental and asset damage; issues in one area could impact in another.
A risk profile examines the nature and levels of threats faced by an organisation. It
examines the likelihood of adverse effects occurring, the level of disruption and costs
associated with each type of risk and the effectiveness of the control measures in
place.
Risk profiles will cover:
the nature and level of the risks faced by the organisation.

the likelihood of adverse effects occurring and the level of disruption.
costs associated with each type of risk.
effectiveness of the controls in place to manage those risks.
Risk assessment is dealt with in detail in Unit 1A5.
Organising for health and safety

There are four key areas important in organising for health and safety:
Control
Co-operation
Communication
Competence
Control
The actions of leaders, line managers and supervisors are all important in delivering effective
health and safety. Leaders, at all levels, need to understand the range of health and safety
risks in their part of the organisation and to give proportionate attention to each of them. This
applies to the level of detail and effort put into assessing the risks and the effort put into

implementing controls, supervising and monitoring. Main points within the guidance on
control include the following:
There must be clear, visible leadership for health and safety from the top of the
organisation. Leaders should set a clear example and talk about health and safety in a
positive manner.
Managers should know the significant risks an know that they are being controlled.
There should be a process for ensuring that all health and safety implications of
business decisions are recognised and addressed.
There should be evidence that the board or leader of the organisation is responsive to
the health and safety information that is reported.
Health and safety should be included in the processes or management arrangements
made for running the business.
Health and safety responsibilities of key people should be clearly set out and included
in job descriptions.
The organisation should ensure access to competent advice.
The following table gives examples of effective and ineffective leadership:
When done effectively When done badly or not at all

Leaders
Maintain attention on the significant risks Set no health and safety priorities.
and implementation of adequate controls.
Dont understand the need to maintain
Demonstrate their commitment by their oversight.
actions, they are aware of the key health
Dont meet their own organisations
and safety issues.
standards/procedures, eg wearing correct
Ensure consultation with the workforce on PPE on site/shop floor.
health and safety.
Lack of engagement with health and
Challenge unsafe behaviour in a timely safety by workers.
way.
Health and safety is seen as an add-on,
irrelevance or nuisance.
Poor incident history (accidents, near
misses, plant damage or other indicators,
eg poor maintenance, poor
housekeeping).

When done effectively When done badly or not at all

Management of health and safety
A systematic approach is used to manage Incomplete or missing paperwork. Does
health and safety. not link to actual risks in workplace.
People understand the risks and control Confusion over roles, inaction as no one
measures associated with their work. takes responsibility for health and safety,
Contractors adhere to the same distrust of management motives.
standards.
Widespread, routine violations of
Appropriate documentation is available: procedures. No oversight of contractors.
current, organised, relevant.
Information is not passed on, not
People understand their roles and those of understood, or not implemented.
others.
Managers are unaware of employee
Performance is measured - to check concerns or do not respond appropriately.
controls are working and standards are
Lessons are never learned.
being implemented, and learn from
mistakes after things go wrong.
Beyond compliance
If a formal system (such as BS OHSAS
18001, ISO 9001) is used: has it been
externally certified - is the certification
accredited?
Health and safety is integrated into
business processes.
Benchmarking is used to compare
performance with others.
Supply chains are influenced to improve
health and safety.
A wellness programme is in place.
Additional factors to consider

Type of industry
Smaller and medium-sized businesses may not need a formal, documented system of
safety management. In these situations the behaviours and attributes of a very small
group, or perhaps one person such as the business owner, are critical. It is what the
owner does to set an example and to provide a lead on health and safety to their staff
that determines the outcome.
Larger organisations should have someone in senior management who champions
health and safety to the board. Safety performance should be monitored with key
performance indicators and the arrangements for managing safety should be
periodically reviewed.

Leadership in the process industries is critical and board level involvement and
competence are essential - constant and active engagement in, and promotion of,
process safety by the leadership sets a positive safety culture; rigour in leadership.
Occupational health issues
Dealing with a work-related ill-health issue in an organisation may not be as straightforward as
it is for a safety issue. It is important to get the right competent advice to identify what needs
to be done. Both immediate ill-health risks and those which can have a latency period must be
considered.
Co-operation
Worker involvement: This means involvement of the workforce beyond the required legal
minimum standard (i.e. more than consultation), where there is development of a genuine
management/workforce partnership based on trust, respect and co-operation. The following
are the ways of involving workers according to Managing Health and Safety :
encouraging open communications (e.g. toolbox talks, suggestion schemes, notice

boards, or health and safety walkabouts) where workers can discuss or raise their
concerns.
giving recognition when workers identify risks.
for larger businesses, more formal health and safety forums or committees can be a
means of enabling worker involvement which may need to cater for part-time workers
and contractors.
Co-operation also includes:
Co-ordinating with contractors.

Contacting external services.
Emergency planning.
.
Communication
Key actions in communicating
Leaders should:
Ensure that time is allocated so that communications can take place.
Managers should:
Formulate plans for cascading information. This will include getting messages across to
contractors, anyone with low levels of literacy, or those whose first language is not
English.
Consider what needs to be communicated and to whom e.g. health and safety policy,
risk assessment findings and safe systems of work be shared.
Lay out clear communications procedures for safety-critical tasks.
Where needed, plan communications with emergency services.
Ensure that communication is included in change management procedures.
Ensure that written instructions are clear and up to date.
Make sure that safety-critical messages have been given attention and are understood.
Plan training or coaching to ensure that line managers have the skills needed to carry
out face-to-face discussions at all levels within the organisation.

Workers or their representatives should be involved in planning communications

activities.
Workers should be able to give feedback and report their concerns.
Vulnerable groups within the workforce should be involved in communications plans,
e.g. young or inexperienced workers, workers with a disability or migrant workers.
Competence
Key actions in competence
Leaders should:
Consider the organisations risk profile and establish whether there is enough in-house
competence to comply with legal obligations.
Ensure that workers and managers are able to deliver their responsibilities.
Ensure that the nominated competent person(s) has time available to keep up to date
with changes in the law and industry good practice.
Managers should:
Carry out proper induction and reinforce learning through peer behaviour, coaching
and supervision.
Make sure all workers have the necessary training, knowledge and experience to carry
out their job safely and without risk to their health.
Make sure workers understand the information, instruction and training given, taking
account of any language difficulties or disabilities. Information may need to be in a
language other than English.
Consider workers' individual capability before allocating work. Set out arrangements to
capture workers' ideas and suggestions.
Make sure there are arrangements for retaining and sharing corporate knowledge.
Identify workers with knowledge and experience who could help others develop their
level of competence.
Training alone does not achieve competence managers must make sure competence
is achieved through consolidation and practical experience .
Make sure human factors are covered, for example the effects of fatigue.
Encourage workers to identify gaps in their knowledge or experience.
Discuss plans for learning and development with workers or their representatives.
Key actions in capability and effective health and safety training

Leaders should:
Provide resources to enable training to take place.
Ensure that sufficient time is given for training.
Ensure that a system is in place that provides assurance that workers and managers
involved in safety-related work remain competent.
Make sure that contingency plans are in place, e.g. if a key member of staff were to
suddenly leave the organisation?
Ensure that the organisation has access to competent health and safety advice. This
may be through a trained in-house adviser, or a competent external consultant e.g.
from the Occupational Safety and Health Consultants Register (OSHCR).
Demonstrate personal compliance with health and safety training.

Managers should:
Plan training
Decide if training is necessary. Think about the job, the person who carries it out, the
processes and equipment required.
Remember that contractors will need to be trained.
Ensure there is a system in place to identify training needs during recruitment and
when there are changes of staff, plant, processes, substances or technology.
Find out which specific training must be provided by law, such as for operating forklift
trucks .
Prioritise training needs.
Decide the format that training will take e.g. formal course coaching, informal, on the
job training, written instructions, online information or simply telling someone what to
do.
Remember that additional arrangements may be necessary for those whose first
language may not be English, or those with low levels of literacy .
Ensure processes are in place to ensure workers receive refresher training.
Ensure that training material or information comes from a reliable source and that the
person carrying out the training is competent to do so.
If training is outsourced, make sure the trainer has a good understanding of the
organisation and its requirements.
Decide how the organisation will keep up to date with changes in legislation and
methods of risk control.
Remember that competence levels will drop if skills are not used on a regular basis -
schedule refresher training at regular intervals.
Simulation exercises and drills will be required for some high-risk activities, e.g. control
room operators full-site emergency exercises .
Devise means of keeping training records .
Monitor learning outcomes and training methods.
Review training material regularly to ensure that it remains current .
Consider remedial training if lack of competence is identified as the cause of an
incident .
Gather feedback on training.
Decide whether the training delivered its objectives. Consider whether there have been
any improvements following the training - if not, initiate changes.
Ensure training is carried out.
Dont assume that workers will be competent following a course or instruction - check
to make sure.
Review your employees capabilities and provide additional or refresher training if
needed.
Consult workers or their representatives during the planning and organising of training.
Consider the needs of appointed safety representatives, who have paid time to carry
out their functions, and to have training in those functions.

Implementing the Plan

Key actions in implementing the plan effectively
Leaders should:
Leaders should take positive steps to address human factors issues and to encourage safe
behaviour. They need to recognise that the prevailing health and safety culture is a major
influence in shaping peoples safety-related behaviour.
Make the necessary resources available to successfully implement the plan. These include
human resources and specialised skills, organisational infrastructure, technology and
financial resources.
Managers should:
Keep any documentation proportionate to the complexity of the risks concerned. Keep it to
the minimum needed for effectiveness and efficiency.
Agree realistic timescales for implementation of plans with the workforce.
Ensure all concerned are clear on their role and responsibilities, and understand the steps
they need to take to meet the objectives. Clearly communicate who is responsible,
accountable and competent to undertake specific tasks.
Demonstrate commitment to delivery at all levels within the organisation, using a variety of
communication channels to engage the workforce in implementation. This can be through
visible behaviour, written material and face-to-face discussions.
Keep people informed of progress and maintain a focus in the key risks and issues. Use
review meetings (or make use of existing internal forums) as a basis for helping to make
further improvements.
Measure progress of implementation against clear milestones or performance indicators and
make necessary adjustments if there is early evidence that requirements are not being met.
Recognise contributions and safe behaviours that help create or reinforce positive attitudes
and behaviours.
Ensure that the arrangements give assurance that workers and contractors are following
workplace precautions and risk controls.
Make full use of expertise available on safety committees and other forums (where these
are in place).
Involve and consult workers and representatives throughout any implementation, by
ensuring systems are in place that allow workers to raise concerns and make suggestions,
e.g. staff suggestion schemes, online communities, committees etc.
Consider all feedback, take action or provide a prompt response.
Ensure the competence of individuals is developed through experience and training,
managers are providing coaching and the organisation learns by making use of specialist
advice as required.
Use the results of progress reviews to feed into future training plans - this helps with
continuous improvement and avoids complacency.

Check
Managing for Health and Safety divides guidance on checking into two main elements:
Measuring performance
Investigating accidents and incidents
Measuring performance
Types of monitoring
There many different types of monitoring but they can generally be categorised as either
active or reactive:
Active methods monitor the design, development, installation and operation of management
arrangements. These tend to be preventive in nature, for example:
routine inspections of premises, plant and equipment by staff.
health surveillance to prevent harm to health.
planned function check regimes for key pieces of plant.
Further information on a range of active monitoring tools is given below.
Reactive methods monitor evidence of poor health and safety practice but can also identify
better practices that may be transferred to other parts of a business, for example:
investigating accidents and incidents.
monitoring cases of ill health and sickness absence records.
Key actions in measuring performance effectively
Leaders should:
Demonstrate commitment to the process.
Ensure that systems are in place to report performance upwards so that leaders or
directors, can review and be assured that legal compliance is achieved and maintained.
Make certain there is a process in place to report serious incidents upwards
immediately.
Receive and review reports at regular intervals.
Question results and ensure that action is planned to tackle poor performance and
ensure the system you use to manage health and safety works.
Managers should:
Determine which areas require monitoring.
Involve different levels within the management chain, as well as workers
representatives and health and safety advisers.
Decide on the frequency of monitoring; it will be appropriate to monitor key risks more
often and in more detail.
Plan what actions are necessary if measures go up or down.
Use performance measurement results to improve health and safety performance, and
learn from human and organisational failures.
Share lessons learned within their own organisation and with other organisations.
Review performance measures every so often against policy; changes in the business
could mean that existing performance measures are out of date.
Worker consultation and involvement.

Involve the workforce in setting and monitoring health and safety performance
measures .
Involve everyone in the monitoring process.
Encourage workers to monitor their own work area, reporting any issues they observe.
Make reports available to everyone within the organisation.
Use the results of monitoring to feed into future training plans.
For sites with major-accident hazards, focus on performance measures for critical
activities or plant, especially safety-critical tasks with much human interaction and the
operational performance of safety-critical devices (e.g. relief valves).
Investigating incidents and accidents

Key actions in effective accident/incident investigation
Leaders should:
Verify that plans are in place to deal with immediate risks following unforeseen events.
Make sure there is a reporting process so that leaders are informed of accidents,
incidents or cases of occupational ill health.
Consider lessons from the accident/incident history of others in similar industries or
organisations - could the same mistakes be avoided?
Ensure that people are held to account if failings reoccur.
Managers should:
Determine what should be reported.
Ensure reporting procedures are communicated to workers.
Decide who will assist and carry out investigations.
Decide on remedial action.
Ensure that procedures are in place to identify trends.
Ensure reporting procedures are suitable and workable.
Examine all incident/accident/near-miss reports and identify trends .
Be proportionate in any investigation, according to the level of risk identified. Establish
what happened, when, where and why.
Collect and consider evidence.
Compare evidence against industry standards/HSE guidance etc.
Investigate accidents with a high priority - before peoples memories fade and while
evidence is still available.
Look at root or underlying issues not just immediate causes:
o immediate causes - premises, plant and substances, procedures, or people.
o underlying causes - management arrangements and organisational factors such
as design, selection of materials, maintenance, management of change,
adequacy of risk controls, communication, competence etc.
Record and keep findings.
Engage specialist help to support complex investigations, e.g. an operation involving
major accident hazards.
Involve workers or their representatives in the planning process and in the target-
setting process.
Carry out joint investigation with workers representatives .
Consider how competency is achieved, tested and maintained.
Ensure investigators have the necessary training, knowledge and experience to carry
out their duties.

Consider whether training issues contributed to causes of accidents/incidents/near

misses.

Act
Managing for Health and Safety divides guidance on acting into two main elements:
Review your performance
Take action on lessons learned
Review your performance
Key actions in reviewing performance effectively
Leaders should:
Consider the review findings. If improvement is needed act immediately, rather than
reacting to an incident in the future .
Make sure that the review is carried out according to the plans, and that a report is
issued to senior leaders at least annually.
Ensure the scope of the review will give assurance that risks are as low as reasonably
practicable. This means balancing the level of risk against the measures needed to
control the real risk in terms of money, time or trouble. However, action is not required
if it would be grossly disproportionate to the level of risk, and that the organisation is
complying with health and safety law.
Managers should:
Set the review objectives and consider
o Judgements about the adequacy of health and safety performance
o Assure that the system for managing health and safety is working
o Ensure legal compliance
o Setting standards
o Improving performance
o Responding to change
o Learning from experience.
Determine who will carry out the review and which information to consider
o Results of active and proactive monitoring
o Accident/incident/near-miss data
o Training records
o Inspection reports
o Investigation reports
o Risk assessments
o New guidance
o Issues raised by workers or their representatives
o Checks required by law, e.g. on lifting equipment and pressure systems.
Determine the frequency of the review depending on the risk profile.
Consider the supply chain and contractors.
Consider incidents that have occurred in similar organisations .
Report the review findings to everyone within the organisation.
Ensure remedial actions have been carried out .
Discuss plans for review with workers or their representatives.
Use information from safety representatives inspections to feed into review.
Discuss the findings from the review with workers or their representatives
Ensure that those carrying out the review have the necessary training, experience and
good judgement to achieve competence in this task.

Talk to similar organisations to compare performance and management practices.

If risks are complex and could have serious consequences, consider getting specialist
advice, or supporting an employee by providing additional training.
Check that training needs identified by the review have been addressed.
Take action on lessons learned

Key actions in learning lessons effectively
Learning lessons involves acting on findings of accident investigations and near-miss
reports, organisational vulnerabilities identified during monitoring, audit and review
processes.
Even in well-designed and well-developed management arrangements there is still the
challenge of ensuring that all requirements are complied with consistently.
After an accident or case of ill health, many organisations find they already had
systems, rules, procedures or instructions that would have prevented the event but
were not complied with.
The underlying causes often lie in arrangements which are designed without taking
proper account of human factors, or inappropriate actions are condoned implicitly or
explicitly by management action or neglect.
Analysis of major incidents in high-hazard industries, with different technical causes
and work contexts, commonly find problems with leadership, attitudes and behaviours
and risk management and oversight. When these aspects of an organisation become
dysfunctional, important risks can become normalised within it, leading to serious
consequence.
Organisational learning is a key aspect of health and safety management. If reporting
and follow-up systems are not fit for purpose, for example if a blame culture acts as a
disincentive to reporting near misses, then valuable knowledge will be lost.
If the root causes of precursor events are not identified and communicated throughout
the organisation, this makes a recurrence more likely.
In many cases, barriers within an organisation - where different departments operate
in silos - inhibit organisational learning.
Human factors; leaders and managers need to be aware of the people-related, cultural
and organisational issues that may prevent lessons from being learned effectively in
their organisations.

Active Monitoring Tools

The foundations of effective performance measurement are the specifications and performance
standards for the management arrangements and risk control systems. These provide the
yardsticks for the measurement process.
The measurement process will gather information about performance through:
Direct observation of conditions and of people's behaviour.
Talking to people to elicit facts and their experiences as well as gauging their views and
opinions.
Examining written reports, documents and records.
These information sources can be used independently or in combination.
Direct observation includes inspection activities and the monitoring of the work environment
(such as temperature, dust levels, solvent levels, noise levels) and people's health and safety
related behaviour. This lies at the heart of the measurement process, since most of the
reports and records which will also be examined will be developed from previous inspection
and monitoring activities.
For this to be an effective means of monitoring the state of health and safety arrangements, it
cannot be something which is done every now and again and certainly not something which
can be left until there is an incident. These activities must be carried out on a planned, regular
basis. In other words, there must be a system for doing it.
Systematic monitoring, involving inspections and other forms of examining health and safety
arrangements and control measures, will be based on the nature and severity of the risks.
High risk situations will require a greater depth and frequency of monitoring than situations of
lower risk. Therefore, some measures may need to be checked on a daily basis, or even
before any work activity. Others may only need examining every week or month, and still
others every few months or every year. However, we have seen that it is important to monitor
all aspects of health and safety, so there must be a plan to ensure that this is done. Only in
this way will the adequacy of the arrangements and measures be measured.
There are a variety of means of doing this.
Safety Inspections
A workplace inspection involves someone walking round a part of the premises, looking for
hazards or non-compliance with legislation, rules or safe practice, and taking notes. The task
is made easier and more methodical if some form of checklist is used (see later).
Inspections will include a review of such issues as:
General maintenance, including the conditions of floors, work surfaces, machinery
and equipment, etc.
Compliance with safe systems of work.
Housekeeping and cleanliness.
Condition of information and warning signs.
Fire precautions and means of escape in case of fire.
Effective guarding of machinery.

Condition of, and compliance with, PPE.

Workplace inspections involve the systematic examination of the controls in operation, such as
the condition of guards and the level of compliance with safe systems of work, and the
effectiveness of the level of information, instruction, training and supervision.
Workplace inspections are concerned with ensuring that the control arrangements specified in
the safety policy are operating effectively and that they cover all the risks. As such, they are
the foundation of systematic health and safety monitoring. They demonstrate management's
commitment to safety, and afford an opportunity to involve employees, thereby giving them
ownership of safety. By identifying problems, making recommendations, and eliminating or
controlling the risk before an accident happens, the morale of employees is raised.
There are a variety of types of inspection, as we discuss below, but they all comprise the same
three basic elements:
An assessment of the standards of workplace health and safety against the specified
performance standards and the risks.
The identification and reporting of any deficiencies.
The identification of causes and of action to be taken to remedy the problem.
Inspections should be carried out by competent people i.e. people with the knowledge and
skills to appreciate the requirements of the performance standards and assess the actual
situation against them.
The frequency of the inspections will be determined by the nature of the risks and the
importance of the measures to their control. However, workplace inspections also provide an
active demonstration of commitment to health and safety and, as such, should be a sufficiently
regular occurrence to assure the workforce that safety issues are important and demand
constant vigilance.
Types and Frequency of Inspection
The types and frequency of inspections will reflect the nature of the risks in the workplace and
the methods used to control them. There is, therefore, a range of inspection regimes designed
to ensure the effectiveness of control systems:
Routine Inspections
The first level of inspections are those which are carried out as a matter of routine at all
times or at very frequent intervals.
Some precautions needed to control a particular risk may need to be monitored on an
almost continuous basis to ensure their effectiveness for example, local exhaust
ventilation systems to remove toxic fumes. Others need to be checked prior to beginning
operations to ensure that it is safe to carry out the activity for example, that guards are
in place and working properly, or that PPE is in good condition and correctly put on.
Generally, these will be systems to control hazards which present a high risk of personal
injury, and may be incorporated with permit-to-work systems.
The requirement to carry out such inspections will be written into the safe system of work
for the particular operation and it will be the responsibility of the operator and/or the
immediate supervisor to ensure compliance.
Routine inspections are also good practice in most situations where there is some
measure of risk. Workers should be encouraged always to carry out at least a quick visual

check of equipment before using it for example, to ensure that the cable on a portable
drill is not damaged or the wiring into the plug is not loose.
It will not generally be necessary to document that routine inspections have been carried
out, although where they form part of a permit-to-work system this will be required.
However, any deficiencies must be reported to a manager immediately and work should
not commence before the issue has been resolved.
Maintenance Inspections
Many physical control systems or items of plant, machinery and equipment need to be
checked on a regular basis to ensure that they remain fit for the purpose. These
inspections will involve examining, testing and making repairs/adjustments to such items
as fire extinguishers, portable electrical equipment, vehicles, etc. This should be done in
accordance with a maintenance schedule which is designed to ensure that all items are
checked within defined periods, depending on the rate at which they may be expected to
deteriorate and therefore present a risk in their use. For example, for vehicles, the
requirement may be that they are inspected every six months or after having travelled
10,000 miles, or for adjustable machine guards it may be every two weeks.
The maintenance schedule is very often specified by the manufacturer or supplier of the
plant and machinery, etc., and in some cases it is reinforced by legal requirements (as in
the case of fire-fighting equipment).
Maintenance inspections will normally need to be documented and the record should
include the general state of repair of the item, results of any tests and what
repairs/adjustments were made, if any.
One-Off Equipment, etc. Inspections
There will always be a need to specifically inspect particular items of plant, machinery and
equipment in certain circumstances, such as:
After a breakdown, accident or other incident affecting the item.
After a period of non-use for example, on resuming operations after a weekend or
holiday period.
After resetting the equipment for example, checking the positioning of the fixed
guard which had been removed to allow for the changing of a grinding wheel.
The circumstances in which any items of plant, machinery and equipment will need to be
inspected will generally be stated in the safe system of work and it is usual for there to be
a ban on operations using the item until the inspection has been carried out.
Such inspections will normally be documented.
Use of Checklists
While checklists are often included in safety procedures and manuals, they should not be seen
as set in tablets of stone. In particular, in terms of maintenance and safety inspections, the list
should not act as a constraint on the inspector(s) identifying other potential problems or
hazards. Checklists should also be reviewed from time to time to take account of recent or
proposed developments in health and safety issues in the particular workplace.
In order to get maximum value from inspection checklists, they should be designed so that
they require objective rather than subjective judgments of conditions. For example, asking the
people undertaking a general inspection of the workplace to rate housekeeping as good or bad
begs questions as to what good and bad mean, and what criteria should be used to judge this.

Specimen Checklist
This checklist extract is based on that produced in Safety for the Smaller Firm, published by
the Chemical and Allied Products Industry Training Board. It was produced as a quick
reference for distribution to those concerned in the inspection of safety and good
housekeeping standards in all work areas.
Note that the third column ("Comments") is reserved for any statements of proposed action
where the answer is NO.
Specimen Safety Inspection Checklist - Extract
(Reproduced by permission of the Chemical and Allied Products Industry Training
Board)
Comments
Commitment
Is it accepted that accident prevention is an essential part of
YES/NO
management function?
Is this made clear to supervisors? YES/NO
Do supervisors accept that accident prevention is an essential
YES/NO
part of their function?
Do they make this clear to operators? YES/NO
Communications
How often is accident prevention discussed with supervisors? Weekly
Monthly
Quarterly
Do supervisors discuss accident prevention with their operators? YES/NO
How effective are communications on accident prevention? Poor
Fair
Good
Safety Training
Is safety training an integral part of all job instruction? YES/NO
Is safety training done by:
Safety advisers? YES/NO
Supervisors? YES/NO
Other operators? YES/NO
Is there any follow-up? YES/NO
What percentage of operators have attended accident
%
prevention courses?
How many trained auxiliary fire-fighters are there? ............
Have all operators had training in the use of portable fire
YES/NO
equipment?
If the answer is NO, what percentage have had training? .........%
When did this training take place? ............
How many trained first-aiders are there? ............
Is a record kept of safety training of each operator? YES/NO

Access
Is adequate safe access and egress provided at all points where
YES/NO
operators work?
If portable access platforms are necessary: YES/NO
Are they sufficient? YES/NO
Are they regularly inspected?
YES/NO
Priorities for Action

As a general point, inspections are not designed to provide a problem-solving mechanism at
the very instant a hazard or risk is identified. It would normally be more appropriate to
analyse any deficiencies in the safety arrangements during a post-inspection discussion.
However, action may need to be taken if there is an immediate risk to life or limb.
The purpose of inspection is, though, to identify remedial action to be taken in respect of
deficiencies. This needs to be based on an assessment of the causes of the problem
immediate and underlying. Priority should be given to remedying any immediate causes of
risk, since they may have the potential to cause accidents and action should be taken at the
earliest opportunity. Other underlying causes also need to be addressed, but these are likely
to involve further investigation and consultation with management to identify the roots of the
problem. They must not, though, be overlooked.
It is also useful to rank the outstanding issues i.e. those that are not earmarked for
immediate action so that priority can be given to those deficiencies which appear to present
the greatest risk.
Safety Tours
Conducting safety tours is an important aspect of safety management, because it allows
management to:
See how the safety programme is progressing.
See conditions as they exist in the workplace.
Observe unsafe acts and conditions.
Provide lower levels of management and staff with visible indication of management's
commitment to safety.
Provide the opportunity for management to engage in two-way communication with staff
members about safety.
As well as being a monitoring tool, the safety tour is also included in HSG 65 (in "Organising
for Health and Safety Communication") as a method of demonstrating management
commitment and interest.
A safety tour follows a predetermined route through the workplace and can be performed by a
range of personnel from works managers to supervisors and safety representatives. Such
tours typically last only 15 minutes or so and may be conducted regularly to ensure that
standards of housekeeping are acceptable, gangways and fire exits are unobstructed, and

hazards are dealt with quickly. The frequency of safety tours depends on the needs of the
organisation, but a method adopted by one large organisation is to require first line supervisors
to tour weekly and intermediate managers to tour monthly.
Safety tours will not generally be documented in detail, except in so far as any deficiencies are
found. These will need to be reported and follow-up action checked (perhaps on the next tour
or, if urgent, by a special inspection).
Safety tours are not as thorough as safety sampling (see below). They give a quick but limited
snapshot of workplace conditions.
Safety Sampling
This is an organised system of regular random sampling. Its purpose is to obtain a measure of
safety attitudes and possible sources of accidents by the systematic recording of hazard
situations observed during inspections made along predetermined routes in a workplace.
The premises are first divided into a number of walking routes so that at least 90% of all the
normal working locations are covered. An observer is then assigned to each route.
Supervisory and junior management staff are generally thought to make the most suitable
observers, because they are familiar with the workplace and personnel and are competent
persons in respect of inspection procedures. Observers will be drawn from a variety of
departments to help stimulate interest in the exercise and reinforce the idea that health and
safety is a common responsibility shared by the entire workforce.
At a given signal or time, the observers start to carry out the inspection, each following his/her
prescribed route and taking a similar time to complete the inspection. (The time allowed is
usually twice the time normally taken to walk the route at a steady, but not fast, pace. It is
essential that no-one exceeds the allotted time for the inspection.) This then provides a
snapshot of the state of health and safety at this particular time throughout the premises (the
sample).
Each observer will record the various safety defects which they notice on a standard tabulated
form or checklist. These sampling sheets will be handed to the sampling co-ordinator for
detailed analysis. When the forms are handed over, observers must also report any serious
defects or hazards which have been observed, so that action can be taken to have them
remedied immediately. It is not the role of the observer to carry out corrections.
The key to good safety sampling is the use of a simple, but comprehensive checklist. This will
be some form of classification of unsafe acts and unsafe conditions which can be directly
observed. For example, the following extracts from a sampling list cover prescribed protective
clothing which is not worn or is defective, and the misuse, abuse, non-use or neglect of
protective equipment:

Group 1: Protective Clothing
Code Description
101 No eye protection
102 No head protection
103 Inadequate foot protection
104 No hair net or cap
105 Wearing rings
106 Not wearing apron/overalls/coat
107 Not wearing gloves/gauntlets
Group 2: Protective Equipment
Code Description
201 Machine guard removed
202 Machine guard defective
203 Foot pedal unguarded
204 Guard improperly adjusted
As with all checklists, there should be scope for noting additional items which are not on the
list.
The simplest way of using the information obtained is to count the total number of defects for
the whole workplace, which gives a numerical index of accident potential. More sophisticated
analyses can be performed to give total numbers of particular types of unsafe act or unsafe
conditions, and these can be collated with incident data to broaden the picture. Results may
also be compared with previous samples to give an indication of trends.
The purpose of the sample is not to investigate working practices in any detail, but simply to
highlight areas of concern which may then be subject to more detailed inspection and
investigation. The main outcomes are:
The provision of a numerical basis for assessing accident potential in terms of unsafe acts
and unsafe conditions.
An indication of those areas where accident prevention measures should be concentrated
(i.e. those areas with high indices).
A warning to management of matters needing urgent attention.
It may also be seen as a participatory exercise, involving all levels of management across
different parts of the organisation, in the common pursuit of improved health and safety. This
will help to build the safety culture.

However, the sample provides a quantitative measure of performance only in a limited area of
the organisation. The regularity of the exercise can be seen as time-consuming and also lead
to complacency.
Safety Audits
A safety audit is an in-depth, systematic, critical investigation into all aspects of safety. It
needs to include management systems, policy, attitudes, training and practice.
Scope and Purpose of Audits
Auditing supports monitoring by assessing the effectiveness of the health and safety
management system, usually throughout the whole organisation (but occasionally in defined
parts), by ensuring that:
Appropriate management arrangements are in place.
Adequate risk control systems exist, are implemented, and are consistent with the hazard
profile of the organisation.
Appropriate workplace precautions are in place.
It provides verified feedback to management that the standards and procedures are
satisfactory, and recommends any changes necessary. Together with performance review, it
enables an organisation to maintain and develop the effectiveness of its safety management
system.
Audits are designed to assess the key elements of health and safety management by reference
to performance standards. To achieve these very broad objectives, the audit has to be an in-
depth, systematic, critical investigation into all aspects of safety in the organisation being
audited. This is based on an evaluation of a wide range of performance standards of health
and safety management, such as:
Health and safety policy.
Management organisation, including the safety committee.
The training and instruction of workers.
Supervision.
Hazard control.
The investigation of accidents and other incidents.
Legislative compliance.
Hazardous materials and health monitoring.
Regular inspections.
First-aid services and emergency response, including fire precautions.
Review processes.
During the audit, actual performance in relation to each standard could be rated as a
percentage of full compliance to give a 'compliance rating'. This rating is established by the
answers found to a series of questions which detail the way in which the standard is designed
to operate. These questions are similar to a checklist of points to be addressed in relation to
the standard, although in the case of an audit, the answers will be judgments about the extent

to which the organisation meets it, rather than a simple 'yes/no'. Some examples of questions
are given shortly.
The way in which these compliance ratings may be interpreted varies between organisations
and the nature of the risks faced. However, in general terms, the following table indicates
what different ratings might mean:
85 100% Functioning effectively.
65 84% Documented and implemented.
50 64% Meets minimum requirements.
0 49% Requires immediate attention.
Audits are time-consuming and costly. They are, therefore, only carried out at reasonable
intervals at most once a year, but often less frequently. The frequency will depend on the
nature of the risks, the extent of change in the organisation and existing compliance levels.
Some components of the system do not need to be audited as often as others. Technical
audits verify the continued effectiveness of critical risk control systems in high hazard
industries and need to be carried out frequently. An auditing plan or programme indicates
when and how each component part of the safety management system will be audited.
Further information on Audits will be discussed later in this chapter.
Safety Surveys
A safety survey is a very detailed examination of a particular safety aspect. It could involve,
for example: a detailed inspection of all aspects of fire-fighting equipment; examining all the
safety devices on machines; or checking all the emergency exits.
Safety surveys may be carried out following such events as the introduction of new equipment
or changes in working practices. They may also be initiated after problems have been
highlighted by other monitoring techniques for example, where there has been a rise in
particular types of accident or a deficiency has been disclosed by a safety audit.
One example is in a large office block where, following a safety audit, it was established that
some fire extinguishers did not seem to have been tested or examined for a number of years;
certain floors did not seem to be adequately protected; and there was doubt about the efficacy
of some extinguishers. A safety survey was ordered which examined all aspects of the
provision of fire extinguishers throughout the building.
Safety surveys are conducted by the managers responsible for the workplace(s) being
inspected, together with safety officers. The findings will be fully documented in the form of a
formal report to management.
Effectiveness of Above Techniques
Ideally the measurement techniques used will have some active as well as reactive features.
The Annual Report of the HSE sets out their performance measures and the results which they
achieved. This may give you some good ideas. In this case the objective is to provide an
efficient, cost-effective, quality service.
Health and safety audits are ideally done by some external organisation or by a special unit
from head office in the case of multi-site operations. The purpose will be to see the extent to
which the elements of the system are still effective, and whether any action needs to be taken
to avoid accidents and other losses. To be used as a measure, some standard needs to be set

in the key areas. A scoring system can be introduced if the intention is to hold managers
responsible for standards in their area of influence.
There are some points against the use of audits. Audits are time-consuming and costly. It is
not feasible to carry out a full audit more than once a year. There are likely to be a lot of
things to correct, and some of these may take time to complete. If there is a long time
between the recommendation being made, and the solution being put into effect, the value of
the audit is reduced.
There are a number of proprietary audit systems which are available, sometimes referred to as
the 'International Safety Rating System' (ISRS). Often these are computer-based and require
answers to set questions. If there are to be comparisons between departments then there will
need to be some uniformity. The scoring system should give weighting to significant safety
performance. Human factors and attitudes need to be a major element of the audit, but these
are not so easy to measure or score.
The advantage of workplace inspections is that the inspection can be much more frequent than
an audit. In order for it to be an effective measure, the workforce as well as management
need to be involved, as this effectively gives them 'ownership' of the safety process.
Management is able to demonstrate commitment to safety and it is possible to get a clear
picture of problem areas and to take quick and effective action. Some scoring system needs to
be involved if comparisons over time, or with other sections, are to be made. Such an
inspection usually goes under the name of safety sampling if it concentrates on a few specific
points. A safety tour follows a set route.
Points to watch are that if the inspections or sampling are too frequent, then it is possible that
an action point required by the previous inspection will not have been corrected when the next
inspection takes place. Any scoring system used to compare sections must be shown to be fair
and impartial. You will be well aware that some inspectors are very lenient, and others are
very strict. Some inspectors will just have to find something wrong. Training and experience
on the part of the inspectors is important. Often inspections find minor matters that are not
really likely to cause accidents and then fail to find larger potential hazards.
Safety surveys make sure that aspects of safety are not overlooked in the general run of
inspections. A safety survey generally results in a formal report and an action plan to deal with
any findings. The advantage is the thoroughness of the exercise, but the limitation is the
narrow aspect of health and safety examined.
Health Surveillance
Health surveillance includes keeping individual health records and setting up procedures for
monitoring employee health. Where employees are exposed to hazardous substances in the
course of their work, health surveillance aims to:
Protect the health of individual employees by detecting as soon as possible adverse
changes which may be attributed to exposure to substances hazardous to health.
Assist in the evaluation of measures taken to control exposure.
Collect and maintain data for the detection and evaluation of hazards to health.
Assess, in relation to specific work activities involving micro-organisms hazardous to
health, the immunological status of employees.
Review records and occupational history during and after exposure, to check correctness
of the assessment of risks to health and to indicate whether the assessment needs
reviewing.

For certain substances and processes which may give rise to identifiable adverse health
effects, the health surveillance measures mentioned above must be carried out.
Methods of Obtaining Data
You need to be aware of the major methods of obtaining data.
Medical Examination Before Employment
This is usual, particularly for young people. For older employees, the examination may be only
very cursory.
Regular Health Screening
Articles often appear in health and safety publications which relate to specific health issues.
These include: back-pain, leptospirosis, sick building syndrome, non-smoking policies, asthma,
soldering, vibration and stress.
These articles invariably make the point that ill-health is a greater risk than injury, and
certainly ill-health is responsible for at least 50% of time off work. Preventing ill-health is a
more difficult problem than accident prevention.
You have also probably heard about the recent problems in the Lloyd's insurance market. The
reason for the losses is asbestosis claims. Lloyd's underwriters arranged health insurance, a
lot of it in the USA. Only now are the workers claiming compensation. The risk was
underestimated and very few precautions were taken. Since health insurance relates to the
time when the risk was taken, and the premium paid, the insurance company is responsible for
paying out claims.
An Ethical Problem Involving Health Screening
Pre-employment tests often involve testing for allergies, but can also involve tests for drink,
drugs and HIV status. Quite sophisticated tests can be carried out on a single drop of blood,
perhaps given to test for diabetes or to find the blood group. The blood can also be used for a
complete battery of tests, at very little cost. Issues which arise include:
Should the employee be told the reason for the test?
Would the test result be a valid reason for refusing employment?
This certainly comes under the heading of risk management. It would avoid employing people
with health problems, or those with drug, alcohol or substance-abuse problems.
Screening could be to protect other members of the workforce or simply to avoid future
compensation claims. There is a statutory obligation to monitor the health of workers involved
with lead, and ionising radiation, and other groups could also be included.
Factors Other than Work Activities which can Affect the Health of Workers
The list is probably endless, but here are some of the most significant factors:
Smoking - cause of 90% of lung cancer.
Passive smoking - workers who have to breathe air polluted by smokers.
Poor diet.
Excess eating.
Alcohol.
Lack of exercise.

Too much or inappropriate exercise.

Dangerous sports.
Drug abuse.
An ill-health condition caused by an activity other than work can be made worse by an
industrial situation. Compensation is only paid for work-related conditions and it can be
difficult to establish precisely where the problem lies.
Problems in Obtaining Data Related to Health
The following list shows some of the problems that you will need to consider. The list is not
exhaustive but will cover some of the vital areas you need to be aware of:
Personal details: what does the employer have a right to know? An employer must
know certain personal details about his employees, but does he have the right to know
what they do when they are away from work? Such questions are often asked at an
interview, but might not always be answered in enough detail.
If a person plays football at the weekend, he might possibly try to pass off an injury as
work-related.
A person who drinks too much could be an accident risk, or have time off on Mondays.
Is it ethically acceptable for the employer to send out 'spies' to gather data? If he gets
the information, can or should he take action?
Is the danger recognised? Alcoholics usually don't know they are. Heavy smokers
may have no wish to cut down or stop. They may claim that industrial asthma is caused
by fumes in the workplace. Their habit can affect other workers, who will have a right to
compensation for passive smoking.
Original data will change: if personal details are kept, the employee has a right to see
them. The employer will need to keep track of any changes and consider how
modifications are to be notified to the employee.
Storing of data: the method of storage, confidentiality and access need to be
considered.
Effect on compensation: employees are unlikely to give information freely if it would
reduce a possible claim. The courts may consider data from the employer, not freely
given by the employee, as inadmissible if the ill-health is partly related to poor working
conditions.
Cause of death: when not too directly related to work activity this may not be recorded
as industrial ill-health. Often it can only be established by a post-mortem, and the family
may not wish for this. The doctor has to know his or her facts, since a death certificate is
an important document.
Research suggests that there is a lot of under-reporting of ill-health conditions. This is
particularly the case where the condition is affected by working conditions, but not
necessarily caused by them.

Reactive monitoring techniques

Near-Miss Reports
Data on near misses has a significant part to play in monitoring safety performance. It is
generally regarded as being a better guide to accident potential than actual injury data. To
some extent, such data can be seen as falling between reactive and active measures, because
it represents information on accidents that have not yet happened, but where the potential for
them exists already. The report into the Clapham train crash indicated that there had already
been a total of 15 wrong signal failures, which were the result of inadequate testing. If these
near misses had been acted on, then it is possible that the actual disaster might not have
occurred.
Near-miss data is, though, very difficult to collect. It is difficult enough to get accurate
information about actual accidents, so it is even more difficult to get reports of those which
didn't happen. If there are not many actual accidents, there will not be many near misses
either, so the numbers might not be statistically significant. Also, as the Clapham crash
indicates, management is unlikely to be convinced to take action regarding events which
almost happened.
Accident Reports
It is an interesting reflection that, if a managing director was asked how the company's
performance is measured, the answer would mention a range of measures like profit, return on
investment or market share all generally positive achievements. On the other hand, if you
asked about how the company's health and safety performance is measured, the answer would
be likely to be through accident statistics a single, negative measure.
Health and safety differs from many areas measured by managers because success results in
the absence of an outcome (accidents or ill-health) rather than a presence. However, a low
accident rate, even over a long period, is no guarantee that risks are being controlled and that
there will not be accidents or ill-health in the future. There is no single reliable measure of
health and safety performance. What is required is a 'basket' of measures providing
information on a range of health and safety activities, and this is provided by the range of
active monitoring measures we have seen.
Data on accidents, dangerous occurrences and ill-health does, though, have a significant part
to play in monitoring safety performance. Accident data in particular is relatively easy to
collect injuries are generally reported and investigated, so the information is usually readily
available. It is easily understood by the workforce, and can be discussed at safety committee
meetings. Management can easily link accidents with safety performance, so it is easy to
discuss accident reports and get management to take action. There are also a number of
standard calculations of accident rate, which are fairly easy to understand and may stimulate
management action. Further analysis of the data can be used to build up an understanding of
the incidents which occur in the workplace and, therefore, to identify patterns which may
disclose underlying causes failings which may otherwise not be clear. Analysis of
information collected nationally and even internationally also contributes to our understanding
of causes and risks and the development of programmes designed to control them.
Comparisons can readily be made with other similar companies (benchmarking) to establish
whether a company is doing well or poorly.
Accident data can act as a guide to resource allocation, and also lends itself to determining the
costs of accidents.

Limitations of Accident Data as a Performance Measure

There are certain limitations on the reliability of accident data as a source of information about
safety performance:
It is historic i.e. relates to past events and does not necessarily predict what may
happen in the future.
Most ill-health problems are chronic effects i.e. they have built up over a long time
and the reporting of an instance of work-related ill-health may be too late to prevent
many other occurrences.
There is often considerable under-reporting of incidents particularly of minor injuries
and near misses which seemingly have little consequence at the time. This can be
especially so where there is an emphasis on injury and ill-health rates as a measure of
management control (possibly related to reward systems) and not reporting incidents
helps to 'maintain' performance.
Whether a particular incident results in an injury is often a matter of chance, so it will not
necessarily reflect whether or not a hazard is under control. An organisation can have a
low injury rate because of luck or fewer people exposed, rather than good health and
safety management.
Injury statistics often do not reflect the potential severity of an event, merely the
consequence. For example, the same failing to adequately guard a machine could result
in a cut finger or an amputation.
People can stay off work for reasons which do not reflect the severity of the event.
There is no necessary relationship between minor injury statistics (such as slips, trips and
falls) and the control of major hazards (such as a spillage of toxic material).
A low injury rate can lead to complacency.
Incident data reflects outcomes not causes.
Hopefully accidents are very rare occurrences, and there are not a lot of cases of illness and
disease which are caused by the work environment. This means that there are not many
cases to count, and the numbers may not be regarded as statistically significant.
Variations from year to year might be due to pure chance rather than any accident reduction
measures that we have introduced. This is why we often have to resort to national statistics or
even international data in order to find significant numbers to target safety programmes.
If we keep data for many years, it is possible to iron out these fluctuations by finding the
moving average. As we get another year's, or month's, figure we are able to enter this into
the average and so determine a trend.
Accident statistics tend to reflect the results of actions which were taken some time ago, so
that there is not a rapid cause and effect situation. It is also unfair to blame a manager for
accident situations when the present situation is to some extent dependent upon actions taken
some time ago, and the present actions will take some time to show. Cases of occupational
disease are, by their very nature, long-term effects.
Accident recording therefore has some value, but it is of limited use in relation to assessing
future risk. There are problems with under-reporting of minor accidents. Time off work does
not correlate well with the severity of an injury, because some people will work with a broken
arm, while others take a week off with a cut finger. Also, if the staff are made aware of safety

matters, they tend to report more accidents. The picture may then look worse when actually
the safety culture is improving.
First-Aid Reports
First-aid reports provide valuable data on health and safety performance, because they
represent an accurate record of actual injuries occurring in the workplace. Although the
limitations of using accident data as a measure of health and safety performance are well
known, if the simple objective of the health and safety policy is to prevent injury at work, then
first-aid reports give a direct indication of the level of success.
Sickness Absence Reports
Analysis of sickness absence reports can be used as a performance indicator, if care is taken to
specify work-related conditions that can be identified from the absence returns. Systems
should be in place to identify notifiable diseases, but many causes of sickness absence such as
stress, chest complaints, musculoskeletal conditions, visual problems, hearing conditions, etc.
could be either occupational or non-work-related. However, if the organisation is one that
takes a holistic approach to staff health and safety, and the home/workplace overlap is
acknowledged, then it may be considered immaterial as to the cause of the sickness absence
and the primary aim only to reduce it regardless.
Property Damage Reports
Property damage can be considered as a non-injury accident and therefore gives an indication
of unsafe acts/conditions that had the potential for harm, which was not realised. As such it
can be included with near misses and accident reports proper as an overall indication of
management system failures and provide reactive monitoring data that can be used as a
performance indicator.
Insurance Claim Reports
Reduction in civil claims is likely to be high on a company's health and safety agenda and
therefore the incidence of insurance claim reports would appear to give a measure of success
for this objective and consequently a measure of health and safety performance generally.
The actual value as an accurate health and safety performance indicator is limited, because
the trigger to lodge a compensation claim against a company and the likelihood of success for
the claimant are both generally outside the control of the organisation in question. Pressure
from no-win, no-fee legal companies, and the desire by insurance companies to settle out of
court are the main drivers and neither can easily be influenced by the organisation in question.
It is true that a company with very poor standards of health and safety performance will be
vulnerable to accident compensation claims, but it is quite possible that good performers may
be subject to such claims also. Consequently, the use of insurance claim reports as a
performance indicator must be treated with caution

Occupational Health and Safety Assessment Series

(OHSAS) 18001
OHSAS 18001 was introduced in 1999 to provide a method of assessing the occupational
health and safety management systems in a way that is compatible with both ISO 9000 and
14000 series.
It is a certification system requiring an audit to be completed which determines whether a
safety management system meets the requirements of 18001. Successful organisations are
issued with a certificate of compliance which is renewed annually based on the findings of
subsequent audits to ensure continued compliance. The components of the system to be
audited are summarised in the table below.
Note: OHSAS 18001 has yet to be accredited by ISO but has been adopted by a number of
countries as a national standard.
There have been a number of significant changes to the standard since the first edition was
published in 1999. The changes reflect the widespread use and experience of the standard in
more than 80 countries, and by approximately 16000 certified organisations. Principal amongst
the changes are much greater emphasis on "health" rather than just "safety", and significantly
improved alignment to ISO 14001:2004 (to enable organisations to develop "integrated
management systems").

Summary table of main requirements of OHSAS 18001
Occupational Health To be appropriate, to contain a commitment to prevention of injury

and Safety Policy and ill-health, continual improvement and legal compliance. To set
a framework for setting objectives, to be documented,
implemented, maintained, communicated to all persons and parties
and to be reviewed.
Planning Risk assessment and controls to be carried out according to a
method defined and documented by the organisation. The
standard gives a control hierarchy of elimination, substitution,
engineering controls, signage/warning and administrative controls,
PPE
Compliance with legal requirements
Programmes for setting measurable objectives
Implementation and Provision of resources
Operation Defining roles, responsibility, accountability and authority
including the appointment of a member of top management with
specific responsibility for OH&S
Ensuring competence, provision of training and ensuring
awareness
Communication including internal communication with
employees, contractors, visitors and external interested parties
Participation and consultation including involvement in hazard
identification and risk assessments, employee representation on
OH&S matters
Documentation and control of documents
Operational control including written procedures, procurement
and systems for control of contractors
Emergency preparedness and response including procedures for
testing
Checking and Performance measurement and monitoring including quantitative
Corrective Action and qualitative measures, proactive and reactive measures.
Evaluation of compliance
Incident investigation timely, communicated, and identifying
needs for corrective action
Nonconformity, corrective and preventive action in reference to
nonconformity with the standard
Control of records legible, identifiable and traceable
Internal audits feedback to management
Management Review At planned intervals to ensure suitability, adequacy and
effectiveness.
Inputs to reviews to include results of consultation, results of
audits, OH&S performance results and the extent to which
objectives have been met
Outputs include actions related to policy, objectives and
performance.

Continual The process of enhancing the OH&S management system, to

Improvement achieve improvements in overall OH&S performances, in line with
the OH&S policy.
It is not necessary for the process to take place in all areas
simultaneously.
Note that this element contains no dedicated clauses in the
standard but is met through requirements within the other
elements e.g. 4.3.3. Objectives and Programmes (in Planning
element) to be set according to policy, to meet legal requirements
and the commitment to continual improvement.

HSG65
As discussed previously, the health and safety management system described in HSEs
Successful Health and Safety Management (HSG65) describes a commonly used model for
managing health and safety in an organisation. Although HSE has moved away from this model
now, it is still in place at many workplaces. For this reason there is a brief summary here. An
outline of the model is given in the diagram below:
Policy Policy development
Organising Organisational
development
Planning and
Auditing Implementing
Developing techniques
of planning, measuring
Measuring and reviewing
performance
Reviewing Feedback loop to

performance improve performance
Elements of Successful Health and Safety Management Based on the Approach in

HSG65
A summary of the content within each element is summarised in the following table:
Policy Key messages - policies contribute to business performance by:
supporting human resource development
minimising financial loss from avoidable events
recognizing that accidents, ill-health and incidents result from failings in
management
recognize that development of a suitable culture is necessary to avoid
risks
ensure a systematic approach to risk control
support quality initiatives aimed at continual improvement
Examples of health and safety philosophy

Integration with quality and environment management systems

Organising Control Setting key objectives and reviewing against them

Planning, reviewing and auditing to ensure legal
compliance
Setting performance standards
Effective implementation of plans
Allocation of specific responsibilities
Individual job descriptions with H &S responsibilities
Performance review and appraisal
Procedures to act upon failures by employees
Effective supervision
Co-operation Participation and ownership
Encouraging and supporting consultation
Communication H&S coming into/flowing within/going out of the
organisation
Visible behaviour
Written information
Face-to-face discussion
Competence Arrangements for competence: recruitment, identifying
training needs, providing information, cover for absence,
assessment of fitness for work.
Roles of health and safety advisers.
Planning and Planning to control risks, react to changing demands, sustaining a positive H&S
Implementing culture
Concept of risk control systems to maintain workplace precautions
Concept of business inputs (minimise risk of hazards entering), processes
(contain risks during process) and outputs (prevent export of risks).
Outputs of planning process to include health and safety plans, specifications
for management arrangements, health and safety performance standards
Systematic approach to co-coordinating activities
Use of gap analysis and benchmarking
Setting objectives and developing workplace precautions
Risk assessment
Risk control and preferred hierarchy:
Eliminate risks by substituting the dangerous by the inherently less
dangerous
Combat risks at source by engineering controls and giving collective
measures priority
Minimise risks by suitable systems of working, using PPE as a last
resort
Measuring Active Inspection of plant and premises
Performance monitoring Periodic examination of documents
Environmental monitoring
Direct observation
Audits
Regular reports by board
Staff surveys
Reactive Injuries, ill- health, accidents and near misses
monitoring Weaknesses in standards
Accident investigation and identification of causes
Information to be included in accident reports

Reviewing To examine the operation and maintenance of the system and to examine
Performance whether the design is responsive to change
Continuous process taken at different levels
Reviews may include monthly reviews of supervisors and individuals, 3-monthly
reviews of departments, annual reviews of sites.
Review against key performance indicators and/or benchmarks
Auditing The structured process of collecting independent information on the efficiency,
effectiveness and reliability of the total health and safety management system
and drawing up plans for corrective action.
Setting audit aims
Collecting information by interviewing, examining documents and visual
observation
Audit control


C O N T E N T S
1A4 Risk Assessment
RISK ASSESSMENT AND HEALTH & SAFETY MANAGEMENT SYSTEMS................................................................ 3

CARRY OUT A SUITABLE AND SUFFICIENT RISK ASSESSMENT ......................................................................... 4
RISK ASSESSMENT .................................................................................................................................................. 4
FIVE STEPS TO RISK ASSESSMENT ............................................................................................................................... 4
GENERIC AND DYNAMIC RISK ASSESSMENTS................................................................................................................... 8
DETERMINE, IMPLEMENT AND EVALUATE MEASURES FOR CONTROLLING RISKS .......................................... 11
PRINCIPLES OF PREVENTION.................................................................................................................................... 11
COMMON HIERARCHICAL APPROACH .......................................................................................................................... 12
CONSTRAINTS ON THE CONTROL OF RISKS IN THE WORKPLACE ................................................................... 14
FINANCIAL ......................................................................................................................................................... 14
CONFLICT OF PRIORITIES ....................................................................................................................................... 14
MANAGEMENT PERCEPTIONS ................................................................................................................................... 14
RESISTANCE TO CHANGE ........................................................................................................................................ 15
TIME ................................................................................................................................................................ 15
BENEFITS OF RISK ASSESSMENT AND CONTROL STANDARDS, AND GUIDANCE ON THE WORK ENVIRONMENT
.......................................................................................................................................................................... 16
05 - IDipOSH A5 v2 160514
Study Unit 1A4 | Risk Assessment
Learning Outcomes
1.A.4.1 Describe the risk assessment process in the context of a health and safety
management system
1.A.4.2 Conduct a suitable and sufficient risk assessment
1.A.4.3 Determine, implement, evaluate and maintain measures for controlling risks
Unit 3:

Risk Assessment and Health & Safety Management

Systems
The management of health and safety should be at the heart of every organisation regardless
of the size or the nature of the business.
Managing health and safety risks is no different to managing other business risks in that they
both require the identification of what might cause harm or loss to people or facilities, an
evaluation of what is being done to prevent such mishap and the implementation of additional
controls (where required) to ensure that the risks remain under control.
This risk assessment process is central to any safety management system. It is the means by
which we identify hazards and evaluate risks, regardless of whether we are discussing health
and safety, site security, fraud or natural disasters.
Consider how it fits within the context of the plan, do, check, act framework for managing
safety described within HSE guidance.
Elements Interface with Risk Assessment Process

Plan Effective planning is concerned with prevention through
identifying and controlling risks. Risk assessment is a pro-
active process whereby hazards are identified and
prioritized. This enables employers to plan the
implementation of controls.
Do This is the stage where actions are taken to ensure that
employees and others are protected safe so far as
reasonably practicable. Risk profiling is the process where
all the risks effecting an organization are identified and
assessed. Doing includes allocating responsibilities for risk
assessment and implementing control measures.
Check This includes the processes of proactive and reactive
monitoring. Measuring performance will ensure that the
precautions implemented as a result of risk assessment are
implemented and appropriate.
Act Activities should be reviewed against the risk assessment
findings to ensure that all hazards were correctly identified
and that any new hazards have been properly identified
and assessed. The process of assessment is to be
reviewed to ensure that it remains a workable and
effective system.
The full risk assessment process will be explained further within this chapter

Carry Out a Suitable and Sufficient Risk Assessment

Risk Assessment
There are various ways that a risk assessment could be carried out, although the basic
principles remain the same whatever system you choose, and there will necessarily be some
overlap between various methods. We will consider a simple five step approach to risk
assessment:
Five Steps to Risk Assessment
1. Identify the Hazards
This is the process of identifying all the hazards that exist in the workplace. You need to be
aware of all the possible hazards, but it is the significant ones that are important.
One approach is to take each task and break it down into steps, assessing the hazards
associated with each step. Each step will have its own hazards. The staff, actually performing
the tasks are likely to be the best people to assess them, although their familiarity with the job
may make them less objective about potential hazards:
Physical, for example:
Slipping or tripping hazards.
Moving parts of machinery.
Work at heights.
Chemical, for example:
Fumes, Vapours
Chemicals (e.g. battery acids).
Biological, for example:
Viruses, Fungi
Bacteria
Ergonomic, for example:
Manual handling.
Poor lighting.
For example, the preparation of a meal could be broken down initially into the following steps:
preparation of meat and vegetables; cooking, to include boiling and roasting; serving, including
the dishing-up and the moving to the table; and washing-up. These steps could then be
broken down into potential hazards related to the above categories, for example:
Physical:
Slipping on liquid or other substances spilled during cooking.
Tripping over objects left lying around on the kitchen floor.
Trapping a hand in the oven door, or cutting a finger on a knife.
Falling off a ladder or chair when climbing to retrieve something from a high shelf.
Burns by fire from flames on a gas stove, or by touching hot surfaces or objects.

Chemical:
Burns if fat or other substances used in cooking catch fire.
Skin ailments caused by an allergy to washing-up liquid.
Biological:
Risks from bacteria on raw meat.
Inhaling dusts such as flour.
Ergonomic:
Dropping an object, such as a pot or plate, on your foot.
Damage to your back while carrying things around.
If the kitchen was insufficiently lit, there would be a higher risk of cutting yourself,
dropping objects and suffering burns.
2. Who Might be Harmed and How
This is the process of determining who may be at risk from the hazards the groups of staff
and others likely to be affected in the case of an incident involving the hazard.
It is important to consider the wider implications of hazards, not just as they may affect those
working in the immediate environment. You need to be aware of other staff groups, such as
maintenance personnel and cleaners, as well as visitors and the public. Special attention
should be paid to inexperienced staff, lone workers or temporary staff, and to the particular
needs of disabled staff, pregnant women and children.
3. Evaluate the Risks and Decide on Precautions
The term risk can be defined as the likelihood of harm. This is usually regarded to have two
components:
The likelihood of the hazardous event occurring
The severity of the harm that results
Thus a better definition might be the likelihood of harm together with the potential severity of
harm that results from a hazard.
The simplest way to evaluate the risk is to allocate descriptions such as high, medium and
low to the level of risk. Another method is to use a numerical system, allocating numbers to
variations in likelihood and severity, and then applying these to a matrix e.g.

Likelihood
Likelihood Description Rating
Unlikely Occurrence close to zero 1
May happen Capable of taking place 2
Likely Tend or inclined to occur 3
Very likely High inclination of occurrence 4
Certain Most definitely happen - not 'if' but 5
'when'
Severity
Severity Description Rating
Minor injury First-aid on site 1
Minor injury Treatment off site 2
Over 3 day injury Three days off work 3

Major injury e.g. a broken leg 4
Death 5
When considering the severity of the injury that may result, it is important to be realistic. If
someone tripped over a trailing cable on the floor in a warehouse, the person may end up with
bruises or a fractured bone. However, if the cable was running across the entrance to the busy
metal stairs on the second floor, a more severe injury, even death may result. It is often useful
to ask the question: Based on actual injuries how many of the injuries resulting from that
hazard did result in the severity of injury that I have proposed?
Again, some organisations will adapt their own accident experience over these subjective
statements with a view to making them more relevant for their own organisation. This simple
model allows this, and customisation, without over complication, is to be encouraged.

Risk rating
In our simple risk assessment, the next stage is to multiply the likelihood number by the
severity number to arrive at a risk rating for each hazard. The result of this exercise will
provide a risk rating from 1 to 25, as seen in the table that follows.
Risk Assessment Matrix
Certain Very Likely Likely May Happen Unlikely
(5) (4) (3) (2) (1)
Death (5) 25 20 15 10 5
Major Injury 20 16 12 8 4
(4)
Over 3 Day 15 12 9 6 3
Injury (3)
Minor Injury 10 8 6 4 2
(treatment off
site) (2)
Minor Injury 5 4 3 2 1
(first-aid on
site) (1)
Action planning
The risk assessment matrix provides the results of the risk rating using likelihood severity,
and gives a rough guide to the size of the risk. To convert the information recorded so far into
a practical internal tool, the risk rating should now be considered and converted into an
internal action plan indicating priorities for action.
There is no reason why the action plan needs to be a separate document and, in some
organisations, the risk assessment documentation is designed to include the action plan
component. Good practice dictates that an action plan will contain details of who has been
assigned responsibilities, for what actions, with target and completion dates shown.
In general, high risks are likely to require the provision of considerable additional resources,
involving special training, equipment, supervision or effective methods of controlling the
hazard.
Even though lower levels of risks may be considered tolerable by the employer, action should
still be taken over time to further minimise risks associated with the hazards.

Actions to be taken following the Risk Assessment

Score Priority Action
1-4 LOW This represents a low risk, although control measures must be
maintained.
5-10 MEDIUM Action required soon to control.
Interim measures may be necessary in the short term.
12-25 HIGH Action required urgently to control risks.
Further resources may be needed.
The ranges of scores used above must be fully considered and customised, if necessary, to
better reflect differing organisational expectations of risk tolerability.
3. Record Your Findings
The significant findings of the assessment must be recorded and kept. There should, then, be
a record of all hazards, the risks that they present and what precautions are in place to protect
people from harm. This written record is an important reference for future use as the basis
for reviewing risks, but also as information for enforcement officers or even as evidence in any
proceedings arising from an accident involving the risk.
The record needs to cover all significant risks and state the current position for example,
electrical wiring checks carried out in building A and everything found to be satisfactory.
Reference can be made to other information where appropriate for example, loading bay
markings checked and all in accordance with site plan 44A.
If the company has less than five employees it is not necessary to prepare this written record,
although it is always useful to keep one anyway.
4. Review Your Assessments and Revise If Necessary
The way we work is constantly changing as a result of new or modifications of existing
equipment, building alterations, new procedures, new or modified products, etc. Sometimes
systems and procedures get changed by the staff themselves. These all bring their own
hazards, but new hazards can also arise in existing methods of work the effects of stress is a
recent example.
It is important, then, to continue to be vigilant about hazards and risks and to review
workplace conditions regularly. How often is regularly will depend on the extent of the risks
and the degree of change.
Generic and Dynamic Risk Assessments

Generic assessments are assessments produced once only for a given activity or type of
workplace. For example, where a company has several locations where the same activity is
carried out, a single generic assessment could be done for that activity to cover all the
locations. Similarly, if a company has employees who work away from base, such as
electricians, then generic assessments can be used for their hazardous work rather than
attempting to produce a task based risk assessment for each activity at each location.

Whilst this method of assessment has significant benefits in terms of practicability and time
saving there is a major drawback that must be considered. The concept that a single
assessment can be applied to repeating tasks is sound, however, in many situations the
repeating task is not always identical to the one assessed.
The application of the risk control measures as identified from the generic assessment is
dependant on the task actually being carried out exactly as it was assessed. Any variation in
working methods, materials or equipment may have a significant impact on the assessment of
risk and the required level of protection required. Therefore it is essential that operators and
supervisors are provided with training on the effective use of generic assessments and what
actions to take when situations differ from the one assessed.
There are also times when people do not necessarily know what problems they will be faced
with before they get to the scene (e.g. field employees responding to a call-out). If the tasks
are not completely predictable then it is often considered difficult to foresee what the
associated risks might be and therefore not know which risk controls will be appropriate in
advance.
Field employees who face such safety issues will therefore require training in identifying,
analysing and controlling risk at the time it presents itself. These types of assessments are said
to be called Dynamic Risk Assessments.
Dynamic risk assessments rely on the development of generic assessments covering the known
hazards and risks associated with the task. It is important that operators who come across
unfamiliar situations (and manage them accordingly by implementing their skills in risk
management) feed the new information back into the generic assessments. In this way the
generic assessment will develop to include more and more new situations which will mean that
risks will be more predictable and foreseeable and in the field.

Example General Risk Assessment Form
Area/task/process assessed:
Date: Assessed by: Assessment No:
Review date:
Risk Risk
rating rating
Hazard(s) Persons at Existing L S R Proposed L S R
risk/numbers control control
affected measures measures
(if any)
Key: S = Severity L = Likelihood R = Risk rating

Determine, Implement and Evaluate Measures for

Controlling Risks
Principles of Prevention
The principles of prevention provide a framework against which to make judgments on the
preventive and protective measures that are required to control risks to an adequate level.
The principles are given below along with comments on their application:
Avoiding Risks
Not using the material (e.g. toxic chemicals) or carrying out the activity (e.g. excavations)
eliminates the need for control.
Evaluating The Risks That Cannot Be Avoided
For these risks a suitable and sufficient risk assessment must be carried out.
Combating The Risks at Source
Control the risk as close to the point of generation as possible to prevent its escape into
the workplace (e.g. extract dust directly from a circular saw blade using Local Exhaust
Ventilation systems).
Adapting the Work to The Individual
This would be relevant especially as regards the design of workplaces, the choice of work
equipment and the choice of working and production methods, with a view, in particular,
to alleviating monotonous work and work at a predetermined work-rate and to reducing
their effect on health.
The traditional approach has always been for the person to adapt to the machine or
process. This measure requires the employer to carefully consider ergonomic principles
and design the work to suit the person.
Adapting to Technical Progress
Many risks disappear from the workplace as better processes and methods are introduced
(e.g. the use of vacuum lifting equipment to avoid manual handling).
Replacing the Dangerous With the Non-Dangerous or The Less Dangerous
This is always a key aim, and an example of this is the demise of the metal-cased, hand-
held mains electric drill from the workplace, and its replacement with rechargeable
battery-operated plastic-cased drills.
Developing a Coherent Overall Prevention Policy
This should cover technology, organisation of work, working conditions, social
relationships and the influence of factors relating to the working environment.
This embodies the principles of risk management and requires the employer to look at all
aspects of the health and safety management system rather than simply concentrating on
basic workplace precautions.
Giving Collective Protective Measures Priority
Priority should be given over individual protective measures and giving appropriate
instruction to employees.

A safe place of work should be the main priority rather than a safe person. Consequently,
control of noise at source should be the aim rather than the issue of hearing protection.
Giving Appropriate Instructions to Employees
This covers specific and general instructions, including the use of signs, training and
supervision.
Common Hierarchical Approach

The principles outlined above provide a broad framework of control within which to work. More
commonly cited control measure lists are frequently used to provide a structured hierarchy to
help with the selection of control measures based on the desired protection required for
differing levels of risk where the control measures at the top of the hierarchy would be
considered before other, less effective measures at the lower end of the scale.
Take a look at this general outline of a typical control measure hierarchy and see whether you
can identify a relationship between this hierarchy and the principles or prevention.
Elimination or Substitution
This is often the most effective way of avoiding serious risk of harm. Elimination requires
the total abandonment of a process or activity because the risk is considered too high to
live with. In some situations the hazardous materials in use can be substituted for a less
harmful material, for example using a water-based product in place of a solvent-based
one.
Use of Barriers
This option is achieved by introducing engineering controls. The aim here is to physically
separate the person from the hazard. Isolation involves taking the hazard away from the
person (or putting the hazard in an enclosure). Segregation involves taking the person
away from the hazard (or putting the person in an enclosure).
Total enclosure or containment is the best form of risk control since no-one can then be
exposed to the hazard.
Procedures and Systems of Work
This option requires the development of safe working practices which considers such
things as limiting exposure time, changing working methods or improving workplace
layout and housekeeping.
Training, Information and Supervision
Having a competent workforce is a fundamental safety requirement. Appropriate training,
such as that offered to the employee as induction training when joining the company, and
job specific training (with refresher training where necessary), goes towards ensuring such
competence. Depending upon the experience and knowledge of the workers, suitable
supervision must be given to ensure that safety procedures and requirements are
followed.
Information includes such things as signs, posters and warning systems which bring
hazards to the attention of the worker and require a human response.
Personal Protective Equipment
Despite consideration of the range of control measures outlined previously, it may still not
be possible to reduce a risk down to an acceptable level. Under such circumstances it
becomes necessary to consider protecting the individual rather than the working

environment. Many different types of personal protective equipment are available, such
as ear defenders for noise. However, in the hierarchy of control measures, personal
protective equipment (PPE) comes last and is only introduced when all other control
measures have been found inadequate in eliminating or controlling the risk.

Constraints on the Control of Risks in the Workplace

Those points that appear earlier in the list of control measures at the beginning of this section
will be most effective in reducing the risk. However, they will usually be more expensive and
take much longer to put in place. They should be thought of as long-term objectives.
Although, in practice, it might be technically possible to achieve total elimination of a hazard,
the costs involved and the benefits achieved may mean that it does not pass the test of
"reasonably practicable".
A lot of the improvements in safety standards have been due to the reduction in manpower
and increase in mechanisation. Computers can be used to control many operations and
eliminate the use of people in risky situations. However, they cannot think, and sometimes the
choice is not between right and wrong (1 and 0 to a computer) but between the lesser of two
wrongs.
The methods shown later in the list of control measures are usually the cheapest options.
They can be put into operation very quickly, and give some measure of risk reduction, but
their effect is often of short duration.
One very important element of the control procedure is to monitor the effectiveness of
those controls that have been implemented. This will tell you whether they have been
successful or not.
Financial
The main problem with making improvements in safety is that there is little, if any, perceivable
financial gain. It is difficult to justify asking the Finance Director to authorise spending on
safety when nothing has gone wrong in the past. It is only when the cost of accidents in
terms of lost business (we talked about the costs of accidents in a previous Study Unit) is
appreciated that good health and safety is accepted as part of good overall business
management.
Another financial issue that may put a constraint on any risk reduction programme is a conflict
of priorities.
Conflict of Priorities
Where finances are restricted and budgets have been set for the coming period, a decision has
to be made on what gets priority. Whilst the safety professional will argue that safety of the
workforce is paramount, the production manager will argue with equal conviction that if the
new process is not introduced then safety will not be an issue. The factory will close.
It is often a case of making compromises and accepting that everything cannot be done today.
Risk evaluation will determine which areas need urgent attention.
Management Perceptions
It is a fact that, even today, many managers see health and safety as a waste of time and
money, or just pay no attention to it whatsoever. There are a number of reasons for this,
ranging from total disregard for authority and the well-being of their workers, to ignorance of
the requirements regarding health and safety in the workplace.
Changing the perception of managers to health and safety is one of the more difficult tasks
facing a safety professional. Once achieved, however, having managements backing and
commitment makes other tasks that little bit easier.

Resistance to Change
One of those other tasks mentioned above is convincing people that the changes that you are
advocating are for their benefit. Very few people like change when the advantages are not
obvious. People get set in their ways and become familiar with routine, and change can cause
anxiety and stress.
It is important to remember that you are dealing with different people who have different
needs. A sympathetic approach, with explanations for the need for change, along with the
benefits, will often succeed where imposing your will can cause resentment.
Time
As mentioned before, not everything can be achieved today. Probably the second biggest
constraint facing safety professionals, after money, is time. Whilst everything may seem
important and top priority, it is essential that the risk evaluation includes some sort of rating to
allow priority of work to be set. This will then allow the truly urgent matters to be dealt with,
with other matters being timetabled for less urgent action.

Benefits of Risk Assessment and Control Standards,

and Guidance on the Work Environment
Prior to the introduction of risk assessment, there was very little emphasis on the employer to
manage health and safety. In the UK requirements were only maintained by enforcement
agencies policing workplaces. Typical enforcement visits would be like a workplace inspection
with the enforcement officer pointing out problems in the workplace.
Risk assessment requires the employers to consider what might go wrong for all tasks, before
it does and not just looking for the obvious workplace defects as in the inspection
The introduction of risk assessment based health and safety management has resulted in:
An improved health and safety culture with managers taking a proactive approach to
risk and safety management.
Fewer accidents, and less lost time through ill-health.
Where the working conditions within an organisation have improved, these would seem to
be the obvious benefits.
These, in turn, will lead to fewer insurance claims and possibly lower premiums.

C O N T E N T S
1A5 Safe Workplace
MAINTAINING SAFE AND HEALTHY WORKPLACES AS BEST PRACTICE ............................................................. 3

MAINTENANCE OF WORKPLACES, AND OF EQUIPMENT, DEVICES AND SYSTEMS ......................................................................... 3
VENTILATION ........................................................................................................................................................ 5
TEMPERATURE IN INDOOR WORKPLACES ....................................................................................................................... 6
LIGHTING ............................................................................................................................................................ 7
CLEANLINESS AND WASTE MATERIALS .......................................................................................................................... 9
ROOM DIMENSIONS AND SPACE.................................................................................................................................. 9
WORKSTATIONS AND SEATING ................................................................................................................................. 10
CONDITION OF FLOORS AND TRAFFIC ROUTES .............................................................................................................. 10
FALLS OR FALLING OBJECTS .................................................................................................................................... 12
WINDOWS, AND TRANSPARENT OR TRANSLUCENT DOORS, GATES AND WALLS ....................................................................... 12
WINDOWS, SKYLIGHTS AND VENTILATORS................................................................................................................... 13
ABILITY TO CLEAN WINDOWS, ETC. SAFELY ................................................................................................................. 13
ORGANISATION, ETC. OF TRAFFIC ROUTES .................................................................................................................. 13
DOORS AND GATES............................................................................................................................................... 14
ESCALATORS AND MOVING WALKWAYS ....................................................................................................................... 14
SANITARY CONVENIENCES ...................................................................................................................................... 14
WASHING FACILITIES ............................................................................................................................................ 15
DRINKING WATER ................................................................................................................................................ 15
ACCOMMODATION FOR CLOTHING ............................................................................................................................. 16
FACILITIES FOR CHANGING CLOTHING ........................................................................................................................ 16
FACILITIES FOR REST AREAS AND TO EAT MEALS .......................................................................................................... 17
FIRST-AID PROVISION ........................................................................................................................................... 18
06 - IDipOSH A6 v2 160514
Study Unit 1A5 | Safe Workplace
Learning Outcomes
1.A.5.1 Apply best practice in maintaining a safe and healthy workplace
Unit 4:

Maintaining Safe and Healthy Workplaces as Best

Practice
One of the most basic requirements for any employer is to provide a workplace for their
employees which is safe and free, so far as is reasonably practicable, from risks to health and
safety.
All workplaces, regardless of the nature of the organisation, should be designed, equipped and
maintained to safeguard the health and safety of those who use them.
Best practice standards must be developed for all aspects of the workplace including:
General maintenance of the workplace, equipment, etc.
Ventilation
Temperature in indoor workplaces
Lighting
Cleanliness and waste materials
Room dimensions and space (11 m3 per person)
Workstations and seating
Condition of floors and traffic routes
Protection against falls or falling objects
Windows and ease of cleaning them
Sanitary conveniences, drinking water, washing, changing of clothing and clothing
accommodation and other welfare matters
Facilities to rest and eat meals
The following paragraphs will serve as an overview of these standards:
Maintenance of Workplaces, and of Equipment, Devices and

Systems
Efficiency within the terms of this guidance is directed towards health, safety and welfare, and
not to areas of productivity. It is essential, therefore, that a planned system of maintenance is
installed with a suitable and adequate system of maintenance records.
There is a diverse range of required maintenance which covers all equipment. In essence,
maintenance should be provided for anything and everything that if not cleaned or maintained
in a proper fashion may cause an adverse effect on health, safety and welfare. As a further
guide, maintenance should be carried out on all essential items to include sanitation, safety
harnesses, anchorage points, escalators and automatic or powered doors, walls and partitions
to include fences, ventilation and emergency power and lighting.

Cleaning (Housekeeping)
The term 'housekeeping' is used to describe the general condition of premises, and control of
equipment and materials within it to avoid creation of risks to workers
The standard of cleanliness of the workplace will depend on what the particular workplace is
used for. Food preparation areas, for example, would require a higher standard of cleanliness
than a general warehouse. Certain issues, however, such as trips, slips and falls should be
addressed in all workplaces.
In workplaces where dirt and rubbish accumulate, any dirt and rubbish not in bins or other
suitable receptacles should be disposed of daily. This may have to be done more frequently to
keep workplaces free from pests or decaying organic matter.
Workplaces should be kept free from offensive waste, such as from leaking drains or toilets.
Cleaning should not create, or expose anybody to, a health and safety risk.
To summarise, a suitable system of maintenance involves ensuring that:
Regular maintenance (including, as necessary, inspection, testing, adjustment, lubrication
and cleaning) is carried out at suitable intervals. The frequency will depend on the type
of equipment and the use it is put to.
Any potentially dangerous defects are remedied and access to defective equipment is
prevented in the meantime.
Regular maintenance and remedial work is carried out properly.
A suitable record is kept to ensure the system is properly implemented and to assist in
validating maintenance programmes.

Ventilation
Suitable provision should be made to ensure that every enclosed workplace is ventilated by a
sufficient quantity of fresh or purified air.
Approximately 5 to 8 litres of fresh air per second, per occupant, would be considered
sufficient for removal and replacement of stale, humid or hot air from any workplace.
Equipment installed to carry out this function should, for health and safety purposes, be
equipped with either an audible or visual warning in the event of failure or breakdown.
Planned maintenance should include cleaning of these systems to ensure against any
formation of harmful substances or bacteria.
Natural Ventilation
Enclosed workplaces should be sufficiently well ventilated so that stale air, and air which is hot
or humid because of the processes or equipment in the workplace, is replaced at a reasonable
rate.
The air which is introduced should, as far as possible, be free of any impurity which is likely to
be offensive or cause ill-health. Air which is taken from the outside can normally be
considered to be fresh, but air inlets for ventilation systems should not be sited where they
may draw in excessively contaminated air (for example, close to a flue, an exhaust ventilation
system outlet, or an area in which vehicles manoeuvre). Where necessary, the inlet air should
be filtered to remove particulates.
In many cases, windows or other openings will provide sufficient ventilation in some or all
parts of the workplace. One problem of relying on natural ventilation is that it is reliant on the
direction and strength of the wind. This gives either positive or negative wind pressure
depending on the locations of the openings. Where necessary, mechanical ventilation systems
should be provided for parts or all of the workplace, as appropriate.
Mechanical Ventilation
Workers should not be subject to uncomfortable draughts. In the case of mechanical
ventilation systems it may be necessary to control the direction or velocity of air flow.
Workstations should be re-sited or screened if necessary.
In the case of mechanical ventilation systems which re-circulate air, including air-conditioning
systems, re-circulated air should be adequately filtered to remove impurities. To avoid air
becoming unhealthy, purified air should have some fresh air added to it before being re-
circulated. Systems should therefore be designed with fresh air inlets which should be kept
open.
Mechanical ventilation systems (including air-conditioning systems) should be regularly and
properly cleaned, tested and maintained to ensure they are kept clean and free from anything
which may contaminate the air.

As previously discussed the fresh air supply rate should not normally fall below 5 to 8 litres per
second, per occupant. Factors to be considered include the floor area per person, the
processes and equipment involved, and whether the work is strenuous.
Ventilation control systems function by removing atmospheric contaminants from the
workplace in a current of air. There are two basic systems:
Dilution Ventilation, also known as general or natural ventilation, which utilises normal
air movement through open doors, or assisted air movement by means of roof fans or
blowers.
Local Exhaust Ventilation (LEV), in which atmospheric contaminants are trapped close
to their point of generation and then ducted (sucked) away by a powered fan-assisted
airflow.
Use of Air Conditioning Systems

Insufficient fresh air in the workplace may lead to tiredness, headaches, dry or itchy skin or
eye irritation, so it is important for employers to provide a sufficient quantity of fresh or
purified air in the workplace.
When purified air is provided, it can involve inlets; outlets; filters and some form of heat
exchanger (usually a refrigeration unit) and fan or blower. Water is presented into the system
to keep the humidity at the acceptable level and to take the dryness out of the air. The major
problem associated with air-conditioning systems, apart from mechanical, is that of the
presence of warm water. This gives the bacteria of Legionella a breeding ground, if suitable
precautions are not taken, i.e. regular monitoring and maintenance.
Temperature in Indoor Workplaces
During working hours, the temperature in all workplaces inside buildings should be reasonable.
The possibility of stress arises in situations where people have to work in very hot or cold
conditions. Excess heat or cold can adversely affect levels of work and efficiency. Heat can
cause a number of illnesses, such as heat exhaustion, dehydration, heat cramps and heat
stroke. Excess cold can lead to a decrease in dexterity, which is particularly hazardous when
operating some machines.
There are certain conditions which should be adhered to. Best practice requirements are that
for any workroom the temperature should not be less than 16C, however, in certain cases
where there is a high level of physical effort it is acceptable that the temperature can be as
low as 13C. In maintaining reasonable comfort it should not be necessary for special clothing
to be worn but it must be remembered that air movement and relative humidity are also
important factors in controlling temperature.
In cases where it is not possible to meet these temperature guidelines, certain responsibilities
have to be considered. Workers should not only be provided with special clothing but also
adequate rest areas.
Thermometers should be available at a convenient distance from every part of the workplace
to enable temperatures to be measured throughout the workplace.

Work areas which are subjected to extreme conditions, such as those affected by process heat
or chill, must be fitted with auxiliary heating or cooling methods to adjust temperatures to as
near requirements as possible.
The temperatures in workrooms do not apply to rooms or parts of rooms where it would be
impractical to maintain those temperatures, for example, in rooms which have to be open to
the outside, or where food or other products have to be kept cold. In such cases the
temperature should be as close to those mentioned above as is practical.
Lighting
Every workplace should have suitable and sufficient lighting.
In all instances natural lighting is preferable to artificial lighting but in the case of this not
being practical there are specific requirements. Lighting levels should be such that work can
be carried out safely without eyestrain and if necessary, local workstation lighting should be
provided. Care should be taken to ensure the level of lighting is always sufficient for the
occupants and workforce in any location. Areas of potential risk should be adequately lit.
Dazzle, glare and extremes in contrast should be avoided and attention given to external areas
during hours of darkness.
Light fittings in storage areas should not be obscured; windows should be kept clean as should
light fittings and skylights. Provision should be made for emergency lighting which should be
supplied from an independent source should the mains lighting fail.
Increased Risks of Trips and Falls

Lighting should be sufficient to enable people to work, use facilities and move from place to
place safely and without experiencing eye strain. Stairs should be well lit in such a way that
shadows are not cast over the main part of the treads. Where necessary, local lighting should
be provided at individual workstations and at places of particular risk such as pedestrian
crossing points on vehicular traffic routes. Outdoor traffic routes used by pedestrians should
be adequately lit after dark.
A good standard of lighting, whether artificial or natural, has an important role to play in
ensuring health and safety at work as it helps people to see hazards and can reduce visual
fatigue and discomfort.
The more quickly and easily a hazard can be seen and identified, the more easily it can be
controlled.
Visual Fatigue
Poor lighting and glare can cause visual fatigue (or eye strain) by making the visual system
work harder. The symptoms of fatigue vary according to the task being carried out and the
lighting conditions. It is most common when the visual system has to act at the limit of its
capabilities for any length of time.
Symptoms of visual fatigue include irritation of the eyes (inflammation itchiness), breakdown
of vision (blurred or double vision) and referred symptoms (headaches, giddiness, fatigue).

Strain injuries, such as neck and backache, can also occur and are usually due to the person
bending to get closer to the task due to poor lighting.
Glare
In the process of seeing, the eye performs two quite separate functions. The first is to
act as a focusing system to give a pattern of the scene on the back of the eye - the retina.
The pattern is converted by the nerve endings in the retina through the optic nerve as a
complex signal to the brain.
An object is generally seen because of the difference in brightness between the object and its
immediate background. This is obvious when a white object can be seen clearly against a
black background but it is very indistinct against a white background!
Normally the eye adapts to whatever it is seeing but if a task or a background is too bright or
the contrast too great, vision suffers by the situation becoming uncomfortable.
Glare, which occurs when one part of the visual field is brighter than the average brightness to
which the visual system has become adapted, must be considered. Glare can be direct from
the primary lamp source or it may be indirect, such as the reflection of bright light from a
highly polished surface
Temporary Loss of Vision when Moving from Brightly to Dimly Lit Areas and Vice
Versa
Lighting should be sufficient to enable people to see in order to move about without walking
into, or falling over, objects. Some types of work require the ability to see in fine detail, e.g. to
read gauges or displays or to see a work piece or tool. The level of lighting necessary will
depend upon the type of work being carried out and the hazards associated with it. The finer
the detail of the work, the higher the illumination (light level) required. The illumination in
areas adjacent to the work location must be considered if movement occurs within these
areas.
Lighting Recommendations
Natural daylight should be utilised wherever possible, although it rarely provides sufficient
illumination throughout the whole working area for the whole working day. A combination of
natural and artificial light will usually provide sufficient suitable lighting.
Maintenance of Light Fittings
The lighting output of lamps diminishes with age but can be improved by regular cleaning and
maintenance of the lamps, reflectors, diffusers and other parts. Lamps must be carefully
disposed of. The hazards associated with them include cuts from broken glass and inhalation
of dust containing phosphor or vapour from mercury lamps. Low-pressure sodium discharge
lamps can catch fire or explode if water is present. Those carrying out the disposal of lamps
should be suitably instructed and provided with protective clothing.

Cleanliness and Waste Materials
Every workplace and the furniture, furnishings and fittings should be kept sufficiently clean.
The standard of cleanliness required will depend on the use to which the workplace is put. For
example, an area in which workers take meals would be expected to be cleaner than a factory
floor, and a factory floor would be expected to be cleaner than an animal house.
Floors should be cleaned at least once a week but where an accumulation of dirt is excessive,
cleaning should be carried out daily. Waste materials shall not be allowed to accumulate in a
workplace, except in suitable receptacles.
Walls and furnishings are not exempt and should be cleaned regularly or as required. In the
interests of maintaining hygienic conditions washable surfaces should be provided and sealing
should take place where absorbent walls and floors are likely to be affected by spillage
contamination.
Floors and indoor traffic routes should be kept as clean as practicable. In factories and other
workplaces of a type where dirt and refuse accumulates, any dirt and refuse that is not in
suitable receptacles should be removed at least daily. These tasks should be carried out more
frequently, where necessary, to maintain a reasonable standard of cleanliness or to keep
workplaces free of pests and decaying matter.
Room Dimensions and Space
Every room where people work should have sufficient floor area, height and unoccupied space
for purposes of health, safety and welfare.
Workrooms should have enough free space to allow people to get to and from workstations
and to move within the room with ease. The number of people who may work in any
particular room at any one time will depend not only on the size of the room, but on the space
taken up by furniture, fittings, equipment, and on the layout of the room. Workrooms, except
those where people only work for short periods, should be of sufficient height (from floor to
ceiling) over most of the room to enable safe access to workstations. In older buildings with
obstructions such as low beams the obstruction should be clearly marked.
The total volume of the room, when empty, divided by the number of people normally working
in it should be at least 11 cubic metres. In making this calculation a room or part of a room
which is more than 3.0 metres high should be counted as 3.0 metres high. The figure of 11
cubic metres per person is a minimum and may be insufficient if, for example, much of the
room is taken up by furniture, etc.
Calculating floor space per person will not always give sufficient unoccupied space. Rooms
may have to be larger, or have fewer people working in them, depending on such factors as
the contents and layout of the room and the nature of the work. Where space is limited,
careful planning of the workplace is particularly important.
In all aspects of production and storage the question of spacing plays a vital part.
Overcrowding causes a number of very real hazards, including:
Accidents.

Obstruction of escape routes.

Fires developing undetected.
Problems with fire-fighting; not only getting the fire-fighting equipment to the area, but
gaining access to the fire.
Increased fire and water damage.
Workstations and Seating

Every workstation should be arranged so that it is suitable both for any person at work in the
workplace who is likely to work at the workstation and for any work which is likely to be
undertaken there.
Workstations should be arranged so that each task can be carried out safely and comfortably.
The worker should be at a suitable height in relation to the work surface. Work materials and
frequently used equipment or controls should be within easy reach, without the need for
undue bending or stretching.
Workstations including seating, and access to workstations, should be suitable for any special
needs of the individual worker, including workers with disabilities.
Each workstation should allow any person who is likely to work there adequate freedom of
movement and the ability to stand upright. Spells of work which unavoidably have to be
carried out in cramped conditions should be kept as short as possible and there should be
sufficient space nearby to relieve discomfort.
There should be sufficient clear and unobstructed space at each workstation to enable the
work to be done safely. This should allow for the manoeuvring and positioning of materials,
for example lengths of timber.
Seating provided should, where possible, provide adequate support for the lower back, and a
footrest should be provided for any worker who cannot comfortably place his or her feet flat on
the floor.
Condition of Floors and Traffic Routes
Every floor in a workplace and the surface of any traffic route in a workplace should be of a
construction such that the floor or surface of the traffic route is suitable for the purpose for
which it is used.
In any working environment the floors, traffic routes, (traffic routes applying to all roads),
passages, pavements, steps, stairs and escalators etc., must be kept in good condition and
free of damage. They must be appropriately constructed to prevent any danger by slipping,
falling and tripping and above all be able to accept weights imposed on them for loading
purposes or otherwise.
Surfaces should be safe in all conditions, even when wet and if required suitable drainage
made available. It is important however that in the case of drainage, people or the
environment must not be put at risk by contamination of sewers, drainage systems, water
supplies or watercourses.
Of the many fatal accidents that occur each year involving the use of transport at work sites,
the most common type involves victims being struck or run over by vehicles.

Pedestrian
A secure and substantial handrail should be provided and maintained on at least one side of
every staircase, except at points where a handrail would obstruct access or egress. Handrails
should be provided on both sides if there is a particular risk of falling, for example where stairs
are heavily used, or are wide, or have narrow treads, or where they are liable to be subject to
spillages.
Where possible, specific routes should be provided for pedestrians with the aim of keeping
people and vehicles apart.
Where appropriate, pedestrian routes should have designated crossing points over roads
and suitable barriers at entrances to, and exits from, buildings to discourage pedestrians
from walking directly into the road.
In areas where traffic is particularly heavy, bridges or subways may be appropriate.
Where vehicles pass through doorways, or under narrow bridges or tunnels that have
insufficient width to allow vehicles and pedestrians to be separated by a raised or railed-
off footpath, a separate access for pedestrians should be considered.
Vehicular
Ideally, to prevent accidents occurring, the movement of vehicles should be governed by
stringent rules that are enforced by management supervision and control. However, as direct
supervision of site traffic is not always practicable, and as many visiting drivers may be
unfamiliar with the site, the layout and design of road systems within sites is a particularly
important consideration.
Once a site has been built, even with due attention paid to the design, three problems always
occur:
Parking must be controlled either by making some provision for it elsewhere, or
introducing an enforcement system; preferably both methods should be used.
Space is required to store returns, empties, pallets and other materials that tend to
accumulate in loading areas unless specific provision is made for them.
Waste paper and cartons create problems in certain premises that can be helped by the
use of skips and organised collections. However, skips use up a lot of loading area, as
well as the extra space of the collection vehicle to pick up and deposit a return skip.
Road Systems
Road systems should be clearly and logically arranged, allowing adequate space for movement,
reversing, turning, loading and offloading. Roads should be wide enough for the safe
movement of the largest vehicle likely to use them, with allowance made for visiting vehicles
which may be larger than those used exclusively on site. Therefore, a heavily used two-way
access road must be wider than one which is so lightly trafficked it is unlikely to have goods
vehicles arriving and departing at the same time. The number of pedestrians and vehicles
likely to be entering and leaving the site at peak time should also be considered.
Vehicle Parking
Sufficient and suitable parking areas should be provided for all vehicles, including employees'
and visiting cars, motor cycles and cycles, waiting goods vehicles, sites for skips and pallet
stacks. If any of these are left in unplanned positions, the safe operation of the site can be
disrupted. Parking areas should have firm, even surfaces with adequate means of access and
egress. As far as private vehicles are concerned, a site manager has only limited control over

their use. Vehicles should be regulated by restricting their routes and enforcing speed
restrictions in addition to providing designated parking areas.
Falls or Falling Objects
All work at height must be appropriately planned and organised.

All work at height must take into consideration the weather, which may affect the health
and safety of those working at height.
The workplace where work at height is being conducted must be safe.
Those working at height must be trained and competent to conduct work.
Work equipment used at height must be inspected regularly.
Any risks from fragile surfaces and from falling objects must be adequately controlled.
Employers must also ensure that any work that can reasonably practicably be done without
having to work at height must be carried out. Employers must ensure that all risks from work
at height are assessed. Work at height must be appropriately supervised, planned, while taking
into consideration emergency situations.
It is good practice to:
Avoid work at height where they can.

Where they cannot avoid working at height, use work equipment or other measures to
prevent falls.
Where they cannot eliminate the risk of a fall, use work equipment or other measures to
minimise the distance and consequences of a fall should one occur.
Work Equipment for Working at Height
When selecting equipment for work at height, the responsible person must:
Use the most suitable equipment.

Give collective protection measures, such as guardrails, priority over personal protective
measures, such as safety harnesses.
Take account of working conditions.
Consider the safety of all those at the place where the work equipment is to be used.
Care should also be taken to ensure the reduction of risks from unstable stacks of materials in
storage areas and from materials falling from vehicles, especially when loading and unloading.
Windows, and Transparent or Translucent Doors, Gates and Walls
Every window or other transparent or translucent surface in a wall or partition and every
transparent or translucent surface in a door or gate should, where necessary for reasons of
health or safety:

Be of safety material or be protected against breakage of the transparent or translucent

material.
Be appropriately marked or incorporate features so as, in either case, to make it apparent.
In assessing whether it is necessary for transparent or translucent surfaces in doors, gates,

walls and partitions to be of a safety material or be adequately protected against breakage,
particular attention should be paid to the following cases:
In doors and gates, (and door and gate side panels), where any part of the transparent or
translucent surface is at shoulder level or below.
In windows, walls and partitions, where any part of the transparent or translucent surface
is at waist level or below, except in glasshouses where people work, it is likely they will be
aware of the presence of glazing and avoid contact.
Safety materials are materials which are inherently robust, such as polycarbonates or glass
blocks; or glass which, if it breaks, breaks safely; or ordinary annealed glass of a specified
thickness.
Windows, Skylights and Ventilators
No window, skylight or ventilator which is capable of being opened should be opened, closed
or adjusted in a manner which exposes any person performing such an operation to a risk to
his health and safety. No window, skylight or ventilator should be in a position when open
which is likely to expose any person in the workplace to a risk to his health or safety.
All windows should be in a safe condition and must be capable of being operated without
danger. If there is any danger of a person falling through or out of a window while opening or
closing them, then a safety device must be fitted to prevent harm.
If the bottom of a window is less than 800mm from the floor, a safety bar or similar suitable
equipment should be installed where necessary to prevent falls. Open windows should not
protrude across a pedestrian walkway which could cause injury by collision with the window.
Ability to Clean Windows, etc. Safely
All windows and skylights in a workplace should be of a design or be constructed so that they
may be cleaned safely.
It is essential that all windows can be cleaned in a safe manner. When it is not practical to
clean windows from the ground, all precautions must be taken and these include fitting access
equipment such as cradles or suitable anchorage points for harnesses or safety belts.
Windows can be cleaned from the inside where tilt and turn windows are installed.
Organisation, etc. of Traffic Routes
Every workplace should be organised in such a way that pedestrians and vehicles can circulate
in a safe manner.
The following are termed as traffic routes:

Roads.
Pathways.
Gangways.
Doorways.
Ramps.
Stairs and fixed ladders.
Gates and loading bays.
Pedestrians and vehicles should be able to move about freely and safely, but in the case of
vehicles there should be speed limits. Reversing for vehicles should be allowed in safe
circumstances and in the case where large numbers of pedestrians gather at specific times,
such as shift changes, there should be some consideration given to restricting vehicular traffic
flow.
In the event of the type of premises not always allowing freedom of movement, special
consideration should be given to marking obstructions and overcoming restricted vision for
pedestrians.
Doors and Gates

Doors and gates shall be suitably constructed including being fitted with any necessary safety
devices.
Any door or gate that can be opened in either direction should be fitted with a vision panel.
Power doors should have safety devices to prevent injury to those working near them. Easily
accessible and identifiable control switches should be fitted. In the situation of a power door
being inoperable due to power failure, there should be a means of operating it manually.
Escalators and Moving Walkways
Escalators and walkways must:
Function safely.
Be equipped with any necessary safety devices.
Be fitted with one or more emergency stop controls, which are easily identifiable and
readily accessible.
Sanitary Conveniences
Suitable and sufficient sanitary conveniences should be provided at readily accessible places.
Sanitary conveniences should be suitably cleaned and maintained and provided with: toilet
paper, coat hook, flushing mechanism and drainage. They should have adequate lighting,
ventilation and have special facilities for disabled people including those in wheelchairs.

Unless doors can be secured from the inside separate conveniences have to be supplied for
men and women. Where remote workplaces exist, chemical closets can be provided, but where
possible should be of the type not requiring manual emptying.
The number of water closets and urinals required in particular installations may vary and the
following table could be used to help identify requirements
Minimum numbers of facilities

Number of Number of toilet Number of
people at work facilities hand washing basins
1 to 5 1 1
6 to 25 2 2
26 to 50 3 3
51 to 75 4 4
76 to 100 5 5
Adapted from the HSE Workplace (Health, Safety and Welfare) Approved Code of Practice
Washing Facilities
Suitable and sufficient washing facilities, including showers if required by the nature of the
work or for health reasons, should be provided at readily accessible places.
Adequate ventilation and lighting is an essential part of any washing facility. The washing area
must be well maintained and kept in a state of cleanliness. They must be provided in the same
areas as sanitary conveniences and have an adequate supply of running hot and cold water
together with soap, towels or alternative drying means.
Washing areas together with sanitation facilities must be protected from the weather.
Men and women should have separate facilities unless the doors can be locked from inside.
This does not apply to facilities that are provided for washing faces, hands and forearms only.
Temporary or remotely situated workplaces can be provided with water in containers only
when running water is not available.
Drinking Water
An adequate supply of wholesome drinking water should be provided for all persons at work in
the workplace.
Drinking water should be supplied from the public mains or by a storage cistern and marked as
such. In either case the supply should comply with national water law. An adequate supply of
clean disposable cups should be available, the exception being if a water fountain is provided
or there is provision to wash cups nearby.
Where it is not practicable to supply mains water, a supply of bottled water is permissible as
long as it is accessible and adequate.

Accommodation for Clothing

Suitable and sufficient accommodation for clothing should be provided.
Where special clothing is worn at work and not taken home, suitable accommodation must be
provided. Where personal clothing is stored during the working day it is the duty of the
employer, if necessary, to install suitable security. There may be cases where it is not desirable
for work clothing and personal clothing to come into contact and in these circumstances
separate storage facilities must be provided.
Minimum requirements are that a peg or hook be provided on which to hang clothing.
Practicable facilities should be provided for the drying of personal clothing before the end of a
shift and drying of work clothes before the start of a shift.
Provision for the Storage of Clothing
It is considered best practice to provide accommodation for clothing which is not worn during
working hours and similarly for special work clothing (that which is worn for work but not
taken home, such as overalls, uniforms, thermal clothing and hats worn for food hygiene
purposes).
Accommodation for work clothing and workers own personal clothing should enable it to hang
in a clean, warm, well-ventilated place where it can dry out during the course of a working day
if necessary. If the workroom is unsuitable for this purpose then accommodation should be
provided in another convenient place. The accommodation should consist of, as a minimum, a
separate hook or peg for each worker.
Where work clothing (including personal protective equipment) which is not taken home
becomes dirty, damp or contaminated due to the work it should be accommodated separately
from the workers own clothing. Where work clothing becomes wet, the facilities should
enable it to be dried by the beginning of the following work period unless other dry clothing is
provided.
Facilities for Changing Clothing
Suitable and sufficient facilities should be provided for any person at work in the workplace to
change clothing.
Where there is the need to wear special or protective clothing and the situation demands a
separate changing area, there are certain requirements:
Separate changing rooms should be provided for men and women.
The changing areas should be sufficient for the number of persons using them without
causing overcrowding.
There should be direct access to shower facilities. In all cases the changing rooms have to
provide adequate privacy together with seating accommodation. A further requirement is
that the changing rooms should be readily accessible to the working and refreshment
areas.

Facilities for Rest Areas and to Eat Meals

Suitable and sufficient rest facilities should be provided at readily accessible places.
For workers who carry out their duties in a standing position, seats should be provided for
resting during natural breaks or when activity is stopped for whatever reason.
The rest areas should contain tables and chairs, the chairs being suitable for the purpose and
having backrests. These should be in a suitable place where personal protective equipment
(for example, respirators or hearing protection) need not be worn. In offices and other
reasonably clean workplaces, work seats or other seats in the work area will be sufficient,
provided workers are not subject to excessive disturbance during breaks, for example by
contact with the public. In other cases one or more separate rest areas should be provided
(which in the case of new workplaces, extensions and conversions should include a separate
rest room).
Hygiene is an essential factor in areas where food is consumed: the rest area should be clean
and free from contamination from any process or material associated with the workplace
environment.
Where workers regularly eat meals at work, suitable and sufficient facilities should be provided
for the purpose.
Seats in work areas can be counted as eating facilities provided they are in a sufficiently clean
place and there is a suitable surface on which to place food. Eating facilities should include a
facility for preparing or obtaining a hot drink, such as an electric kettle, a vending machine or a
canteen. Workers who work during hours or at places where hot food cannot be obtained in,
or reasonably near to, the workplace should be provided with the means for heating their own
food.
Eating facilities should be kept clean to a suitable hygiene standard. Responsibility for cleaning
should be clearly allocated. Steps should be taken where necessary to ensure that the
facilities do not become contaminated by substances brought in on footwear or clothing. If
necessary, adequate washing and changing facilities should be provided in a conveniently
accessible place.
Canteens or restaurants may be used as rest facilities, provided there is no obligation to
purchase food in order to use them. Good hygiene standards should be maintained in those
parts of rest facilities used for eating or preparing food and drinks.
Interests of non-smokers should be taken into account to protect them from the discomforts of
tobacco smoke. There are two considerations:
Provision of separate facilities for smokers and non-smokers.

Prohibiting smoking completely.
Facilities for Pregnant Women and Nursing Mothers

Pregnant women and nursing mothers must be considered. Facilities should be provided to
allow them to lie down and rest and the rest area should be conveniently close to the sanitary
facilities.

In the UK, there are prohibitions and restrictions on pregnant women and nursing mothers
working with certain processes or carrying out particular work activities, e.g. those involving
ionising radiation, lead or lead compounds, and other toxic chemicals, such as benzene and
mercury.
First-aid provision
The general requirements in relation to providing first aid are:

The requirement on the employer to provide first-aid.
The requirement on the employer to inform employees of the arrangements made in
connection with first-aid.
The employer should firstly carry out an assessment to determine the hazards likely or
foreseeably present with the particular workplace and to provide adequate and suitable first-
aid provisions accordingly. The hazards which may be identified by the assessments could
include chemical hazards (including antidotes), mechanical hazards and electrical hazards.
The first aid assessment would consider:
The number of employees.
The nature of the undertaking.
The size of the establishment and distribution of the employees.
The location of the establishment and the locations to which the employees go in the
course of their employment.
Use of shift working and the effect of delayed response.
The distance from external medical services.
It is not sufficient just to rely on the number of employees to determine appropriate first-aid
cover.
First-aiders
The employer must provide an adequate and appropriate number of suitable persons to render
first-aid to ill or injured employees at work. A suitable person is someone who holds a current
first-aid certificate issued under an approved training course.
In certain circumstances additional specialised training may be required by a first-aider, i.e.
where specific hazards or risks exist within a workplace, such as:
Danger of poisoning by certain cyanides and related compounds.
Danger of burns from hydrofluoric acid.
Need for oxygen as an adjunct to resuscitation.
In situations where suitable persons are absent in temporary and exceptional circumstances, it
is acceptable for the employer to appoint a person to take charge of:
Any situation where an ill or injured employee requires attention from a medical
practitioner or nurse.
Any first-aid equipment and facilities while the suitable person is absent.

Such appointed persons should not render any treatment other than emergency first-aid and
then only where they have been specifically trained in those procedures, but should be
responsible for calling for professional assistance.
All first-aiders should have access to any equipment provided and all employees should have
reasonable access to first-aid. Although equipment will vary, all establishments without
exception should provide at least one first-aid box.
An employer whose establishment presents a high risk from hazards should provide a suitably
equipped and staffed first-aid room. A note should be placed on the door showing the names
and locations of first-aiders. Adequate records must be kept of all treatments.
In situations where specialised first-aid equipment is required at the workplace, it may be kept
in the first-aid room as appropriate.
Information and Training
The employer must ensure that all employees are informed of the establishments first-aid
arrangements. Induction training of new employees should incorporate this information.
Arrangements should also cover the first-aid requirements of other persons working on the
establishments site.
Training courses must be approved by the relevant body.
General first-aid training courses should last four full days with at least six hours contact time.
After three years a refresher course and re-examination are required before re-certification.
Where the employer provides a full-time occupational health service which is in the charge of a
registered medical practitioner or qualified occupational health nurse, the first-aid
arrangements for the establishment should be made by them.
Practical Aspects
All businesses must have an appropriate level of first-aid treatment available. Provision of
immediate and proper treatment of injuries can save life. Inefficient treatment of an
apparently trivial condition can lead to infection and ill-health.
Somebody should be appointed to take charge in an accident or emergency; to call an
ambulance or other emergency services; and to maintain the first-aid equipment. At least
one appointed person must be available whenever people are at work.
A first-aid box should be provided, kept clean and adequately stocked with materials. It
should contain guidance on the treatment of injuries, particularly emergency procedures,
such as artificial respiration, controlling bleeding, unconsciousness, burns, electric shock
and gassing. There should be a sink or washing facilities nearby.
Notices must be posted giving the locations of first-aid equipment and the names and
location of first-aiders or the appointed person.
Where there are special hazards or particular classes of employee, it may be necessary to
have a first-aid room and a qualified or specialist first-aider.
It is a sensible precaution to have at least one person in the workplace who knows the
basics of first-aid procedures and treatments.

C O N T E N T S
1A6 Control of Contractors
MAIN CONSIDERATIONS WHEN SELECTING A CONTRACTOR ............................................................................ 3

CONTRACTOR VETTING TO ASSESS COMPETENCE AND RESOURCES ........................................................................................ 3
HOW CONTRACTOR MONITORING CAN CONTRIBUTE TO THE PREVENTION OF ACCIDENTS AND ILL-HEALTH 5
EFFECTIVE PLANNING AND CO-ORDINATION OF CONTRACTED WORK ..................................................................................... 5
ENSURING THAT THE PROJECT ADHERES TO SCHEDULE AND SAFE SYSTEMS OF WORK ................................................................ 6
IDENTIFYING PREVIOUSLY UNFORESEEN HAZARDS RESULTING FROM CONTRACT WORK............................................................... 6
SYSTEMS OF COMMUNICATION ................................................................................................................................... 6
END-OF-CONTRACT REVIEW ...................................................................................................................................... 6
07 - IDipOSH A7 v2 160514
Study Unit 1A6 | Control of Contractors
Learning Outcomes
1.A.6.1 Advise on the main considerations when appointing a contractor
1.A.6.2 Explain how contractor monitoring can contribute to the prevention of accidents
and ill-health
Unit 5:

Main Considerations When Selecting a Contractor

Contractor Vetting to Assess Competence and Resources
An occupier or employer must take care to choose a reliable contractor. There is no test
laid down for selecting contractors, but you will appreciate the dangers which could follow if a
contractor who is not competent to perform the task required is engaged, perhaps solely on
the grounds that he is the cheapest to hire. This does not mean, of course, that because a
contractor is able to quote a figure much below his competitors he is not competent. He may
be very competent and also a shrewd businessman and it would be unsafe to rely on this test
alone. Sometimes, however, people will set themselves up as being able to perform a
specialised task but lack the necessary expertise.
Appointment of Contractors
To ensure that the contractor chosen is capable of doing the work required safely, it is
necessary to introduce procedures that will identify and cover key points. The following lists
suggest an approach that covers all aspects of contractor hire (HSE Guidance: Managing
Contractors. Available from the HSE).
The Planning Stage
Define the task(s) that the contractor is required to carry out.
Identify foreseeable hazards and assess the risks from those hazards.
Introduce suitable control measures to eliminate or reduce those risks.
Lay down health and safety conditions specific to the tasks.
Involve the potential contractors in discussions concerning the health and safety
requirements.
Choosing a Contractor
Determine what technical and safety competence is required by the contractor.
Ask the contractor to supply evidence of that competence.
Supply information regarding the job and the site, including site rules and emergency
procedures.
Ask the contractor to provide a safety method statement outlining how they will carry out
the job safely.

Typical areas that would be checked prior to appointing a contractor would include:
Training and Qualifications
The employer must check what qualifications, with regard to the work to be carried out,
the contractors employees hold and what additional training will be given. This might
include site induction, specific task training, as well as any other training required by the
client.
Membership of a Relevant Trade or Professional Organisation
In this case, the employer would check whether the company, or employees of the
company, are members of a recognised trade body or institute. Typical examples in the
UK would include gas fitters who are on the Gas Safe register, and NICEIC for electrical
installers. Chartered Membership of IOSH is often asked for with regards to appointment
of health and safety consultants.
Documentation (Safety Policy, Method Statement, Etc.)
Examples of the companys health and safety documentation, such as the safety policy,
risk assessments, method statements, etc. should be examined to ensure that the
company has health and safety management systems in place.
Previous Experience
Details of previous similar work carried out, including names/addresses, should be
examined to enable the standard of work and the safety culture of the company to be
verified by a third party.
Evidence of a Comprehensive Safety Management System
Such evidence could include: records of safety inspections; audits along with risk
assessments records; accident books; defect reporting procedures; records of
maintenance (including portable appliance testing) for equipment to be brought on site;
and appointment of safety personnel. These would all provide evidence of an active
safety management system.
Adequate Insurance Provision
It would prudent to check that company have public liability insurance in case something
goes wrong and that the amounts insured are sufficient.
Previous Health and Safety Performance
Details of any previous enforcement action would be useful. Any previous enforcement
action for health and safety breaches should be asked for and disclosed. Similarly, any
health and safety awards would reflect positively on previous health and safety
performance, as would any employees holding health and safety qualifications.
Another important indicator of past performance is accident history of the company, for
example, reportable accident statistics, Incident Frequency Rates (IFRs), etc. Whilst past
performance by itself will not give a full picture, it is a very useful indicator, in conjunction
with the other issues, of how the company views health and safety.

How Contractor Monitoring Can Contribute to the

Prevention of Accidents and Ill-Health
Simple failings in the control of contractors can lead to potential problems that may result in
accidents or ill-health. Situations such as different workers coming onto the work site or non-
approved equipment being used have contributed to accidents in the past. It is, therefore,
important that the contractors, who you have chosen carefully, are monitored whilst on-site to
ensure that everything is going to plan, and that any potential problems are highlighted and
dealt with.
Suitable monitoring of contractors would include:
Effective Planning and Co-ordination of Contracted Work
It is essential for clients and contractors to work together in respect of health and safety. This
can often involve potential contractors in discussions concerning health and safety issues, prior
to awarding the contract.
Planning
The client-contractor relationship starts with a specification of the particulars of the task(s)
that the contractor will be required to carry out. Clearly this is the responsibility of the client.
Depending on the nature of the tasks, there may be specific health and safety issues to be
addressed the identification of foreseeable hazards and assessment of the risks involved, and
the adoption of suitable control measures to eliminate or reduce those risks. The contract
specification should make it clear who is responsible for these.
One approach is for the client to lay down health and safety standards and conditions for the
tasks in general terms, and for the contractors to provide not only the risk assessment for the
work that they are going to carry out, but also a method statement of how they intend to do it
safely. This itself may form part of the contract, or the requirements to undertake the
assessment and have the method statement approved may be written into the contract.
During the Work Itself
The client has a general responsibility in respect of the workplace where the contractor is
working on the clients own business premises, which is the general case for most forms of
contract work. Thus, arrangements for ensuring the contractor complies with the established
safe working practices in place must be made. This could be done, for example, by:
Having a signing in and out procedure.
Ensuring that the contractor provides a named site contact.
Carrying out site induction training for all contractor employees.
Ensuring appropriate levels of supervision.
Where necessary, activities may need to be controlled by using a permit-to-work system.
The client will also need to ensure that the contractor is working to the agreed safety
standards and some form of checking on performance and review of procedures will probably
be necessary. Any incidents involving contractors may need to be investigated and should
always be reported. Attention must also be paid to the possibility of changes of circumstance
for example, new personnel being introduced.

Ensuring that the Project Adheres to Schedule and Safe Systems

of Work
Where a project slips behind time, there is a possibility of a compromise in health and safety
as the workers try to catch up on time, particularly if there are penalty clauses built into the
contract. By working closely with the contractor, the client can:
Ensure, as far as possible, that the project adheres to schedule; and
Where slippage is a possibility, potential problems are highlighted and measures taken to
reduce the risks.
Another key part of the monitoring process is to ensure that the agreed safe systems of work,
such as permits to work, are being followed by all contractors.
Identifying Previously Unforeseen Hazards Resulting from

Contract Work
It is not unusual, particularly during large projects, for things not to go exactly to plan. If, for
example, work methods have to be changed or additional work has to be done this should be
reported by the contractor to the client to allow another assessment of the work to be carried
out. This assessment should determine the currency of the existing control measures and
whether any more needs to be done to reduce the risk from the changes in work.
Additionally, the work carried out by contractors may have more impact on the work in the
surrounding area than expected and, for this reason, regular monitoring should be carried out
to identify problems and to prevent the situation becoming dangerous.
Systems of Communication
Perhaps the most important aspect of the client/contractor relationship is the effectiveness of
the communication. The lines of communication and points of contact should be decided prior
to the project beginning and this must be maintained to ensure the efficient flow of
information. Regular monitoring will ensure that the system is working and allow for changes
to be made if necessary, e.g. change of personnel, etc.
End-of-Contract Review
It is good practice to hold an end of project review with both client and contractor
representatives being invited to give their thoughts to how the project went. The review can
be in the form of a checklist that is filled out, collated and any areas of contention discussed.
A typical checklist could ask the following questions:
Did the project achieve what it set out to do and was the work carried out satisfactorily?
Were the information exchange procedures sufficiently effective?
Were the welfare arrangements effective?
Were there any complaints? (These could include complaints from either the clients
employees or the contract organisations employees.)
By carrying out the review, any problems that had not been resolved during the life of the
project can be identified and recorded for future reference.

C O N T E N T S
1A7 Safe Systems of Work
SAFE SYSTEMS OF WORK.................................................................................................................................... 3

DEFINITION ......................................................................................................................................................... 3
GOOD PRACTICE .................................................................................................................................................... 3
VARIOUS DOCUMENT SYSTEMS AS PART OF THE SAFE SYSTEM OF WORK ................................................................................ 3
DEVELOP A SAFE SYSTEM OF WORK ................................................................................................................... 6
IDENTIFICATION OF ALL THE TASKS AND ACTIVITIES TO BE CARRIED OUT............................................................................... 6
JOB SAFETY ANALYSIS ............................................................................................................................................. 6
CONTROLLING THE RISKS ......................................................................................................................................... 7
EVALUATE THE SAFE SYSTEM OF WORK ........................................................................................................................ 9
PERMIT-TO-WORK SYSTEMS ............................................................................................................................ 11
DEVELOPING A PERMIT-TO-WORK SYSTEM .................................................................................................................. 12
BASIC PRINCIPLES ................................................................................................................................................ 12
ESSENTIAL FEATURES OF A PERMIT-TO-WORK SYSTEM.................................................................................................... 12
AUTHORISATION .................................................................................................................................................. 14
08 - IDipOSH A8 v2 160514
Study Unit 1A7 | Safe Systems of Work
Learning Outcomes
1.A.7.1 Explain what is meant by a safe system of work
1.A.7.2 Develop a safe system of work
1.A.7.3 Evaluate a safe system of work
1.A.7.4 Explain how permit-to-work systems can contribute to the prevention of accidents
and ill-health
1.A.7.5 Develop and apply a permit-to-work system
Unit 6:

Safe Systems of Work

A safe system of work is a formal procedure which results from systematic examination of the
tasks of a working process in order to identify all the hazards and defines methods of working
which eliminate those hazards or minimise the risks associated with them.
The essence of the concept is that it is a system for dealing with the hazards. Based on the
precise identification of hazards and assessment of risks for a particular task, job or process,
the system comprises a comprehensive procedure for the way in which people may safely
interact with each other, and with the materials, equipment and plant which form part of their
work, so the risks are minimised. The procedure must be followed at all times in order to work
safely in relation to the hazards.
Safe systems of work are needed whenever hazards cannot be physically eliminated and some
element of risk remains. This applies to any task involving any risk. Thus, there is a specified
routine for changing the ink toner in a photocopier to avoid spillages and dust contamination,
just as there are specific practices for the separation of cooked and uncooked meats in
kitchens, and detailed procedures for the setting and detonation of explosives in a quarry. In
all these situations, the safe system is essential to prevent accidents or other incidents.
Definition
The Health and Safety Executive (HSE) in the UK defines a "system of work" as:
"The way in which work is organised and includes, for example, the layout of the
workplace, the order in which jobs are carried out, or special precautions which have to
be taken before carrying out certain hazardous tasks".
Perhaps a good way of looking at it is to consider it as a planned, thought-out and
systematic approach to both new and existing jobs.
Good Practice
It is good practice, and in some countries a legal requirement, that all employers provide
systems of work that are safe and without risks to health. In doing so, employers should
provide safe work equipment; safe handling, storage, use and transportation of substances;
proper information, instruction, training and supervision; a safe place of work; and a safe
working environment, including welfare facilities.
Various Document Systems as Part of the Safe System of Work
A safe system of work may be communicated orally, or by a simple written procedure or, in
exceptional cases, by a formal permit-to-work scheme depending upon the complexity of the
task(s) and the level of risk posed by those tasks. It is important to analyse each part of the
task to ensure that all foreseeable hazards are identified. This will involve the following:
Consider the preparation and authorisation needed at the start of the job.
Ensure clear planning of job sequences.
Include means of access and escape, if relevant.
Consider the tasks of dismantling, disposal, etc. at the end of the job.
Specify safe work methods.

We should also be prepared to involve the people who will be doing the work. Their practical
knowledge of problems can help avoid unusual risks and prevent false assumptions being
made at this stage.
In order to ensure the adequacy of the safe system it might be necessary to have formal
documented systems using: method statements, procedures and permits-to-work.
Method Statements
These are written in conjunction with a risk assessment for the task or operation. The method
statement will make all those concerned with the task aware of the hazards and any safety
precautions that need to be taken.
A typical example of part of a method statement for a task involving working at heights would
identify hazards such as falling people and falling objects. Methods of reducing the risks from
these hazards might include:
Providing and maintaining suitable means of access.
Ensuring that safety equipment (e.g. harness) is worn at all times.
Ensuring proper edge protection is provided and maintained.
Suitable positioning of signs and barriers below where the work is being carried out.
All debris to be disposed of by the use of chutes.
All staff given information and training on these requirements.
Method statements are often sequential operating instructions showing the operators what has
to be done, in what order and with what tools and equipment. Many smaller construction and
refurbishment related projects rely on the method statement as the principle documented
system for the work to be carried out
Procedures
These tend to be more detailed than method statements and give step-by-step instructions on
how to carry out tasks, including what equipment to use and any safety issues arising at each
stage of the task. Procedures are very much an accepted part of the working regime in many
industries, particularly those that involve complex and high-risk operations.
Permits-to-Work
The definition of a permit-to-work system is a formal system that gives signed authority to
carry out specific work. A permit-to-work is part of a safe system of work, and is designed to
be used when tasks with higher than normal risks are being carried out. In many industries,
however, permits-to-work have been introduced for all operations and tasks and have, it could
be argued, lost their impact.
It is important that everyone understands which jobs require a formal permit-to-work.
Permits-to-work should:
Define the work to be done.
Define the time limits for starting and completing the work.
Say how to make the work area safe.
Identify any remaining hazards and the precautions to be taken.
Describe checks to be carried out before normal work can be resumed.

Name the person responsible for controlling the job.

Jobs likely to require a permit-to-work system include:
Working in confined spaces.
Hot work on plant containing flammable dusts, liquids, gases or their residues.
Cutting into pipework containing hazardous substances.
Work on electrical equipment.
Further explanation of PTW systems is given later in this chapter

Develop a Safe System of Work

Identification of All the Tasks and Activities to be Carried Out
The process of developing a safe system of work essentially starts with a risk assessment, in
that the hazards and risks involved in the various tasks that make up the work need to be
identified. Appropriate controls need then to be formulated and introduced, such that the
work may be effectively carried out, but in a safe way. This demands that there is a balance
between the needs of the job and the safety controls that are applied, depending on the
extent of the risk.
Sources that can be consulted when developing a safe system of work are:
Applicable legislation and codes of practice.
Enforcement agencies.
UK HSE guidance notes.
Manufacturers information.
Industry standards and trade association guidance.
British, European, international and industry standards.
Risk assessments.
Job safety analysis.
Inspection reports.
Accident statistics/medical surveillance records.
Professional bodies/journals.
Company policy.
Workforce.
The development of safe systems of work rely on risk assessment outcomes. As explained in
chapter 1A4 there are a number of approaches that can be taken to carry out the risk
assessment.
Job Safety Analysis
Some tasks will be relatively straightforward, and it will be fairly obvious what needs to be
done to work safely. Other tasks will need much more thought. Job safety analysis is a
technique which can be used to help the assessment and control process by providing a
structured framework for considering all aspects of a given task. The technique for carrying out
a job safety analysis is commonly known as SREDIM. The steps involved in this technique of
analysis are:
Select the task to be studied.
Record the steps in the process.
Examine the component parts of the task.
Develop the safe system.
Install the safe system.
Maintain the safe system.
We start with those tasks that have been identified as needing priority treatment but in time,
the analysis should have included all tasks.

In the case of a team activity, recording the steps in the process involves making a record of
what each member of the team is doing. Any obvious hazards are noted.
When examining the parts of the task that need to be done, it is usual to ask a number of
questions:
What is being done?
Why is it being done?
Who can do it?
When does it have to be done?
The questions are the same as those asked during a method study. The answers enable the
one who is doing the analysis to examine all parts of the process. It may be safer to do
operations in a different order, or for different members of the team to be involved. Job
rotation might be a simple method of sharing out tasks that involve ergonomic problems such
as vibration or repetitive strain.
Identification of the Hazards Arising from the Tasks and Activities
Put simply, this is looking for, and recording, anything that can cause harm (remember the
definition of a hazard) in any of the stages of the task being analysed. This can vary from
relatively simple issues such as trip hazards to complex issues that need input from specialists
and may require advanced techniques such as HAZOP. Regardless of the level of potential risk,
the hazard identification process must be carried out thoroughly to allow adequate control
measures to be introduced.
The safe system can then be developed and implemented.
Controlling the Risks
The main purpose of a job safety analysis is to help determine a safe system of work. When
considering the most appropriate control strategies, it is important to consider:
The Location of the Work
Does the location of the work increase the risk from other hazards or introduce new hazards?
The risk of being affected by fumes given off by welding will be increased if working in a
confined space. People working at height are at risk of falling. If that work is carried out over
water, for example, during bridge repairs, then there is the added danger of drowning should a
worker fall. Many worksites pose hazards due purely to the location. Examples of this include:
excavations, construction sites, road and rail repair sites, offshore workers, etc. It is,
therefore, not difficult to see how important it is to consider the location of the work when
carrying out a risk assessment/job safety analysis.
The Working Environment
It may be necessary to make measurements to determine whether the working environment
constitutes a hazard. Typical factors that may need measuring are temperature (including both
heat and cold), light, humidity, noise and air contamination. Some of these factors may be
due to the work location, whilst others are as a result of the work or process being carried out.
In addition, weather conditions, can create an unpleasant (or even dangerous) working
environment.

Equipment
When considering equipment, there may be two areas to consider: equipment that is being
worked on, and equipment that is being used to complete the task. Whilst the first is
commonly included in the risk assessment it is easy to overlook the latter. Work equipment
must be suitable for use, i.e. suitable for the task being carried out, in the conditions in which
it is being used. It must also be properly maintained. The use of unsuitable or poorly
maintained equipment can create a hazard resulting in injuries from bruising to electrocution.
Materials
The term materials covers an enormous range of substances and items that are used in all
industries. They can range from photocopying paper to corrosive and flammable chemicals.
When assessing the potential problems associated with materials, it is necessary to consider
the following:
Storage
Issues to do with storage include: How is the material stored? Where is it stored? Is it
hazardous? Is it flammable? Are spillage precautions needed?
Movement
Issues to do with movement include: How is it moved (manual handling, mechanical
handling)? Is it heavy? Is it stable? Is it hazardous? Does it need to be moved by
trained personnel?
Use
Issues to do with use include: Is it hazardous, corrosive, flammable, toxic? Does it give
off vapour, fume, gas or dust? Is it sharp, hot, cold? Does it affect atopic people?
Disposal
Issues to do with disposal include: Is it general waste? Is it special waste? Does it need
to be disposed of by licensed waste disposal company? Is it segregated from full
containers and packages?
People
When assessing any work situation, it is the influence and involvement of people that will
ultimately determine the level of risk present. If people use inappropriate equipment, or
equipment that they have not been trained to use, the risk of injury increases. This also
applies to the incorrect storage, movement, use and disposal of materials. By lifting loads that
are too heavy or using hazardous materials without taking appropriate precautions, people
expose themselves, and others, to the risk of injury and ill-health.
By considering the above issues, any control measures introduced as part of a safe system of
work are likely to be more effective.
Technical, Procedural and Behavioural Controls

A safe system of work will involve all the elements of control that we identified in respect of
the general hierarchy of control.

Technical Controls
Technical, or engineering, controls are those that are applied directly to the hazard itself in
order to minimise the risk. This may involve fencing or barriers of different kinds to isolate
workers from the hazard as far as possible, or fail safe devices incorporated into equipment to
stop its operation if there is a fault. It is important for the system to recognise these controls
since they often underpin the safety of the whole operation. Similarly, employees must
recognise their importance and the need to ensure that they are operative at all times.
Procedural Controls
Procedural controls are those defined in the way in which work should be carried out in
relation to the hazard. They will specify the exact tasks involved, their sequence and the
safety actions and checks that need to be taken. Thus, there will be a set procedure for
operating a grinding wheel, covering opening machine guards, checking for problems before
changing the items being worked on, securing the new item and closing the guards before
switching back on, and finally waiting until it is safe before opening the guards again.
Often, the procedure will relate to the correct operation of the technical controls. In other
instances, it will specify management checks that need to be made as part of the process. A
less detailed system is the use of method statements. As discussed earlier in this Study
Unit, these identify potential problems within tasks and measures to be taken to reduce any
risk arising from them.
Behavioural Controls
Behavioural controls relate to how the individual operative, or groups of workers, act in
relation to the hazard. These will relate to general points of good safety practice in the
workplace for example, not consuming drugs or alcohol, not hurrying or cutting corners,
always reporting defects or faults, cleaning up spills, etc. and to specific measures relating to
the particular job, such as personal protective equipment.
Evaluate the Safe System of Work
Performance monitoring is covered in detail in an earlier study chapter and it has significance
here in relation to evaluating how well the safe systems of work actually helped to prevent or
control the risks involved in work activities.
Active (Proactive) Monitoring

The purpose of active (or proactive) monitoring is used to ensure that the controls put in place
as part of the safe system are working and that they are adequate. This would include
checking that: any engineering controls have reduced the risks to an acceptable level;
procedural controls are being followed and records are being kept; and all workers are putting
the training and information that they have received into practice. Based on the findings,
remedial action can be taken where necessary.
Another benefit of active monitoring is that it highlights any changes that may have occurred,
and allows additional or amended control action to be taken.
The most common types of active monitoring in the workplace are audits and inspections.
Reactive Monitoring
Another method of evaluating the success, or otherwise, of a safe system of work is to have
systems in place that allow comments and feedback on all aspects of the system. This allows

workers, especially those directly involved with the safe system, to make comment on the
effectiveness of the safe system and to identify problems and shortcomings with the system.
Similarly, accident and ill-health records allow an analysis to be made to determine
whether the introduction of the safe system has had any effect on trends.
The major drawback with this type of monitoring is that you are reliant upon others to provide
information. Unless there is a very good culture of near miss reporting, you are waiting for an
accident to occur, or for somebody to suffer ill-health before any meaningful data is produced.
This may not happen and you therefore remain blissfully unaware of potential problems that
would have come to light through active monitoring.

Permit-to-Work Systems
In many cases, it is impossible or extremely unrealistic to eliminate a risk totally. Even when
the risk has been reduced, we are left with no alternative but to train someone in the skill to
recognise the risks involved, and the knowledge of how to minimise them; and then, in effect,
say, "Be careful". A procedural way of taking every precaution possible is to institute a permit-
to-work system.
Please note that a "permit-to-work system" should not be mistaken for a "safe system of
work". Rather, a safe system of work may require a permit-to-work system to be
adopted as part of its overall systematic control of risk. The safe system of work
should in itself be considered as part of the quality control procedures of an organisation.
We can now turn to our examination of a permit-to-work system as an example of a
systematic means of controlling risk.
Whenever maintenance or other temporary work of a potentially hazardous nature is to be
carried out within the plant, some sort of permit-to-work system is essential.
Most accidents can be attributed in one way or another to human error. In order to achieve a
high degree of safety, it is necessary to eliminate human error as much as possible by using a
system that requires formal action. Permit-to-work systems try to ensure that formal action is
taken by providing a written and signed statement to the effect that all the necessary actions
have been taken. The permit must be in the possession of the person in charge of the
operation before work can commence.
Ideally, the control of permit-to-work systems throughout the company should be the overall
responsibility of one person. That person should possess the ability to appreciate the
existence of hazards and have knowledge of the means of eliminating them. He/she must
have the necessary authority to instruct responsible people in the organisation to make safety
recommendations on matters requiring their specialist knowledge.
The person responsible must also have authority to co-ordinate the efforts of everyone
concerned with the provision of safe working conditions. In the event of a permit being
issued, he or she must ensure that everyone concerned understands the terms of the permit
and follows its instructions down to the smallest detail.
These provisions should be extended to any outside contractors taking part and it must be
made clear that their employees must not in any circumstances begin work until the safety
precautions and procedures have been fully explained to them.
What is a Permit-To-Work?
Put simply, a permit-to-work is a form that, when completed, identifies specific work that is to
be done. The permit should identify hazards associated with the task and precautions to be
taken. It should also stipulate start and finish times of the permit, and be signed by the issuer
and the person responsible for accepting the permit, both on issue and hand back.
Different types of permits-to-work are used dependant upon the task to be carried out. Typical
examples of common permits are those used for: working at height; entry into confined
spaces; excavation work; hot work; working on electrical systems.
When completed and signed, the permit becomes a formal document that stipulates how the
work must be carried out.

Permits-to-work are used when non-routine or high-risk work is to be carried out. The
purpose is to ensure that all aspects of the work have been considered, and that safety
precautions have been put in place.
Developing a Permit-to-Work System

Basic Principles
Four main principles need to be observed for the operation of an effective permit-to-work
system. These are: hazard evaluation, precaution planning, instructing the supervisors and
issuing the permit.
Hazard Evaluation
This entails recognition of every type of hazard that may be encountered, and then devising
the means of eliminating or overcoming them. The best way of achieving this in the long term
is by the introduction of a hazard appraisal programme, by means of which it is possible to
formulate a very long-lasting system of precautions. A major problem may be that work is
frequently performed under emergency conditions and little time is then available for a detailed
appraisal to be made.
Precaution Planning
All planning associated with the permit must be carried out by a competent person, who
should have sufficient detailed knowledge of the hazards of the process or plant that he or she
can formulate the plan properly. The person must have the necessary position of authority for
his or her instructions to be recognised and complied with. He/she should also have an
adequate knowledge of the legal requirements, and of technical terms such as isolate, lock
off, and blank off, as they apply to the permit-to-work system.
Instructing the Supervisors
It is of paramount importance that those people responsible for the work should be carefully
briefed by the person issuing the permit. The instructions in the permit must be fully
understood, and this can best be achieved by direct questions and answers to supplement the
written word.
Issuing the Permit
The permit, which should be completed and signed by the issuer, must be given to the person
in charge of the work (who signs for it). Sufficient copies must also be given to plant or site
management and supervisory staff who may be involved, especially where it is necessary for
them to be kept informed of work progress. An additional copy of the permit should be
exhibited nearby during the time it remains in force.
Essential Features of a Permit-to-Work System
Initial Steps to be Taken
Before work is commenced, the following general safety precautions should be observed where
applicable:
Electrical or mechanical isolation of the plant.
Isolation of the machine or equipment area.
Locking or blanking off of water, steam, acid, gas, solvent, and compressed air supplies.
Erection of scaffolding.

Provision of temporary guards (or other like equipment) to make the job safe.
Application of Permits
Permits must be specific about the type of work and the location covered, and the hazards
identified and necessary precautions to be taken. Signatures must be obtained to confirm that
the necessary work has been carried out at each stage.
The following list identifies all the typical elements that are commonly included on a permit-to-
work form:
Permit title.
Permit number.
Reference to other relevant permits or isolation certificates.
Job location.
Plant identification.
Description of work to be done and its limitations.
Hazard identification, including residual hazards and hazards introduced by the work.
Precautions necessary details of all precautions to be taken, including isolation,
necessary for the job to be done safely. Completion of these must be confirmed by each
person who carries them out.
Protective equipment necessary when undertaking the work.
Authorisation signature of the manager releasing the plant for the job and confirming
that isolations have been made/precautions taken, except those which can only be taken
during the work.
Date and time duration of the permit.
Acceptance signature confirming understanding of the work to be done, the hazards
involved and the precautions required. This should also confirm that the permit
information has been fully explained to all workers involved.
Extension/shift handover procedures signatures confirming that checks have been made
to ensure that the plant remains safe to be worked upon, and that the new
acceptor/workers have been made fully aware of the hazards and precautions. Where an
extension to the work is involved, a new expiry time for the permit must be given.
Hand-back signatures, with time and date, of both the permit acceptor and issuer
confirming that all the procedures have been carried out correctly, the work has been
completed and the plant is ready for testing and recommissioning.
Cancellation signatures, with time and date, certifying that the work has been tested
and the plant satisfactorily recommissioned, and that it has been accepted back in a safe
condition for production to recommence.
Note that these elements will vary dependant on the nature of the task and processes
involved.

Authorisation
Instructing Supervisors and Operators
Ideally, the control of permit-to-work systems throughout the company should be the overall
responsibility of one person. That person should possess the ability to appreciate the
existence of hazards and have knowledge of the means of eliminating them. He/she must
have the necessary authority to instruct responsible people in the organisation to make safety
recommendations on matters requiring their specialist knowledge.
The person responsible must also have authority to co-ordinate the efforts of everyone
concerned with the provision of safe working conditions. In the event of a permit being
issued, he or she must ensure that everyone concerned understands the terms of the permit
and follows its instructions down to the smallest detail.
These provisions should be extended to any outside contractors taking part and it must be
made clear that their employees must not in any circumstances begin work until the safety
precautions and procedures have been fully explained to them. It is of paramount importance
that those people responsible for the work should be carefully briefed by the person issuing
the permit. The instructions in the permit must be fully understood, and this can best be
achieved by direct questions and answers to supplement the written word.
Issuing the Permit
The permit-to-work form must help communication between all parties involved. It should be
designed by the company issuing the permit, taking into account individual site conditions and
requirements. Separate permit forms may be required for different tasks, such as hot work
and entry into confined spaces, so that sufficient emphasis can be given to the particular
hazards present and precautions required. However, the number of permits issued should be
kept to the minimum conducive to the efficient manning of the plant.
The permit, which should be completed and signed by the issuer, must be given to the person
in charge of the work (who signs for it). Sufficient copies must also be given to plant or site
management and supervisory staff who may be involved, especially where it is necessary for
them to be kept informed of work progress. An additional copy of the permit should be
exhibited nearby during the time it remains in force.

C O N T E N T S
1A8 Personal Protective Equipment
MAIN TYPES OF PERSONAL PROTECTIVE EQUIPMENT....................................................................................... 3

HEAD ................................................................................................................................................................. 3
HEARING ............................................................................................................................................................. 4
EYE AND FACE PROTECTION ...................................................................................................................................... 4
RESPIRATORY TRACT............................................................................................................................................... 5
LOWER LIMBS AND FOOT PROTECTION ......................................................................................................................... 6
HAND AND ARM PROTECTION .................................................................................................................................... 7
PROTECTIVE CLOTHING FOR THE BODY ......................................................................................................................... 8
ASSESSING THE SUITABILITY OF PERSONAL PROTECTIVE EQUIPMENT ......................................................... 10
PPE AS PART OF THE CONTROL STRATEGY ................................................................................................................... 10
SELECTION AND CHOICE ........................................................................................................................................ 10
PPE ASSESSMENT ................................................................................................................................................ 13
BEST PRACTICE REQUIREMENTS FOR THE INSPECTION, TESTING AND MAINTENANCE OF PERSONAL
PROTECTIVE EQUIPMENT ................................................................................................................................. 14
INSPECTION BEFORE ISSUE AND AT REGULAR INTERVALS............................................................................................... 14
RELEVANT SPECIFIC TESTS AND RECORDS ................................................................................................................. 14
CLEANING AND MAINTENANCE ................................................................................................................................. 14
PROPER PLACE FOR, AND MEANS OF, STORAGE ............................................................................................................. 15
REPLACEMENT OF CONSUMABLE PARTS SUCH AS FILTERS AND BATTERIES ........................................................................... 15
REPLACEMENT OF DAMAGED, LIFE EXPIRED OR WORN OUT EQUIPMENT ............................................................................... 15
SYSTEM FOR REPORTING FAULTS AND OBTAINING REPLACEMENTS AT ALL TIMES ..................................................................... 16
THE PROVISION OF INFORMATION AND INSTRUCTION ON THE USE OF PPE ................................................. 17
EMPLOYERS, PPE USERS, AND MANAGERS AND SUPERVISORS............................................................................................ 17
09 - IDipOSH A9 v2 160514
Study Unit 1A8 | Personal Protective Equipment
Learning Outcomes
1.A.8.1 Describe the main types of personal protective equipment
1.A.8.2 Assess the suitability of personal protective equipment
1.A.8.3 Advise on the best practice requirements for the inspection, testing and
maintenance of personal protective equipment
1.A.8.4 Advise on the best practice requirements for the provision of information,
instruction and training on the use of personal protective equipment
Unit 7:

Main Types of Personal Protective Equipment

Definition of PPE
PPE covers all equipment (including clothing affording protection against the weather) which is
intended to be worn or held by a person at work, and which protects against risks to health
and safety.
Organisations must eliminate or reduce the risk by some other means before resorting to PPE.
Where there are no other effective means of protecting workers PPE must be provided and
used correctly.
Steps must be taken to control risks at their source to prevent the need for PPE, since:
PPE only protects the wearer, whereas controlling at source protects everyone.
Theoretical maximum levels of protection are seldom achieved in practice protection
may not be adequate.
PPE restricts the wearer and increases the risk.
The following section discusses the parts of the body that are often harmed during work
processes and outlines the typical items of PPE used to protect against the hazards:
Head
There are four widely used types of head protection. These are:
Industrial safety helmets for protection against falling objects or impact with fixed objects.
Industrial scalp protectors (bump caps) that can protect against striking fixed objects,
scalping or entanglement.
Crash helmets, cycling helmets, riding helmets and climbing helmets that are intended
primarily for protection from falls.
Caps, hairnets, etc. which protect against scalping and entanglement.
When activities involve a risk of falling objects, or where the risk of falling objects and impacts
has been identified, head protection may be required. The following list includes some areas
in which head protection may be required:
Building work on or underneath scaffolding and elevated work places.
Demolition work.
Work on large plant, boiler plants and mast, tower or other high level activity.
Work in pits, trenches and shafts.
Work near cranes or hoists.
Tree felling and tree surgery.
In selecting head protection, the helmet should:
Be an appropriate size for the wearer.
Have an easily adjustable headband and straps.

Be made comfortable by having a flexible headband, an absorbent and easily cleanable

sweatband and textile cradle straps. The chinstraps should be fitted with quick release
buckles, made from non-irritant material and be compatible with other PPE.
Hearing
There are three main types of hearing protection:
Ear Defenders or Earmuffs
These completely cover the ear. The main structure of the ear defenders or muffs is
generally made of a hard plastic outer shell that fits completely over the ear and is then
cushioned with a viscous liquid or a soft plastic inner. Each ear defender is linked to the
other by a band that is usually placed over the head and enables ease of removal and
application, as required. The ear defenders or muffs can also be an integral part of hard
hats to enable compatibility of these two required types of personal protective equipment.
Earplugs
These are inserted into the ear canal and are made of an absorbing acoustic material.
Earplugs can be provided with a band so that they may be worn around the neck when
not in use to prevent loss, as well as to stop them getting dirty whilst still required. The
earplugs can be disposable (used and thrown away straight after one use), re-usable
(used for a short number of times and then disposed of) or permanent (used for an
indefinite but not unlimited time, as they will have a time limit within which they will be
safe and effective).
Semi Inserts
These are also called canal caps. They cover the entrance to the ear canal only.
There are a number of considerations that should be taken into account when choosing ear
protection. Some of these are as follows:
Where they are to be worn.
Who will be wearing them and for how long.
The level of noise and the degree of protection required.
The comfort and fit, along with ease of use.
Compatibility with other personal protective equipment.
Eye and Face Protection

Eye protection would be provided to guard against: hazards of impact, splashes from
chemicals, liquid droplets, dust, welding arcs and light from lasers. Types of eye protectors
include: safety spectacles, goggles, welding filters, eye shields, face shields and hoods, and
those that fit over ordinary spectacles. Examples of when eye protection could be appropriate
include:
Handling or coming into contact with cleaning and other substances that may be acids,
alkalis, corrosive or irritants.
Working with power driven tools or static workshop machinery where there is a risk of
metal or wood chippings, or other material being ejected from the machine or the power
tool.
Undertaking any welding operations where optical radiation is emitted at levels liable to
cause injury to the eyes.

Any work in which dust or fumes that could be injurious to the eyes are produced.
Any work in which gases are used under pressures in excess of normal atmospheric
pressure.
When selecting suitable eye protectors, the type of hazard to be encountered will be of
paramount importance. The eye protectors must be comfortable, and durable. By involving
the wearer in selection and fitting, the eye protectors are more likely to be worn regularly.
Safety spectacles may incorporate side shields, especially during the use of chemicals, dusts
and fumes, welding operations and gases under pressure. The overall appearance of safety
spectacles is similar to ordinary spectacles, and the protective side shields can be clipped on to
the sides of normal corrective glasses (prescription glasses). The selection of the lens material
will depend on the type and level of protection required. Different quality and lens resistance
material will be required for protection against impact from flying objects, as compared to that
required for chemical splashes.
Eye shields are heavier than safety spectacles and wrap round the facial contours. They may
be worn over prescription spectacles.
Safety goggles are more often less convenient than safety spectacles. They do, however,
provide a high degree of protection, as they protect from all angles and may have toughened
lenses. Misting may be a problem with safety goggles; ventilated types can be obtained to
decrease this problem.
Face shields are usually attached to a headband and extend down to cover the whole area of
the face. When selecting this type of protection, the bottom edge should extend below the
chin, and care should be taken when looking up that splashes can not go up inside the shield.
Face shields are generally not the best means to protect against dusts, mists or gases, as
these can permeate under and around the face shield, and enter into the facial area in this
way.
Respiratory Tract
RPE is specifically Respiratory Protective Equipment only. RPE is designed to be worn in a
contaminated atmosphere and is designed to provide the user with a supply of air which is
safe to breathe. It can be divided into two major classes based on the principle by which
protection is given to the wearer. The two classes are:
Respirator (Filtering Device)
A respirator usually filters or cleans contaminated air from the workplace before it is
inhaled by the wearer. Respirators are not suitable for use in an immediately dangerous
to life environment, including oxygen-deficient atmospheres, as they do not provide a
separate air supply to the user.
Breathing Apparatus (BA)
Breathing apparatus (BA) delivers breathable air or oxygen to the wearer from an
uncontaminated, independent or separate source. BA may be suitable for immediately
dangerous to life environments, including oxygen-deficient atmospheres, as a result of this
independent air supply.
Within both these classes there are further important subdivisions and, as there are many
types of RPE, great care needs to be taken when choosing the right equipment for a particular
situation. Both the above classes of RPE (Filtering Devices and BA) are available with a range

of different face pieces. There are, however, some important limitations. The different types
of face pieces include:
Tight-Fitting Face Pieces
These include: filtering face pieces, half and full-face masks. This type of face piece
relies heavily on a good seal between the mask and the wearers face. Full-face masks
and half masks can be used for both classes of RPE.
Loose-Fitting Face Pieces
These include: hoods, helmets, visors, suits, etc. This type of face piece relies on enough
air being provided to prevent the contaminant leaking into the face piece as the wearer
breathes and moves around. They are only used on powered respirators or with suitable
BA. Loose-fitting devices that rely on the breathing action of the wearer to draw air are
not suitable as RPE.
Mouth Pieces
These are used with some equipment but there are few, if any, working situations where
the HSE would consider a mouthpiece to be suitable. There are limitations to
mouthpieces, as they can create issues such as:
Making any form of verbal communication impossible.
Leaking whilst in operation.
Needing to be used in conjunction with a nose clip, which is uncomfortable to wear.
In addition, should the nose clip be dislodged during use, the wearer may inhale the
contaminated atmosphere.
Lower Limbs and Foot Protection

Lower limb protection incorporates layers of loosely woven, long, synthetic fibres which, for
instance, would provide protection in the case of knives, or in the event of contact from a
chain saw, where the fibres are drawn out and clog the saw sprockets, causing the chain saw
to stop. Leg wear is usually available with all-round protection or with protection only for the
front of the legs. The leg wear with all-round protection obviously provides the greatest
protection for users.
Types of footwear usually include: safety shoes, safety boots, clogs, foundry boots and
Wellington boots. These may additionally have:
Protective metal toecaps. A metal insert in the front of the shoe to protect against
damage to the toes from objects falling onto the foot.
Chemically resistant properties.
Waterproof properties.
Over shoes or covers for outside shoes, for example, worn over outside shoes in food
preparation and pharmaceutical areas.
Heat resistant and shock absorption (clogs are traditionally made from beech wood which
provides this type of protection).
Anti-static properties if there is a risk of static electrical discharge in a flammable
atmosphere.
Protective footwear would normally be required in the following activities:

Construction work and demolition activities, where there is a foreseeable risk of objects
being dropped on the feet, or of standing on items that would pierce normal shoes or
boots.
Manual handling and handling tasks (which may additionally involve the use of forklift
trucks) where there is a risk of dropping items or of having the feet run over.
In flammable atmospheres, where anti-static footwear will provide protection.
Where corrosive chemicals are used for cleaning, the footwear must be resistant and
impermeable to chemical attack.
Working with chain saws.
The selection of foot protection will depend on the hazard. Comfort, style, correct fit and
durability will also be factors that should be taken into account. The main factors to take into
consideration when making the selection are:
Soles should be slip resistant, heat and oil resistant, and cold resistant, for example, in
cold environments like refrigeration work. In addition, they should be moulded or bonded
to the upper of the shoe, and fitted with steel mid-soles where there is a risk of the foot
being pierced by treading on or coming into contact with nails or other sharp objects.
Steel toecaps should be capable of resisting a heavy sharp object falling from a height.
Boots and shoes must comply with any relevant recognised standards.
If work is undertaken in wet places, then waterproof safety footwear is imperative. Whilst
rubber and PVC are suitable waterproof materials, the feet are not allowed to breathe.
Breathable materials are more expensive but may be worth considering.
Hand and Arm Protection

Gloves are available to protect against:
Cuts and abrasions.
Extremes of temperature, hot and cold.
Skin irritation and dermatitis.
Contact with corrosive or toxic liquids.
Infection from bodily fluids and infected material (e.g. Weils Disease, which can be
contracted by touching objects covered by infected rats urine).
The effects of vibration (e.g. when using power tools, diggers, etc.).
Barrier creams are not a suitable alternative to gloves, but may be used as an extra protection.
The type and degree of protection afforded by the gloves will depend on the material and the
method of construction.
Gloves may be required in the following activities, for the reasons suggested:
During manual handling operations, gloves will give protection against sharp, abrasive or
pointed objects. Caution should be exercised when wearing gloves near moving
equipment since the gloves could be caught in the equipment and entrap the hand.
Using special gloves can lessen vibration white finger and other hand damage caused by
the use of vibrating equipment.

Outdoor and construction work, particularly in inclement weather, will affect the hands,
and may increase the likelihood of objects being mishandled and dropped. Gloves worn
for outdoor activities must be non-absorbing, remain supple in a range of temperatures,
and provide protection against the objects being handled.
When working with chemicals, specialist gloves will help to prevent burns, dermatitis and
irritation resulting from the chemical properties that, if in direct contact, may cause a
reaction in the individual exposed.
Suitable gloves will afford protection against hot or cold materials and work involving open
flames or welding.
Gloves should be worn when toxic or corrosive materials are handled, for cleaning up spillages,
or mixing and handling pesticides. Gloves must be used in dealing with body fluid spillages.
In selecting gloves and other hand protection, the gloves must be capable of giving protection
against the hazards, be comfortable and fit the wearer. Selection should be made on the basis
of ensuring the correct level of protection, compatibility with other personal protective
equipment, and compatibility with the type and nature of work and the requirements of the
user. Manufacturers instructions should always be followed in respect of the gloves used and
the level of protection required. A suitable risk assessment will identify the reason for the
protection and allow the appropriate glove to be selected.
Poor glove selection could lead to loss of dexterity and feeling; overheating of the hands and
the possibility of employees removing of the gloves whilst carrying out a hazardous operation.
Other parts of the body, equipment or furniture should not be touched when wearing
protective gloves, since contamination will be transferred.
Finally, as with all forms of PPE, it is essential that gloves should enable the wearer to conduct
their job more safely, and not create further hazards.
Protective Clothing for the Body

Protection for the body will be provided by a range of clothing dependent on the hazard that
may be a risk to health and safety. The types available are:
Coveralls, overalls and aprons for protection against hazardous substances.
Outfits for protection against extremes of temperature.
Full body suits to protect against chemicals, radiation, etc.
Specialised clothing for protection against machinery such as chainsaws.
The selection of protective clothing is dependent on the hazard from which the operative
requires protection.
Chemicals
Protection against low-risk chemicals will be given by wearing coveralls or laboratory coats
made from cotton or synthetic materials that have been treated with a water repellent finish.
Strong solvents, greases and oils will require the donning of a heavier level of protection, such
as rubber aprons. High-risk chemical usage may require the provision of chemical suits which
are vapour proof or liquid and splash proof. Specialised training in the use of these suits will
be required. Vapour suits may be needed for protection against hazardous vapours.

Weather and Temperature Extremes

PVC coated jackets, trousers and leggings will offer protection against rain. Breathable
waterproof fabrics will keep out water and allow body perspiration to evaporate. Specialised
suits are available for extremes of temperature in the order of -25 C to - 50 C. Limited
protection will be provided by quilted and insulated coats and body warmers, which should
cope with normal extremes in the climate. Specialised suits are available for protection against
extreme heat arising in working conditions.

Assessing the Suitability of Personal Protective

Equipment
PPE as part of the Control Strategy
Personal protection involves the use of systems designed to be used by personnel to help
reduce the possibility of harm that may occur from the hostile environment in which they are
working. This is called a safe person strategy.
Ideally, the safe person strategy is a second line of defence against a potential hazard. Control
at source or the safe place strategy should be the safety professional's first aim.
However, there are situations where personal protection is the only valid method to deal with a
particular hazard, e.g. when the cost of controlling the hazard at source is high and the time
required for protection is short. Classic situations that typify these conditions are:
Work involving planned maintenance, e.g. during plant shutdowns or delagging asbestos-
covered boilers.
Failure of primary safety systems or emergency situations, e.g. a chemical leak from a
totally enclosed plant, or exposure to a smoke-filled building during a fire.
As a generalisation, personal protection should not be required during normal working.
There will be some exceptions to the rule, however; protective footwear, headgear, hand
protection and special clothing are worn during most, if not all, of the working time in some
cases. The use of such equipment often continues when the protection is not required, e.g.
protective footwear.
Selection and Choice

The two main considerations to be taken into account when choosing personal protection are
the type of protection required and the level of protection. A number of factors will be taken
into consideration when selecting suitable PPE, including:
Risk Being Controlled
The type of protection selected must obviously reduce the risk from a particular hazard. To
assess the effectiveness of the equipment, it is important to have a full understanding of the
hazard under consideration. For example, before protective footwear is selected for use in a
chemical environment, the corrosive or solvent nature of the substances encountered must be
known, in order that the materials used will not be adversely affected. Another example is
where respiratory equipment is to be chosen. In this case, airborne concentration must be
known.
This point is also closely linked to the performance level of the protection. Personal protection
must be able to reduce the hazard to an acceptable level. For example, respiratory equipment
must become progressively more efficient as you move from nuisance dusts to asbestos fibre.
This again leads to the level of exposure to the hazard that can be tolerated. For instance, the
eyes must be protected fully from projectiles and the outer skin from contact with phenol or
hydrofluoric acid.
Level of Protection and the Individual
The level of protection given by personal protection is not simply a function of the efficient
performance of the equipment, although that does constitute a major part of its effectiveness.

To achieve the necessary level of protection for any PPE, it is important that it fits the user
correctly. The word personal in personal protective equipment becomes relevant here. As we
all know, not everybody is built the same, so it follows that when buying PPE it must be with
each individual in mind. The material that the PPE is made from must also be considered, not
just from a comfort point of view but also from a health perspective. An allergy to latex is very
common these days, and exposing susceptible employees to it can cause severe allergic
reactions.
Compatibility
Another consideration when selecting PPE is whether the wearing of the PPE will interfere with
or impede the use of other equipment. Consequently, it is necessary to assess the situations
under which the PPE will be used, and to determine the effectiveness of it when used with
other equipment. Typical examples of where problems may arise are: the wearing of ear
defenders and hardhats together, or the use of lifejackets with harnesses. The danger is that
wearing two pieces of PPE on the same part of the body will render one (or both) ineffective.
It is also important that PPE should be compatible with the work to be done, and should not
hinder the work being done. For instance, head protection worn in the food industry will need
to be compatible with hygiene requirements.
Durability
Durability carries the implication that the PPE must endure for the period for which protection
is required, or for which it will be worn. The selection of PPE depends primarily on the hazard
against which it is designed to protect, but matters such as durability should be taken into
account. The material of construction of the PPE will obviously affect its durability. For
instance, gloves that might be suitable to protect the skin from detergent will not be durable
enough for working with certain chemicals or chlorine.
Consultation
In line with the general requirement to consult the workforce on matters regarding health and
safety, there should be a process whereby the selection of PPE can be discussed. This will
enable the workforce, or their representatives, to have the opportunity to give their opinion
and assist in the selection procedure. The main benefit of this is that employees are more
likely to use PPE, and use it correctly, if they have been involved in the selection process. It
will also make it easier for the responsible person to choose the most suitable PPE if they make
use of feedback from staff, in other words, from the people who will actually use and wear the
PPE.
Personal and Workplace Factors
The selection of PPE must be made with the individual in mind. There may be many
physiological reasons why certain PPE is not suitable for a particular individual. These may
include factors such as: wearing spectacles, having a beard, physical deformities and ailments
and illness. For example, a person who suffers from a respiratory illness should not be made
to wear breathing apparatus.
There may be instances where the requirements of the workplace run contrary to the ability of
individuals to wear certain PPE. In these circumstances, the individual may be excluded from
certain areas and processes or prohibited from entering the workplace. An example of this
prohibition would be at a refinery where the growing and wearing of beards is forbidden due
to the need, in case of emergency, to wear an escape set.

Management commitment must be seen to be positive by means of obvious involvement in any

protection schemes and support for re-training schemes; awareness of updating of equipment
and its introduction when the upgrading has been verified; backing of disciplined supervision;
and a demonstration of sufficient concern about the use of personal protection by looking for
possible ways which would allow safe place strategies to be developed.
Supervision of Use
The supervision of use of PPE is an important management function, as it is the prime duty of
managers to see that persons are adequately protected by the equipment supplied to them.
The users must be adequately supervised to see that they are not losing the protection that
the equipment affords. Removal of respirators or ear protection now and again for a quick
breather can soon reduce the effective protection of the equipment to such a low level that
irreversible damage is produced.
Wearer Acceptability
In the final analysis, it is whether or not users can wear personal protection without an
unacceptable level of discomfort that will decide the level of protection given by the system. If
the equipment causes problems then irrespective of its efficiency, level of maintenance,
training or supervision, some way will be found by the user to relieve the discomfort. Where
there is an awareness of a degree of risk, then fear of harm will override discomfort. This will
apply only to situations where an acute response is known to result from exposure. When
long-term effects are involved, then the fear of exposure is often reduced and people will be
prepared to take risks.
Cost
There are number of issues related to cost. The first is to do with reasonable practicability.
The higher the risk posed by a hazard, the less that cost can be considered when deciding
upon suitable control measures. To provide PPE instead of more suitable control measures on
cost grounds would be unacceptable, and would probably not meet the duty of reasonably
practicable. On the same issue, there are many standards of PPE available in the market
place, and this is reflected in the price. Whilst some PPE can be obtained very cheaply, it may
not offer the protection needed.
PPE should only be provided as a last resort where better alternative measures cannot be
implemented. Where PPE is required, the financial responsibility should be held with the
employer.
Disadvantages of PPE
As well as the previously discussed drawbacks of using PPE as a primary control measure
rather than controlling residual risks following the introduction of other controls, there is often
also reluctance on the part of the employee to wear it. This could be due to a number of
factors, including:
It can be cumbersome.
It can be uncomfortable and hot.
It can impair movement.
It can impair tactility.
It can impair vision and hearing.

These issues are commonly raised by users when asked about the problems with wearing PPE.
If they prevent people from wearing PPE or removing it, then any protection offered by the
PPE is lost. This is perhaps as good a reason as any to try and reduce risks in the workplace
as far as possible with control measures other than PPE.
PPE Assessment
The purpose of an assessment is to ensure that the employer chooses PPE which is correct
both for the risks involved and the circumstances under which it is to be used. Steps should
be taken by employers to enable them to identify suitable PPE.
When choosing PPE, it is important to have an idea of the level of risk against which people
are being protected. This will help in choosing suitable PPE since the performance required by
the PPE can be estimated. When choosing PPE, the two key elements to consider are:
What risks need to be protected against?
Which parts of the body need to be protected?
For example, consider the issue of assessing eye protection needs. Firstly, it is necessary to
identify the hazard(s) present these may be dust, liquids or projectiles. Secondly, the degree
of risk should be determined how much dust is airborne, how much liquid is being splashed,
what is the size and velocity of potential projectiles. This will allow the employer to choose
eye protection that is suitable for the hazard and risk. For example, eye protection that is
suitable against chemicals may not offer protection against impact.
The type of PPE chosen should conform to a recognised standard. In Europe, this would be
equipment marked with the CE mark. This should ensure that the chosen equipment will
offer the level of protection required provided that the nature and demands of the job have
been taken into consideration. This will involve:
The physical effort associated with the job.
How the work is to be carried out and what it involves.
The length of time the PPE needs to be worn.
The requirements for, and restrictions on, communication.
In summary, a suitable assessment should consider:
Area of body to be protected.
Risk being controlled.
Level of protection needed .
Durability.
Conformity with relevant standards.
Fit.
Comfort.
Compatibility with other equipment.

Inspection, Testing and Maintenance of Personal

Protective Equipment
Inspection Before Issue and At Regular Intervals
In general, PPE should be examined to ensure that it is in good working order before being
issued to the wearer or, if appropriate and competent to do so, the wearers themselves can
examine the PPE (gloves, goggles, etc). PPE should also be examined before it is actually put
on each time, and should not be worn if found to be defective or if it has not been cleaned.
Examinations should be performed by competent persons in accordance with the
manufacturers instructions.
Some PPE will be provided on a personal basis, and some may be used by a number of people,
and an appropriate inspection system will need to be devised for each individual situation, by a
competent person. Simple maintenance and inspections may be suitable for the wearer to
perform, but more intricate inspections should be performed by a relevant competent person.
Defective PPE should be reported immediately to the governing supervisor for replacement.
Relevant Specific Tests and Records
Manufacturers often specify maintenance schedules and instructions for their PPE. This
includes recommended replacement periods and the shelf life of the equipment, both of which
should be followed. Some pieces of PPE require formal and specific testing (e.g. respirators,
harnesses, life-jackets), and these must be performed at the required times, and by a trained
and competent person. Records must be retained for all formal inspections on such types of
PPE.
Cleaning and Maintenance

Cleaning and maintenance of personal protective equipment is paramount to ensuring it lasts
its lifetime and provides the protection that it is designed to give. This can be aided by the
following:
Good storage facilities out of direct heat and sunlight.
Having a regular visual inspection for signs of damage.
Having defective harness components replaced when necessary.
Regularly cleaning areas that are prone to sweat and grime.
With respect to head protection, it is important that the sweatband is cleaned and replaced as
required. Replacement of the whole head protection unit will be needed when: the shell has
received a severe impact, deep scratches occur, the shell has cracks visible to the naked eye,
or it has reached its obsolescence deadline.
Maintenance of eye protection will involve regular cleaning of the lenses since dirty lenses will
restrict vision and could lead to accidents. Regular wet cleaning should be undertaken,
followed by thorough drying with a soft cloth. Some materials used for lenses may need extra
care to avoid scratching.
Eye protectors should be issued on a personal basis. They should be protected by being
placed in suitable cases when not in use. Scratched or pitted lenses must be replaced to
prevent vision impairment and to ensure that their resistance to impact is not reduced. Face
shields must be replaced if they become warped, scratched or brittle with age.

Safety footwear should be checked regularly and maintained in good condition. It may be
sufficient to use a good quality waterproofing material when the footwear is first used, with
subsequent applications of polish suitable for the material from which the protective footwear
is made, and that does not affect or diminish the protective properties it provides. Any
material that adheres to the footwear and any items embedded in the ridged soles should be
removed. Laces should be checked and replaced as necessary, and footwear should be
discarded if worn or deteriorated to any extent.
Glove maintenance will involve correct application, removal and storage. Regular checking will
identify when the gloves should be replaced due to deterioration. Gloves should be cleaned
after use according to the manufacturers instructions. Steps should be taken to minimise
contact between the gloves and any chemicals used, even if the material from which the
gloves are made provides the level of protection required. Prolonged chemical contact may
lead to deterioration in the protective capabilities of the material.
Protective clothing should be maintained in good condition and checked regularly. Cleaning
and repair may be required from time to time, but care must be taken so as not to ruin the
protective properties of the clothing. If clothing becomes damaged, it should be discarded.
Proper Place For, and Means of, Storage

Proper accommodation is required to ensure that PPE is safely stored when not in use.
Accommodation may simply be pegs on the wall for weatherproof clothing or safety helmets,
or boxes in which to place gloves, hairnets, etc.
The place and means of storage does not need to be fixed to one place, as safety spectacles
may stay with the user in a suitable protective casing. However the PPE is stored, it must be
adequate to protect the PPE from: contamination, loss or damage, harmful substances, damp,
sunlight and harmful light.
PPE may be contaminated as a result of the activities it is required for and, if so, the
accommodation must be separately provided from ordinary clothing or other non-contaminated
PPE and, where necessary, be labelled as such.
If the PPE contains hazardous materials (radiation, asbestos, etc.), it may require specialist
arrangements.
Replacement of Consumable Parts such as Filters and Batteries

Employers should replace parts such as batteries and filters (e.g. on respirator equipment) as
required for their safe and efficient use due to the parts very nature. The importance of each
parts role in the functioning of PPE, and its ability to perform protective functions effectively
must be taken into account. For instance, filters will need to be in good condition to perform
effectively; batteries must be in good working order to be able to supply sufficient means to
start and maintain the equipment. It is essential that the manufacturers guidelines on
replacing batteries and filters are consulted.
Replacement of Damaged, Life Expired or Worn Out Equipment

All equipment has a life expectancy, and this should be adhered to. Used equipment that has
passed its use by date for example, filters, batteries, some protective gloves should not be
provided. If it is in use when it reaches its expiry date, then it should be removed from use or
service, and must be disposed of to prevent the likelihood of its continued used, inadvertently
or otherwise.

Damaged equipment, once reported or identified, should be removed from service immediately
and disposed of, with replacement equipment that provides the same level of protection,
compatibility, etc. as the PPE provided before work commenced initially.
System for Reporting Faults and Obtaining Replacements At All

Times
Arrangements should be made for employees to be able to report to their employer lost or
defective equipment, or parts of equipment. The systems should also incorporate
arrangements to ensure that defective PPE is repaired or replaced before the employee
concerned re-commences work. Such systems would include ensuring that a good level of
relevant stock is kept at all times, so that:
Defective stock is not re-used.
Safety is not compromised.
Production or operation does not come to a halt.

The Provision of Information and Instruction on the Use

of PPE
Employers, PPE Users, and Managers and Supervisors
Where an employer is required to provide personal protective equipment to an employee, the
employer must ensure that the employees are provided with such information, training and
instruction as is adequate and appropriate to enable them to know:
The risks that the PPE will avoid or limit.
Any action to be taken to ensure that the PPE remains in an efficient state, in working
order and in good repair.
The purpose for which, and the manner in which, the PPE is to be used.
The employer must also provide suitable information, instruction and training for their
employees to enable them to make effective use of the PPE provided to protect them against
workplace hazards to their health and safety. Individuals involved in the use or maintenance
of PPE should be trained appropriately.
Users of PPE must be trained in: its proper use, how to wear it correctly, and its proper fit, in
addition to the limitations of the PPE itself.
Managers and supervisors should be aware of why the PPE is required, and how it is to be
used correctly.
Any training should involve elements of theory as well as practice in using the equipment, and
should be carried out in accordance with the recommendations and instructions supplied by
the PPE manufacturer.
The level and degree of instruction and training will vary, depending upon the complexity and
performance of the equipment. For instance, safety helmets, which are simple to use and
maintain, may have basic instructions to the user. Similarly, safe use of anti-static software or
laser eye protection would require more in-depth training and instruction appropriate to the
principles behind such PPE, and would need to cover maintenance and testing as required.
Duration and frequency of training will depend upon the type of equipment, how frequently it
is used, and the needs of the users. Initially, training is imperative, however, refresher training
is required at suitable intervals to ensure current and up-to-date practices are being employed.
Training individual employees is not sufficient; the employee must also understand what they
are being taught. Barriers to understanding can be numerous, for example: Information on
the hazards and risks not being provided in a language which is clearly understood by the user.

C O N T E N T S
1A9 Human Failure
TYPES OF HUMAN FAILURE ................................................................................................................................ 3

ERRORS .............................................................................................................................................................. 4
VIOLATIONS ......................................................................................................................................................... 4
CAUSES OF HUMAN FAILURE .............................................................................................................................. 6
THE INDIVIDUAL, THE JOB AND ORGANISATIONAL FACTORS ................................................................................................ 6
EXAMPLES OF WHY HUMANS FAIL ............................................................................................................................... 7
TECHNIQUES FOR THE ASSESSMENT OF RISKS FROM HUMAN FAILURE IN THE WORKPLACE ....................... 11
HUMAN RELIABILITY ANALYSIS: A BACKGROUND ........................................................................................................... 11
HUMAN RELIABILITY ANALYSIS................................................................................................................................. 11
HUMAN ERROR PROBABILITY ESTIMATION ................................................................................................................... 13
ACCIDENT TREND ANALYSIS .................................................................................................................................... 14
HOW THE LIKELIHOOD OF HUMAN FAILURE CAN BE REDUCED ...................................................................... 15
REDUCING HUMAN FAILURE .................................................................................................................................... 15
ENCOURAGING POSITIVE BEHAVIOUR AND MOTIVATING STAFF .......................................................................................... 17
DEVELOPING COMPETENCE THROUGH TRAINING ............................................................................................................ 18
10 - IDipOSH A10 v2 160514

Study Unit 1A9 | Human Failure
Learning Outcomes
1.A.9.1 Describe the main types of human failure
1.A.9.2 Explain why humans fail
1.A.9.3 Apply techniques for the assessment of risks from human failure in the workplace
1.A.9.4 Explain how the likelihood of human failure can be reduced
Unit 8:

Types of Human Failure

In the UK the HSE has published a Guidance Note HSG48 Reducing Error and Influencing
Behaviour which identifies two types of human failure: errors and violations. The following
human failure model, taken from HSG48, provides an outline of how the various categories of
failure fit into the 2 main types:
Slips of action
Skill-based errors
Lapses of
memory
Errors
Rule-based
mistakes
Mistakes
Knowledge-based
mistakes
Human Failure
Routine
Situational
Violations
Exceptional
HSG 48 Human Failure Model

:

Errors
Errors are actions or decisions which were not intended and which involve a deviation from an
accepted standard, and which led to an undesirable outcome.
Errors can be split into three types: slips, lapses and mistakes.
Slips these are failures in carrying out the actions of a task, for example:
Performing an action too soon or too late.
Omitting a step or series of steps from a task.
Carrying out an action with too little or too much strength.
Performing the action in the wrong direction.
Doing the right thing but with regard to the wrong object (or vice versa).
Examples would be: picking up the wrong component from a mixed box or operating the
wrong switch.
Lapses these involve forgetting to carry out an action, losing a place in a task or
forgetting what we had intended to do. These are often linked to interruptions or
distractions. A simple checklist to follow can help to reduce the likelihood of lapses
occurring. An example would be driving away from a bulk tanker, but forgetting to
disconnect the tanker hose.
Mistakes this is where we do the wrong thing believing it to be right. The failure
involves our mental processes, which control how we plan, assess information, make
intentions and judge consequences. There are two kinds of mistakes:
Rule-based mistakes occur when our behaviour is based upon remembered rules
or procedures.
Knowledge-based mistakes are often related to incomplete information being
available.
Violations
Violations, on the other hand, are a deliberate deviation from a rule or procedure, for example,
driving too fast or removing a guard from a dangerous piece of machinery. Both of these
violations increase the risk of an accident. Health risks are also increased by rule breaking, for
example, a worker who does not wear ear defenders in a noisy workplace increases their risk
of occupational deafness.
There are three types of violation: routine, situational and exceptional.
A routine violation is the normal way of working within the work group and can be due to:
Cutting corners to save time and/or energy.
Perception that rules are too restrictive.
Belief that rules no longer apply.
Lack of enforcement of the rule.
New workers not realising that this is not the correct way of working.
Situational violations are where the rules are broken due to pressures from the job such as:
Time pressure.

Insufficient staff for the workload.

The right equipment not being available.
Extreme weather conditions.
Risk assessments should help to identify the potential for such violations as will good two-way
communications.
Exceptional violations rarely happen and only occur when something has gone wrong. To solve
a problem employees believe that a rule has to be broken. It is falsely believed that the
benefits outweigh the risks. Means of reducing such violations could include:
Training for dealing with abnormal situations.
Risk assessments to take into account such violations.
Reduction of time pressures on staff to act quickly in novel situations.
A real life example was provided before the accident at the Chernobyl nuclear power plant in
1986 when a series of tests were being undertaken. When an operator failure led to
dangerously low power levels, the test should have been abandoned. However, operators and
engineers continued to improvise in an unfamiliar and increasingly unstable regime in order to
protect the test plan, with disastrous results.
HSG48 provides a powerful model showing the type of human errors and violations that can be
predicted from consideration of organisational, job and individual factors. Such a model can be
used both in risk assessments and accident investigations in order to suggest the control
measures required to prevent either an occurrence or a re-occurrence.
Students should be very familiar with this model and be able to discuss practical examples for
each of the human failure types outlined above.

Causes of Human Failure

The Individual, the Job and Organisational Factors
The HSEs definition of human factors refers to environmental, organisational and job factors,
and human and individual characteristics which influence behaviour at work in a way which can
affect health and safety. A simple way to view these is to think about three aspects the job,
the individual and the organisation, and how they impact on peoples health and safety-related
behaviour.
The Job
Jobs and roles comprise a series of tasks both physical and mental. These tasks should be
designed to take account of the limitations and strengths in human performance. This applies
in general, such as combining a series of tasks, which are capable of being performed by any
individual with the right general characteristics, into a job in a coherent way. It also applies in
particular, by adapting jobs where possible to meet the capabilities of the job holder. Matching
the job to the person in this way allows for the most effective contribution to the business
results.
The concept of matching jobs to the person involves two aspects:
Physical match this covers the design of the general and immediate workplace and
working environment to facilitate both performance of the manual tasks involved and also
to ensure safety during such operations.
Mental match which covers the design of the brainpower parts of the job, or those
involving information processing and decision-making on the part of the jobholder.
Mismatches between job requirements and peoples capabilities provide the potential for
human error.
The Individual
People bring to their job their own personal mix of physical characteristics, knowledge and
skills, attitudes, habits and personality, any or all of which may be strengths or weaknesses
depending on the task demands. These individual characteristics influence behaviour in
complex and significant ways, and it is important, therefore, that individuals are appointed to
jobs and roles to which they are individually suited.
Some of these characteristics are fixed and cannot be changed, or at least not easily or in the
short term for example, physical characteristics and personality. Others, though, may be
altered, adapted and enhanced through learning. This applies to an individuals knowledge
and skills, attitudes and habits all attributes which contribute significantly to competence in
the job or role. People can, therefore, be developed in their jobs to become more effective.
Organisational Factors
Jobs are allocated, and individuals perform their tasks, within the context of the organisation.
The organisation itself is, therefore, an important factor in conditioning the behaviour of
individuals and groups at the workplace. The two key elements in this are the management of
the organisation and its culture:
The style of management dictates the way in which people work:
The priorities that are seen as important, such as speed, quality, working safely, etc.
The type of controls operated.

The degree of individual responsibility allowed.

The way in which people are motivated.
The support offered to individuals through instruction and training, etc.
The organisations culture sets the tone for the individual and group behaviour:
The priorities that they see as important.
The involvement and attachment people have to the organisation.
Their ability to influence its operations, etc.
Both management and the culture should promote employee involvement and commitment at
all levels, emphasising that deviation from established health and safety standards is not
acceptable.
Examples of Why Humans Fail
Inadequate Training
Humans will fail if they are not properly skilled to perform a task. Training is the process of
equipping people with the right skills at the right level to perform a task correctly (and safely).
Poor training will lead to workers having to find out for themselves how a task is performed
and this invariably will lead to the old Trial and Error method of learning which is not
appropriate in workplace situations where the health and safety of workers is at stake.
Limits of Capabilities
Even a person of limited capabilities may find a routine, production-line type of employment
very taxing, while a person of higher capabilities could find this boring in the extreme. If the
workload requires an attention level that is beyond the mental capabilities of the employee,
then a state of stress will occur. There needs to be enough mental stimulation but, equally,
not too much.
This can be applied to physical capabilities, as well as mental. If work is beyond the physical
capabilities of an individual worker, then their health and safety, and perhaps the health and
safety of others, will be jeopardised.
Tiredness and Fatigue
Fatigue can be defined as 'weariness after exertion' or can occur after repeated variations of
stress. Severe fatigue can lead to poorer performance on tasks requiring attention, decision-
making or high levels of skill. Shift work, working at night or extended hours can all result in
fatigue and have an adverse effect upon health. For safety-critical work, such as train driving,
for example, the effects of fatigue can give rise to increased risks.
Shift work, especially night working, can impact on safety. During the night, job performance
may be poor and tasks completed more slowly. The hours between 02.00 and 05.00 are the
highest risk for fatigue-related conditions. Sleep loss can lead to lowered levels of alertness.
Sleep debt, which is a build-up of sleep loss, leads to reduced levels of productivity and
attention. These effects can also affect early morning shift workers and people that are on
call.

Boredom
If a person of high intelligence is set a mundane task, he will probably employ himself in
finding new and less arduous, but not necessarily safer, ways of completing a task.
Intelligence is required to defeat interlocking safety devices. Correctly employed, such a
person could be using his intelligence and ability to devise safer work methods.
Boredom can be a significant contributing factor in many workplace accidents. It can cause
both lack and loss of attention, and can lead to habituation where individuals will disengage
from their surroundings and perform in a pre-programmed way, simply following a routine
without conscious thought. When this happens, the individual may not respond in the correct
way to situations outside the norm.
Degradation of Human Performance Resulting from Poor Ergonomic Design
Ergonomics will be considered in detail in Unit B. At this stage, it is important to note that the
ergonomist can make a contribution at the design stage of equipment and workplaces in order
to try to prevent problems occurring later.
Poorly Designed Workstations
The HSE leaflet, INDG 90, Understanding Ergonomics at work, (available at www.hse.gov.uk)
suggests a number of questions that should be asked when considering whether a workstation
and process are ergonomically suitable:
Does it suit your body size?
Does it suit all other users?
Can you readily see and hear all you need to?
Do you understand all the information that is presented?
Do errors occur frequently, and is it easy to recover from them?
Does the equipment or system cause discomfort if you use it for any length of time?
Is it convenient to use?
Is it easy to learn to use?
Is it compatible with other systems in use?
Could any of these aspects be improved?
Do other users have similar reactions?
Workstations are usually designed for the 'average' person. If a doorway was designed just to
pass the average person, then some of the population would have problems getting through.
Workstations need to be capable of adjustment. Unsuitable workbench height causes the
operator to develop musculoskeletal problems:
If the workbench is too high, then the operator has to adopt an unnatural posture, with
the elbows away from the body and the shoulders raised. This causes discomfort in the
shoulders and neck.
If the work surface is too low then the operator will have to lean forwards. This causes
neck and lower back problems.
Repetitive motions, particularly those requiring the operator to exert force or use some
unnatural motion, can lead to repetitive strain injury.

Inappropriate Equipment: Examples

Production Process Control Panels
The operator of a production process control panel must be able to operate the panel from a
safe place. For some production processes, this may be from an adjacent area or for more
dangerous operations the panel will be located at a safe distance or even within an enclosed
area away from the production area. Noise, dust and fumes must all be considered.
The operator must be able to reach all the dials, switches, etc. easily. Emergency controls
must be clearly identifiable and easy to operate. The operator must also be able to see the
production area so that they can see what is happening and react, as necessary.
Crane Cab Controls
A crane driver has to be in absolute control of the load that is being moved because the
slightest slip of the controls may result in damage to buildings, materials or people. For this
reason it is vital that the controls in the cab are within easy reach and move in straight lines to
permit ease and delicacy of control. In addition, the driver needs to have a satisfactory view
of operations below. This means that the seat provided must be adjustable (to fit accurately
90% of all possible sizes) so as to provide the driver with a full view of the working area.
The driver must also be protected from the ingress of dust, fumes and heat from the external
environment. The provision of filtered and refrigerated air, where necessary, ensures cool and
comfortable working conditions.
Aircraft Cockpit
Clearly it is vital that a pilot flying an aircraft can interface easily with all the controls in the
cockpit. It is important that the controls/displays are fitted around the cockpit in a logical way
so that the pilot can easily reach/see the more important controls/displays, e.g. speed and
altitude dials, whilst he/she may need to move to reach the less important ones. It is
important that safety critical switches cannot be inadvertently operated. These should be
designed so that there has to be a positive action by the operator in order to instigate them.
Emergency controls must be clearly identifiable, easy to use and situated in a suitable location.
The emergency controls must be accessed quickly to prevent unnecessary delay in stopping
the activity that they control.
It is also important that the pilot can adjust his/her position to obtain the best field of vision
and enable quick responses for movement of the various controls. For this reason, it is vital
that the pilot can alter the height and position of his/her chair in order to ensure that the
controls are in comfortable reach. It is also important that the temperature, ventilation and
lighting in the cockpit are adequate and that these can be adjusted to suit the individual.
Computer Numerical Controlled (CNC) Lathe
The CNC lathe is computer-operated using a keypad or keyboard. It is important, therefore, to
ensure that the operator can access the keypad or keyboard easily and that they can use the
keys comfortably. For this reason, it is important that the operator can adjust their operating
position, i.e. chair height and position, as well as the actual position of the keyboard.
Poor Health
You will be aware, on occasions, of not seeing or hearing something that was very plain to
someone else. Sensory defects increase with age and failing health. Some people need
spectacles and hearing aids, and you should have a general idea of why this could be so. The

safety practitioner probably needs to be more concerned about those who don't know that
they have sensory defects or those who try to forget about it.
An individuals general state of health will have obvious effects on both their physical and
mental capabilities. The unfit worker may struggle to maintain concentration over the full
length of the working day.
Similarly, an individuals specific state of health at a particular time will influence their physical
and mental capabilities. The worker suffering the effects of a cold or flu will not remain as
alert as they normally would when completely healthy. This may result in errors of judgment
that could be crucial, for instance, when handling dangerous equipment. For example, a
forklift truck driver suffering from flu, whose judgment has been impaired, is more likely to
cause an accident when driving around a warehouse than a driver who is completely healthy.

Techniques for the Assessment of Risks from Human

Failure in the Workplace
Human Reliability Analysis: A Background
Think about a person who is driving an unfamiliar car. The driver knows how to drive, as a
licence will confirm, that is, he or she has training and certification. The driver will identify
where all the controls are and what they do, through a process of familiarisation, and then will
set off. A problem may occur if the controls for the windscreen wipers and the indicators are
reversed as compared to the normal. Initially, indicating during driving will be correct, but at
some point the windscreen wipers will operate instead of the indicators. A human error will
have occurred in a situation where the driver has already demonstrated an understanding of
the working of the indicator controls.
Hardware design can only go so far for improved reliability; there still exists the human input
into the operation. We have already mentioned that humans are basically 'unreliable'. The
question we have to ask of this human input is: "How unreliable is it?" We then have to
establish the answer to this question.
Humans do not work in the same way as machines. They are not good at carrying out
repetitive tasks to a consistent standard, nor do two humans perform in the same way. The
reliability of a human being cannot, therefore, be determined to the same accuracy as a
machine, but action can be taken to make reasonable assessments of the type and frequency
of error so that positive action can be taken to minimise the effects.
Human Reliability Analysis

Earlier in this study unit we looked at the main types and causes of human failure. Human
reliability is the concept of looking at the capacity for humans to successfully perform the task
in accordance with design - the opposite of human failure. One technique for doing this is
called Human Reliability Assessment or Human Reliability Analysis (HRA).
HRA has tended to be used in the perceived higher risk industries, such as nuclear, offshore
and chemical processing. To a large extent, it incorporates the view of the organisation as a
system, with HRA being composed of a series of interacting processes that together form a
complex system. HRA is a systematic approach that involves the following steps:
Scoping.
Information gathering.
Task description.
Human error identification.
Human error probability estimation.
Liaison with system analysts.
Development of control measures.
Scoping
In determining the scope of the HRA, you need to consider issues such as what you want to
achieve with the results, the resources and expertise you will need and what criteria to apply,
for example, the types of injuries to consider, etc.

Information Gathering
The information gathering step will involve collecting the raw data together. This will
include such basic things as deciding which tasks actually need to be assessed. Usually it will
involve visiting the workplace, observing tasks and talking to workers.
Task Description
Next you need to describe the selected tasks. Essentially, you need to be able to describe
what it is that the person needs to do to carry out the task. Methodologies such as
Hierarchical Task Analysis and Job Safety Analysis are applicable here. They typically involve
breaking the task down into manageable steps so that hazards can more easily be identified.
As well as the task steps, you will also need to describe the goals and, importantly, any
interactions between the person and the system.
Human Error Identification
You then need to identify likely human errors. Like any hazard spotting exercise, this
relies a good deal on the analyst being trained and experienced in what to look for. You need
to look for significant sources of human error. Ask How could people fail doing this task?
We have already looked at the main types and sources of human error earlier in this study
unit. Additionally, various formal methodologies and checklists do exist which can greatly help
this determination. It would be useful to look at influences such as time pressure, control and
display design, any written procedures, any training received, supervision levels, etc. in
considering the potential for human error. In deciding on their significance, it would also be
useful to look at the consequences on the system of those errors and also at any measures
already in place that would detect them before they got out of hand. Also, consider the
potential for common mode errors the same mistake being made by the same person applied
to many things, for example, a worker may make the same calculation error in calibrating
many instruments, which might then be used to take measurements on other processes
elsewhere.
Categorising Human Failure: Active or Latent
In identifying human failures, it is often useful to look at the various ways of categorising
them.
Human failures can be classified in relation to the timescale over which the consequences are
observed: active or latent. They can also be classified according to the basic causal factors.
These overlap to a certain degree, but are generally described as job, individual and
organisation or management.
Active failures are those for which the consequences are pretty much immediate. These are
typical of people on the front line, such as process operators, drivers, etc. For example, if the
driver of a petrol tanker fails to disconnect hoses after delivering petrol to a petrol station,
there will be immediate consequences when he tries to drive off. Also, if a lathe operator
leaves the chuck key in place on the chuck jaws, there will be immediate consequences if the
lathe is started up.
Latent failures are those where operational consequences are quite a bit removed from the
task. These failures are made by designers, managers, etc. For example, a poor design of
control layout made at the concept stage may greatly increase likelihood of operator error.
Decisions taken by managers that affect the adequacy of supervision and training can have
consequences for others later on.
Job factors that contribute to human failure are things such as:

Equipment design.
Interruptions.
Poor instructions, such as those that are unclear or have information missing.
Uncomfortable working environment, such as one that is noisy, hot, humid, etc.
Individual factors are things that people bring to the job. These include such things as:
Lack of competence.
Fatigue.
Physical disabilities.
Poor attitude.
Perception of risk.
Personality.
Low morale.
Boredom.
Organisation and management factors are things such as:
The way the work is organised and planned, including allocated resources.
Lack of safety controls, including systems and barriers.
Poor communications.
Poor health and safety culture.
Unclear responsibilities.
Poor leadership.
The factors mentioned above are examples only, and you can see how lots of them may
interact an unpleasant working environment may lead to an unco-operative attitude by an
individual, for example.
Human Error Probability Estimation

If required, you can then estimate human error probabilities. You may not need, or may
not have sufficient data, to do this. You may be able to calculate it from available historical
data or you may need to consult experts. Some methods do exist which can be used to
provide estimates; the methods come with some interesting acronyms too (THERP, HEART,
SLIM, etc)! An example is HEART, or Human Error Assessment and Reduction Technique.
HEART is a tool for predicting human reliability and identifying ways of reducing human error.
It can be applied to any industrial operation. HEART computes the probability of a human
operator error on a combination of numerical factors provided by expert opinion. It allows
consideration of HEART Generic Tasks, and Tasks developed to be specific to the industry or
situation under consideration. Further information on the techniques mentioned and other
similar techniques is available through web search engines. Such techniques, however, are
mostly used in high-risk environments, such as the Aviation or Nuclear industries.
Techniques for estimating human error probability generally involve matching the task being
analysed to one of a number of model tasks for which the probability has already being
calculated. The final result is then modified by adjusting several variables that depend on your
specific task and workplace, for example, level of supervision, design of controls, etc. The

error probabilities for each human error are then combined to give a Human Error Probability
(HEP) for the overall task. HEP estimates are not exact by any means; there is a good deal of
controversy over the various techniques and their applicability to the different types of human
error.
Liaison with System Analysts
This information that has been gathered and calculated can then be shared with system
analysts. The HEP estimate can be incorporated into tools such as event tree analysis and
fault tree analysis as the human contribution to the overall system reliability. Human error is
generally far too complex and variable to apply these kinds of tools directly; just try and draw
a fault tree for all the possible human error elements at each stage of a task and see how far
you get!
Development of Control Measures
Finally, there is a need to develop control measures where the contribution of human error
is significant. We discuss some of the ways human error can be reduced in later in this study
unit.
Accident Trend Analysis

As we have seen earlier in this section and also in Study Unit 1A1, accidents often involve
human failure to some extent. Accidents need to be analysed from a human error perspective
too. There may be many causes of human failure in an accident. As well as the obvious
immediate causes, such as an operator missing out a critical step, there are also
underlying, or root, causes. Many of these involve decisions taken by designers and
managers who are remote from the event. Such decisions would include many of the
organisational and job factors discussed earlier, such as training, equipment design and work
organisation.
In order to analyse accidents in this way, accident investigators need to be trained in what to
look for so that they are capable of properly identifying human factor causes as an issue.

How the Likelihood of Human Failure Can Be Reduced

Reducing Human Failure
So far in this study unit, we have looked at the types of human failure (errors and violations),
the causes (for example, poor equipment design, poor training) and how human reliability may
be assessed. Part of the assessment of human reliability is to develop control measures to
eliminate or reduce the potential for human failure. Various useful control measures are
discussed in the HSEs publication HSG48, Reducing Error and Influencing Behaviour.
The potential for human errors and violations may be reduced by considering the issues
discussed below.
Workplace Environmental Stressors
Workplace environmental stress could be reduced by making sure of the following:
There should be sufficient working space
The workplace should not be unduly noisy it should be free from distractions, general
disturbance and interference with communications.
The temperature, humidity and ventilation should be comfortable as far as possible.
Uncomfortable working environments may make people feel unwell, alter their perception
of the risk or tempt them to remove essential Personal Protective Equipment (PPE), etc.
The lighting should be appropriate for the task. Some close, detailed work may need
special levels of task lighting in addition to the general lighting. Efforts should be made to
eliminate glare that may otherwise make it difficult to read an instrument panel or
correctly register the colour of a warning light, etc.
Equipment
Equipment should be designed to prevent slips and lapses, to improve the likelihood of
detection if they are made and to reduce likelihood of corner cutting. Examples that would aid
this include:
Designing the layout of controls logically so that they follow the process.
Making sure that switches and knobs work as expected, for example, same direction for
off, turn clockwise for increase, etc.
Ensuring that controls provide immediate feedback to the operator so that the operator
is clear as to what has just been done.
Making the user interface comfortable, with respect to seating, position of controls and
working space.
Choosing software that is easy to use, and is responsive and fast.
Choosing equipment that is not unduly noisy (communications).
Choosing equipment that is not prone to frequent false alarms which would otherwise
encourage routine violations.
Choosing equipment with reliable instrumentation.
Effective Training
Techniques to ensure that training is effective include:

Setting clear learning outcomes.

Making sure that the training is relevant to the work.
Assessing competence, by means of written and practical tests of learning.
Getting feedback for continued improvement of training delivery.
Making sure that training covers everything likely to be encountered, including emergency
or unusual situations.
Making use of refresher training, practices and re-evaluations as necessary.
Decisions
As far as possible the need for highly complex decisions in tasks should be removed. All such
decisions should be worked out off-line, and the decided options or actions should be
incorporated into a written procedure.
Supervision
An appropriate level of supervision should be provided. The presence of an experienced
supervisor may not only encourage adherence to the rules, but also guide inexperienced staff,
helping them to spot errors early by checking work.
Design
Procedures and instructions should be properly designed so that people do not feel under
pressure to break the rules. This includes:
Making sure that procedures are clear and to the point.
Making sure that they relate to the actual work being done. Otherwise they may be
perceived as being irrelevant, impractical or out of date, and so be routinely violated.
Involving operators in developing procedures so that they are acceptable and so that
operators feel involved. This lowers the potential for routine violations
Making sure that procedures cover unusual and emergency situations so that people do
not feel compelled to break the rules in order to solve a new problem that they have not
encountered before and for which procedures do not exist, and to which they feel that the
existing rules do not apply.
Making sure that the proper equipment is always available, for example, harnesses and
anchorage points for working at heights. People may otherwise be tempted to work
unsafely on this occasionjust to get the job done. Better planning would avoid this.
Health and Safety Culture
The establishment of a positive health and safety culture will help to reduce human failure.
This topic is considered in more detail in other parts of this course. Factors that may improve
health and safety culture include:
Communication at all levels and two-way.
Control supervision, allocating clear responsibilities, leading by example.
Co-operation between people throughout the organisation, involving people in
committees, work groups and developing procedures.
Competence proper training, selection and specialist support.

Encouraging Positive Behaviour and Motivating Staff

Workplace Incentive Schemes
Workplace incentive schemes can be a very good way of motivating employees to focus on the
job and conform to the organisational goals. The incentive provokes employees to work
harder in order to receive a payment or benefit. For example, achieving a set target or
exceeding that target may mean that individuals receive a financial bonus or a prize. The
scheme may operate on an individual basis or may operate as a team effort in which case the
incentive would be for the team to achieve the target. The incentive scheme may be set up so
that a winning team or individual is identified every month, for example, and the winner is
given a prize. This type of incentive motivates individuals to work harder but also motivates
teamwork.
Incentive schemes aimed at improving safety are more difficult as they may need to monitor
the results over a fairly long period of time, e.g. one year. Incentive schemes can often lose
their momentum and hence their effectiveness over time. For this reason, it is important to
either keep the time periods short or continue to keep the momentum high.
Incentive schemes for safety may relate to obtaining improved 'scores' during routine audits or
inspections. This type of incentive would be aimed at ensuring all members of the workforce
made their work area as safe as possible and that work was carried out in a safe manner.
Incentives aimed at reducing accidents specifically, i.e. where measurement would be a
decrease in accident rates, should be avoided as this can often result in under-reporting of
accidents in order to obtain the incentive. Incentive schemes must be offered with care, as
they have also been known to actually reverse the desired safe and healthy workplace
requirement, as workers have been known to take short cuts in order to achieve their bonuses.
Short cutting can lead to accidents and care must be taken that this does not occur.
Reward Schemes
Reward schemes work in a very similar way to incentive schemes with a reward being given for
improvement or a target reached in a particular area. This type of scheme works well where
people are motivated by the reward offered, such as a financial bonus.
Some pay schemes work by paying a very low actual salary but having bonus payments that
are paid when targets are met, such as sales jobs. The motivation to sell more is clearly
through the financial gain.
Piecemeal work where workers are paid per work unit completed, for example, for each sheep
sheared, encourages individuals to work quickly so that they can earn more money. Clearly
this may have implications with respect to safety, as the workers are not encouraged to
necessarily consider safety as their first priority.
Job Satisfaction
For some people, job satisfaction is all that they require to be motivated. Job satisfaction is
also very individual to each person. Some people will be satisfied with a good working
environment and regular rest breaks while others require challenging, stimulating work where
they receive positive feedback.
Herzberg identifies particular motivating factors which, when present, increase satisfaction
from work and provide motivation towards superior effort and performance. These include:
recognition, responsibility, achievement, advancement and the work itself. They are distinct
from other factors that increase dissatisfaction when absent, but when present do not result in

positive satisfaction and motivation. Herzberg termed these hygiene factors. They include:
type of supervision, salary/wages, working conditions, company policies, rules, etc.
Developing Competence through Training
On the Job Training
On the job training provides trainees with experience, which is a combination of work-based
knowledge and the development of skills. As the trainee gains experience, the range and
complexity of tasks that he/she can undertake without detailed guidance increases. The
process of learning can be improved by:
Demonstration - an experienced instructor demonstrates how to carry out a particular
task.
Coaching - a trainee learns by carrying out tasks under guidance from an experienced
person.
Projects - assigning trainees to investigate a problem and analyse potential solutions to
that problem is a popular method of learning in the office environment.
On the job training is very effective providing the trainee is shown the correct way of carrying
out a task by an experienced person. It is very easy for a trainee, however, to pick up bad
habits from the start if they are placed with someone who does not adhere to the correct
procedures.
Off the Job Training
Off the job training is training that is carried out away from the work environment. It can be
carried out in a number of ways:
Lectures
This is a means of one-way communication in which all the talking is done by the lecturer.
It is a good way of teaching a large number of students simultaneously. However, there
are limitations:
There is a very low rate of retention. Adequate backup notes are essential.
Students may not understand the presentation and be unable to seek clarification.
Seminars
In this case, discussion is encouraged and students can learn from the instructor and from
each other. The number of students who can usefully take part at one seminar is a
limiting factor.
Programmed Instruction
This is where programmed instruction is provided through a combination of distance
learning or open learning packs, computer or audio-visual programmes. There is no direct
involvement of an instructor. Students can use these courses in their free time rather
than having to attend a course at set times. However, there is no feedback with the
flexibility of a human instructor unless the instruction is provided at an open learning
centre where a facilitator may be available to give some assistance and remedial
instruction. It should be noted, however, that many distance learning packages do have
access to tutors for advice or assistance through e-mail or telephone contact.

Appraisal Schemes
An appraisal scheme is a formal means of placing value on achievement or effort. It is
generally carried out on an annual basis and the results may be used to determine the level of
a pay rise or a promotion.
Appraisal schemes usually involve the employee filling in a self-appraisal form that is discussed
at an interview with their manager. A report is produced at the end of the interview with a
copy being provided to the employee and to a senior manager with a copy also placed on the
employee's personal file.
The self-appraisal form may request information about what the employee feels they have
accomplished in the past year and what their high and low points have been. It may also ask
what areas the employee is dissatisfied with and what improvements they would like to see.
The form may also ask about the employee's aspirations for the coming year. In this way, the
employee is given an opportunity to identify what areas of their job they are satisfied with and
what areas they are dissatisfied with. They may also come up with ideas to improve their job
or to improve themselves, for example, by requesting additional training. This scheme also
gives the manager an opportunity to discuss with the employee their thoughts on the
employee's progress, and give praise and encouragement where required.
Appraisal schemes may also give the employee the opportunity to comment on their manager.
This needs to be anonymous if there is a chance of reprisal.
Appraisal schemes are an excellent way of finding out what problems exist within a workplace
and, therefore, give the opportunity for improvement. They also provide a measure of the
safety culture within an organisation. More importantly, however, they allow the employee to
comment on their own progress and to voice their opinions. Employees in appraisal schemes
will often feel more motivated than those not in such a scheme particularly where hard work
and improvements are rewarded.

C O N T E N T S
1A10 The Role of the Health and Safety Practitioner
THE ROLE OF THE HEALTH AND SAFETY PRACTITIONER ............................................................................................ 3

ROLE AND RESPONSIBILITIES OF HEALTH AND SAFETY SPECIALISTS ...................................................................................... 3
RELATIONSHIPS OF HEALTH AND SAFETY SPECIALISTS ...................................................................................................... 4
TYPICAL DUTIES OF HEALTH AND SAFETY PRACTITIONERS.................................................................................................. 4
COMPETENCE AND THE COMPETENT PERSON ........................................................................................................... 6
PERSONAL QUALITIES.............................................................................................................................................. 7
EVALUATING OWN PRACTICE ..................................................................................................................................... 8
IDENTIFYING SELF-DEVELOPMENT NEEDS ...................................................................................................................... 8
COMPILING A DEVELOPMENT PORTFOLIO AND RECORDING OUTCOMES OF DEVELOPMENT ACTIVITIES ................................................ 8
PROFESSIONAL ETHICS ............................................................................................................................................ 9
DIVERSITY AND INCLUSIVITY .................................................................................................................................... 10
TRAINING AND QUALIFICATIONS ............................................................................................................................... 10
MAIN SOURCES OF HEALTH AND SAFETY INFORMATION .......................................................................................... 11
RELEVANT LEGISLATION ......................................................................................................................................... 11
GUIDANCE FROM NATIONAL AND INTERNATIONAL ENFORCEMENT AGENCIES ........................................................................... 11
GUIDANCE FROM NATIONAL AND INTERNATIONAL SAFETY ORGANISATIONS ............................................................................ 11
ONLINE NATIONAL SOURCES OF INFORMATION ............................................................................................................. 12
NATIONAL AND INTERNATIONAL STANDARDS ................................................................................................................ 12
11 - IDipOSH A11 v2 160514

Study Unit 1A10 | The Role of the Health and Safety

Practitioner
Learning Outcomes
1.A.10.1 Understand the role of a health and safety practitioner
1.A.10.2 Explain what constitutes competence at different levels in the workplace
1.A.10.3 Make use of and advise on the main sources of health and safety information
Unit 9:

The Role of the Health and Safety Practitioner

This person often has the title of Health and Safety Director, Manager, Officer or Adviser. The
health and safety practitioner's prime duty is to promote health and safety in the workplace. It
is important to realise that the health and safety practitioner does not absorb any of the line
management responsibilities for health and safety.
A common misunderstanding is that a health and safety practitioner is appointed to manage
health and safety, leaving other managers to get on with their important responsibilities for
finance, production, etc. Health and safety is not an optional extra for managers; it is part of
their role, of equal importance as their other duties.
Role and Responsibilities of Health and Safety Specialists
Health and safety specialists need to have the status and competence to advise management
and employees or their representatives with authority and independence. They are well placed
to advise on:
Formulating and developing health and safety policies, not just for existing activities but
also with respect to new acquisitions or processes.
How organisations can promote a positive health and safety culture and secure the
effective implementation of health and safety policy.
Planning for health and safety including the setting of realistic short and long-term
objectives, deciding priorities and establishing adequate systems and performance
standards.
Day-to-day implementation and monitoring of policy and plans, including accident and
incident investigation, reporting and analysis.
Review of performance and audit of the whole health and safety management system.
To do this properly, health and safety specialists need to:
Be properly trained and suitably qualified.
Maintain adequate information systems on topics including law, health and safety
management and technical advances.
Interpret the law in the context of their own organisation and country.
Be involved in establishing organisational arrangements, systems and risk control
standards relating to hardware and human performance, by advising line management on
matters such as legal and technical standards.
Establish and maintain procedures for reporting, investigating, recording and analysing
accidents and incidents.
Establish and maintain procedures, including monitoring and other means such as review
and auditing, to ensure senior managers get a true picture of how well health and safety
is being managed (where a benchmarking role may be especially valuable).
Present their advice independently and effectively.

Relationships of Health and Safety Specialists

Relationships Within the Organisation
Health and safety practitioners must:
Support the provision of authoritative and independent advice.
Have a direct reporting line to directors on matters of policy and the authority to stop
work if it contravenes agreed standards and puts people at risk of injury.
Have responsibility for professional standards and systems. On large sites or in a group of
companies, they may also have line management responsibility for other health and safety
specialists.
Relationships Outside the Organisation
Health and safety practitioners liaise with a wide range of bodies and individuals including:
local authority environmental health officers and licensing officials, architects and consultants,
the Fire Service, contractors, insurance companies, clients and customers, enforcement
agencies, the public, equipment suppliers, the media, the police, general practitioners and
occupational health specialists and services.
Typical Duties of Health and Safety Practitioners

The range of typical duties of health and safety practitioners can be very wide depending on
the organisation including advising management on:
The identification of hazards and assessment of risk associated with:
Injury to, or ill-health of, personnel.
Damage to plant, equipment, materials.
Fire and explosion.
Improvement of existing working by the introduction of safe systems of work and
performance standards.
Legal requirements affecting safety, health and hygiene and welfare.
Provision and use of protective clothing and equipment.
Safety and suitability of new and hired plant and equipment; ensuring all appropriate test
certificates and technical instructions are obtained.
Potential hazards of new processes before work starts and on the safety organisation
required.
New methods of safe working arising from current technological development.
Changes in legislation.
Appropriate fire and rescue procedures.
Other duties could include:
Assisting with the prevention of accidents by raising the safety awareness of other
employees.
Advising managers on the implementation and monitoring of safety programmes.
Regularly inspecting the workplace and work equipment to see that standards are being
achieved and making recommendations for improvements.

Investigating all accidents, including dangerous occurrences and near misses, filling out
the relevant forms and notifying appropriate authorities.
Assessing new and/or unusual processes for associated risks.
Keeping themselves informed as to health and safety legislation, and informing the
management of recommendations to ensure compliance.
Assisting with the health and safety training of employees.
Developing and monitoring the effectiveness of the company health and safety policy in
respect of the health and safety at work of its employees, members of the public and
those affected by the work.
Monitoring and assessing the overall effect of the safety policy.
Improving the company's safety performance.
Enhancing the company's reputation in accident prevention.
Creating within the company a positive safety and health awareness and attitude at all
levels of employees from directors to operatives.
Carrying out inspections (in association with the manager or foreman) to ensure that: all
regulations are being observed; only safe systems of working are in operation; mess
rooms, washing facilities and other welfare amenities have been provided and are
properly maintained.
Investigating the causes of any accidents or dangerous occurrences, and recommending
means of preventing recurrence.
Supervising the recording and analysis of information on injuries, ill-health, damage and
production losses; assessing accident trends and reviewing overall safety performance.
Keeping contact with official and professional bodies, e.g. enforcement agencies, fire
authority, government authorities, safety institutions, voluntary organisations.
Liaising with safety representatives and safety committees, and assisting in
management/operative consultations.
Fostering within the firm an understanding that injury prevention and damage control are
integral parts of business and operational efficiency.
Keeping up to date with recommended codes of practice and new health and safety
literature; circulating the relevant information to each level of employee.
Liaising with contractors at times of joint responsibilities; checking health and safety
policies; monitoring and advising as necessary on health and safety matters related to
their operations.
Liaising with employer's insurance company(s).
Assisting management in monitoring the implementation of policy.
Contributing to the recruitment, selection and appointment of personnel for health and
safety roles.

Competence and the Competent Person

It is important that the employer appoints a competent person or more than one if necessary,
to help him or her take steps to ensure that a healthy and safe working environment is created
and maintained for employees, contractors, visitors, members of the public, etc. and to help
him or her comply with any applicable health and safety legislation. In the UK it is a legal
requirement for employers to ensure that they have someone that can assist them in fulfilling
their legal health and safety responsibilities. If it is the case that more than one person is
appointed, it is important that the employer makes arrangements to ensure the full co-
operation between such people. He or she must also ensure that the person or persons
appointed to such a position have sufficient time to undertake their responsibilities, as well as
the necessary means to do so.
Employers must be considered solely responsible for ensuring that those they appoint to assist
them with health and safety measures are competent to carry out whatever tasks they are
assigned. Furthermore, such practitioners must be given adequate information and support.
It is now, therefore, vital (and in some countries a legal requirement) that an employer should:
Appoint someone to be responsible for health and safety.
Ensure the competence of the appointed person(s).
Ensure he/she has adequate resources to carry out the role properly.
Ensure that the details of the person so appointed are made known to all personnel in the
organisation.
In many cases, the person so appointed will be the health and safety adviser. For many
smaller companies it may not be cost-effective to appoint a full-time health and safety adviser,
and for them this role may be combined with other duties. In some very small companies, it
may not be possible even to do this and they will have to have recourse to specialist external
consultants.
A Health and Safety Competent Person is considered to be competent when he or she has
received sufficient training, and has sufficient knowledge and experience to be in a
position to provide adequate assistance for a particular situation. This does not necessarily
depend on having particular skills or qualifications. Simple situations, for instance, may only
require the following:
(a) An understanding of relevant current best practice;
(b) An awareness of the limitations of ones own experience and knowledge; and
(c) The willingness and ability to supplement existing experience and knowledge,
when necessary by obtaining external help and advice.
Where the situation is more complicated, the competency will depend on a higher level of
knowledge and experience. In addition, if the situation is highly technical, appropriately
qualified specialists would be called on to provide specific applied knowledge and skills.
Employers should check for appropriate health and safety qualifications, which may be specific
to an industry, as well as membership of relevant professional bodies or organisations. This
should help them to ensure the competence of any assistant they appoint. Finally, guidance
may be given by checking for qualifications accredited by reputable and registered qualification
organisations.

Personal Qualities
To be fully effective, the safety practitioner must:
Understand people.
Be able to communicate with them in order to bring about the desired change in their
observed behaviour.
Obtain the respect of all personnel.
Understand the problems caused by different people's varying perceptions of hazard and
risk and how they respond in different ways to the same stimulus.
Understand the ways in which individual differences affect the ranking of risks, the
recognition process, the evaluation of risk consequences, risk aversion and the
assessment of economic factors affecting the acceptance of risk.
Understand how group influences affect the behaviour of individuals.
Understand the problems caused by people's inability to estimate and rank different types
of risk.
Understand the apparent disparity between attitudes to risk involving catastrophic failures
and individual fatalities at work, and attitudes towards long-term health risks and the risk
of sudden death.
In addition to these various personal attributes, the practitioner also has a responsibility and
should be able to evaluate and develop their own practice; they should be committed to
continued professional development. This will ensure that the practitioner maintains and
develops competency, keeps up to date and remains effective.
The broad requirements are that practitioners should:
Reflect on their own practice.
Review their practice against appropriate goals.
Set and prioritise goals and targets for self-improvement.
Adapt their own practice in the light of changes in professional practice.
Consequently, in order to achieve this, practitioners need to:
Identify goals and targets, which could be set in a number of ways. For example, they
could be set: from national standards, from assessment of current competency, from
anticipated future demands, from personal aspirations or to meet organisational needs.
Review their own performance, which might involve evaluating work results, undergoing
appraisals or formative assessments, or seeking the views of colleagues and clients.
Develop their personal action plans and monitor their achievement.
Develop and change their own practice, and evaluate the effectiveness of the
developments.
Anticipate and identify change, and respond appropriately. This could arise from changes
in professional practice, from national and local systems or from changes to organisational
policy and procedures.
These requirements can be divided into two principal components: evaluation, and
identification of self-development needs.

Evaluating Own Practice

Performance Criteria
The practitioner should be able to:
Evaluate own practice against set targets and goals.
Use a range of valid and reliable evidence to assess own work, which includes an
assessment of your own behaviour and values by others.
Involve others in the interpretation of evidence.
Use evidence to reflect on own practice and professional issues.
Accept criticism in a positive manner, and assess its validity and importance.
Revise goals and targets in the light of reviewing evidence and performance.
Identifying Self-Development Needs
Performance Criteria
The practitioner should be able to:
Set and prioritise clear and realistic goals and targets for own development.
Base goals and targets on the accurate assessment of all the relevant information relating
to own work and achievement, including developments in professional practice and
related areas.
Devise a personal action plan and review it regularly.
Try out developments in own practice in a way that does not cause problems for others.
Evaluate developments in own practice and ensure continued self-development.
Compiling a Development Portfolio and Recording Outcomes of

Development Activities
Once goals have been set and an action place put in place, it is important that a development
portfolio is compiled. This can be used to provide evidence for the development undertaken.
The portfolio is likely to be electronic in nature and contain evidence such as:
Dates, venues and an outline content of any meetings, seminars or lectures undertaken or
delivered
Copies of presentations, written articles or written policies prepared
Reference to articles read
Records of content and dates of any training undertaken
Records of any new experiences or skills acquired.
For each development activity it is important to record the outcome. This will involve reflecting
on the skill or knowledge obtained and commenting on its future benefit.

The CPD scheme operated y IOSH requires that a portfolio is maintained. This involves the
initial preparation of an action plan (repeated over a two year cycle). Evidence must then be
provided in the following areas:
Maintenance of skills
New professional skills
Transferrable management skills
Professional Ethics
The question of ethics may be described as being open to interpretation, and different cultures
may have different views relating to professional ethics. Within the UK the most
comprehensive guide to ethics can be taken from the IOSH Code of Conduct. Some of the
important criteria expected of members are given below:
to take all reasonable steps to obtain, maintain and develop their professional competence by
attention to new developments in occupational safety and health and shall encourage others
working under their supervision to do so.
to not undertake responsibilities in relation to health and safety which they do not believe
themselves competent to discharge.
to have regard to the reputation and good standing of the Institution, other members, and
professional practice and standards, and shall not either directly or indirectly bring them into
disrepute.
to not recklessly or maliciously injure, or attempt to injure, whether directly or indirectly, the
professional reputation, prospects or business of another.
to avoid their professional judgment being influenced by any conflict of interest and shall
inform their employer, client, or the Institution of any conflict between the members personal
interest and service to the relevant party.
to not improperly disclose any information which may reasonably be considered to be
prejudicial to the business of any present or past employer, client or the Institution.
to ensure that information they hold necessary to safeguard the health and safety of those
persons for whom they have a legal and moral responsibility is made available as required.
to not unfairly discriminate in the course of their professional business on the grounds of race,
colour, religion or belief, disability, sex, marital status, age, sexual orientation, nationality and
ethnic or national origins.
to act within the law and are required to notify the Institution if they are convicted of any
criminal offence. A relevant conviction may lead to disciplinary proceedings against that
member.

Diversity and Inclusivity
In this context, these terms refer to the interrelationships of individuals within society.
Diversity is about valuing and reaping the benefits of all individuals, enabling all to fulfil their
own potential whatever their backgrounds. Diversity encompasses visible and non-visible
individual differences. Diversity is about respecting individual differences, and people's
differences can be many and varied. For example:
Race
Culture
National origin
Region
Gender
Sexual Orientation
Age
Marital Status
Politics
Religion
Ethnicity
Disability
Socio-economic differences
Family structure
Health Values
Inclusivity is about all people in a workplace or society. It involves taking action to remove
barriers to participation. Inclusion also involves eliminating discrimination and promoting
equality.
Training and Qualifications

As mentioned earlier, a health and safety advisor is only considered to be competent once he
or she has received sufficient training. There are many institutions and organisations that offer
relevant training, including the British Safety Council (BSC). The BSC offer training courses
from the International Certificate in Occupational Safety and Health and the International
Diploma in Occupational Safety and Health. Both of these qualifications can help to provide
evidence of competency for the health and safety practitioner.

Main Sources of Health and Safety Information

There are numerous sources of external information available to the safety professional. The
information is available in the form of books, journals, magazines, as well as on-line in
electronic form. Below is just a selection of the main external sources of information.
Relevant Legislation
International legislation will vary from country to country, although countries within the
European Union will have to comply similarly with imposed health and safety Directives.
It is of course essential for the safety professional to be able to interpret and apply it, not only
to improve safety, but also to avoid possible prosecution.
Basic legal requirements must be communicated to the workforce. In the UK this is done by
displaying the Health and Safety Law poster in the workplace, as required by the Health and
Safety (Information for Employees) Regulations 1989. Other countries should make
their employees aware of relevant legislation in similar ways.
Interpretation of legal requirements is often complicated due to the legal language and
terminology often used in the formal documentation. There are often prcis documents written
to help the reader understand the basic legal requirements but where these are not available,
care must be taken to correctly interpret the requirements and advice accordingly.
Guidance from National and International Enforcement Agencies

Health and safety guidance will vary between different national enforcement agencies.
However, in most instances, national enforcement agencies will be serving common goals; to
promote and provide health and safety information and guidance.
For example, the Health and Safety Executive (HSE), (the UKs national enforcement
agency) publish guidance on regulations and the application of British health and safety law.
They are frequently combined into a single document along with an approved code of practice
(ACoP) and guidance. Unlike ACoPs, guidance has no legal status. There is extensive, free
information and guidance available to health and safety practitioners which serves as good
practice to other non-UK countries available from the HSE which can be directly accessed from
their website: www.hse.gov.uk. For example, one of the HSEs publications is INDG 258, Safe
Work in Confined Spaces can be used as good practice in countries where either UK law is not
applicable or where health and safety law is not actively enforced. Priced publications are also
available from HSE books.
Guidance from National and International Safety Organisations

The European Agency for Safety (https://osha.europa.eu/en) is also very useful for general
guidance on health and safety issues affecting the European region. For example, they have a
number of fact sheets, reports and forums on different aspects of risk assessment.
Further international agreements, conventions and guidance may be obtained from places such
as the International Labour Organisation (http://www.ilo.org/global/lang--en/index.htm). The
ILO is very active in promoting international harmonisation of minimum standards in health
and safety and other areas. They do this through Conventions, which outline objectives to be
achieved; national governments then ratify these and ensure legislation is implemented, or
exists, to meet the objectives. The ILO produces a good deal of guidance, for example,
Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001). The ILO
also provide useful links to other international safety organisations known as CIS National and
Collaborating Centres which are based in many countries around the globe.

Other organisations that provide useful health and safety guidance include:
RoSPA (Royal Society for the Prevention of Accidents).
BSC (British Safety Council monthly Safety Management publication).
WHO (World Health Organisation).
IOSH (Institute of Occupational Safety and Health - monthly Safety and Health Practitioner
(SHP) magazine and other publications)
HSE (Health and Safety Executive).
Online National Sources of Information
There is a wealth of information online available for health and safety practitioners to gain
access to. However, a word of caution is added when searching the net for health and safety
guidance. It is important that health and safety information sought from different countries
comes from a reliable source.
Generally, national enforcement agencies similar to the HSE provide accurate and up-to-date
information. For practitioners operating in countries outside of the UK, a selection of
(inter)national organisations that provide good sources of health and safety information
include:
National Institute For Occupational Safety And Health (NIOSH) U.S.A.
Canadian Centre for Occupational Health and Safety (CCOHS) Canada.
Japan Industrial Safety and Health Association (JISHA) Japan.
Institut national de recherche et de scurit (INRS) France.
Bundesanstalt fr Arbeitsschutz und Arbeitsmedizin (BAuA) (Federal Institute for
Occupational Safety and Health) Germany.
Istituto superiore per la Prevenzione e la Sicurezza del Lavoro (ISPESL) Italy.
National and International Standards

Organisations such as British Standards Institute (BSI), the International Organisation for
Standardisation (ISO) and European Committee for Electrotechnical Standardization (CENELEC)
(which produces European Standards or Norms (EN) for adoption) produce many standards
ranging from the very detailed, technical machinery applications to auditable guidelines on
management systems (like ISO 18000 OHSAS series). Their status can range from industry
standard or accepted best practice, to legally enforceable, the latter by being referenced in
legislation. On occasion the standards are jointly published; an example is BS EN ISO 12100
that covers machinery hazards and guarding. Internationally agreed and legally enforceable
standards serve to harmonise requirements and remove trade barriers.

C O N T E N T S
1A11 Protecting the Environment
RISKS TO THE ENVIRONMENT ARISING FROM WORKPLACE ACTIVITIES ......................................................... 3

RESOURCE DEPLETION............................................................................................................................................. 3
AIR POLLUTION ..................................................................................................................................................... 3
LAND POLLUTION ................................................................................................................................................... 4
WATER POLLUTION................................................................................................................................................. 5
CLIMATE CHANGE ................................................................................................................................................... 6
STRATOSPHERIC OZONE DEPLETION ............................................................................................................................ 6
OVER-ABSTRACTION OF WATER ................................................................................................................................. 7
ENVIRONMENTAL MANAGEMENT SYSTEMS........................................................................................................ 9
TYPES OF ENVIRONMENTAL MANAGEMENT SYSTEM. .......................................................................................................... 9
BENEFITS OF AN ENVIRONMENTAL MANAGEMENT SYSTEM .................................................................................................. 9
ELEMENTS OF AN ENVIRONMENTAL MANAGEMENT SYSTEM................................................................................................ 11
ENVIRONMENTAL POLICY ........................................................................................................................................ 12
PLANNING ENVIRONMENTAL MANAGEMENT ACTIVITIES .................................................................................................... 12
IMPLEMENTATION AND OPERATION............................................................................................................................ 13
CHECKING, CORRECTIVE AND PREVENTIVE ACTIONS ....................................................................................................... 13
ENVIRONMENTAL MANAGEMENT SYSTEM AUDIT ............................................................................................................ 13
THE MANAGEMENT REVIEW AND CONTINUAL IMPROVEMENT ............................................................................................. 13
MINIMISING RISKS TO THE ENVIRONMENT .................................................................................................... 15
POLLUTION CONTROL ............................................................................................................................................ 15
WASTE MANAGEMENT STRATEGIES............................................................................................................................ 16
ENERGY EFFICIENCY ............................................................................................................................................. 17
TRANSPORT MANAGEMENT ...................................................................................................................................... 18
ENVIRONMENTAL MONITORING................................................................................................................................. 19
ENVIRONMENTAL TRAINING NEEDS............................................................................................................................ 20
12 - IDipOSH A12 v2 160514

BSC Level 6 Diploma Element 1A | Fundamentals of Health and Safety Management
BSC Level 6 Diploma | Unit 1
Study Unit 1A11 | Protecting the Environment
Learning Outcomes
1.A.11.1 Describe and explain the main risks to the environment arising from workplace
activities
1.A.11.2 Outline the main elements of an environmental management system (e.g. ISO
14001)
1.A.11.3 Describe and explain measures to minimise risks to the environment arising from
workplace activities

Risks to the Environment Arising From Workplace

Activities
Resource Depletion
Many of the resources that drive our economies are limited and will therefore one day be
exhausted, if we continue to use them at current rates. For many, the risk of running out of
resources is something that does not immediately concern us. It is a problem for the future
and for someone else. As long as the resources are available today then why worry? Protection
of our future generations depends on responsible practices today and in some cases resources
are already running out. Resource depletion is a problem for today.
Types of Resource
Resources fall into three categories: perpetual, renewable and non-renewable.
Perpetual Resources
Perpetual resources appear to be inexhaustible. Examples include solar energy and the
hydrological system.
Renewable Resources
Renewable resources are those that can usually regenerate themselves by means of biological
reproduction. All animals and plants can, therefore, be classified as potentially renewable
resources, although this obviously is only true if the rate of use does not exceed the capacity
of the species to renew its numbers.
Non-Renewable Resources
Non-renewable resources are of fixed quantity and, once used, they are gone forever. This is
because they are either no longer being created or because their regeneration rate is so long
that they are totally beyond the time span on which human beings can work. Metaliferrous
ores, such as those containing lead, copper, zinc and aluminium would fall into this category.
Another non-renewable resource, which will have huge impact on the future progress of the
planet in many areas, is oil.
Air Pollution
The deterioration of the environment has been the result of a variety of human developments,
such as industrialisation, urbanisation, and population growth. The public perceives industry
as a major polluter. Pollution effects are not just limited to industrial activities, however. In
Northern Europe, for example, one of the most damaging pollutants affecting air quality results
from the use of private cars. The principal components that have a significant effect on the
environment are:
Sulphur Dioxide
The major source of sulphur dioxide is the combustion of fossil fuels containing sulphur,
mainly coal and fuel oil. Natural gas and petrol have much lower sulphur contents.
Particulate Matter
Particulate air pollutants are very diverse in character. They can be organic or inorganic,
soluble or insoluble, with diameters ranging from 0.01 to 100 m. The majority of
particulate matter (by weight) exists in the range 0.1 to 10 g (PM10), but the main

causes for concern are particulates below this upper range because of their ability to enter
the lungs.
Across the world, significant sources of particulate matter are internal combustion
engines, processing plants and fuel combustion.
Oxides of Nitrogen
The major source of NO2 is the high temperature reaction of atmospheric nitrogen and
oxygen in combustion processes. Power stations and road transport are the main sectors
for this type of pollution. Nitric oxide and nitrogen dioxide are significant in the formation
of ozone in lower parts of the atmosphere. In this area, ozone is harmful to health, as
opposed to stratospheric ozone, which protects us from the suns ultraviolet radiation.
Oxides of Carbon
Carbon monoxide is associated with petrol engines. Most other combustion processes are
more efficient and cause little CO emission.
Volatile Organic Compounds (VOCs)
Volatile Organic Compound is a general term, covering any organic compound that is gas
at normal temperature and pressure. It covers hydrocarbons and compounds also
containing other elements such as oxygen, nitrogen, and chlorine.
The pollution of air can have major impacts on the environment, including: global warming,
ozone depletion, photochemical smog and acid rain.
Land Pollution
Land, like water and air, is vulnerable to pollution from a range of sources:
Atmospheric Deposition
Deposition of radionuclides (as happened in the Chernobyl disaster) can lead to extensive
soil contamination and the precipitation of acidic pollutants can result in acidification of
soils.
Waste and Spills
Hazardous waste buried in landfill, fly-tipped or buried on company premises, as well as
spills and leaks associated with company activities, are frequent causes of land
contamination.
Agricultural Practices
Soil contamination is an accepted but undesirable consequence of the application of
pesticides.
Landfill Sites
Landfill sites are the most commonly used form of waste disposal.
A landfill site must be geologically suitable. Ideally it should be impervious, e.g. underlain
by clay, but if not a membrane can be laid to make it so. The design should minimise
ingress of ground-water that could arise due to changes in the local water table, flood
conditions or the existence of springs or streams. The site should be finished with an
impervious clay dome to shed rain-water. Modern landfill sites are highly engineered.
Works commence with detailed engineering surveys and studies of the geology,
hydrogeology, soils, water, ground-water and many other parameters. Today, sites are
expected to avoid pollution, so sites are usually lined with a plastic or asphaltic liner,

followed by the development of a complex of leachate and gas collection wells and pipes.
Monitoring of all these systems is required and incorporated.
Certain kinds of hazardous waste are not considered suitable for disposal by landfill,
however sophisticated the site. These include some clinical wastes, pesticides, industrial
gases under pressure in degradable containers, highly flammable concentrates, and
certain heavy metals such as lead and cadmium. Potential Problems with Landfill Sites
The major potential problems concerned with landfill sites are:
Landfill gas.
Leachate.
Nuisance.
Vermin.
Water Pollution
Water pollution is the reduction in quality of rivers, lakes, streams, and oceans by the
introduction of chemical, physical, or biological pollutants. These can include:
Waste
This includes: industrial effluents, domestic and agricultural sewage, radioactive
discharge, and thermal pollution.
Urban Run-Off
The discharge of storm water drains directly to watercourses.
Agricultural Run-Off
This includes: fertilisers, pesticides and weedkillers.
Oil Spills
These can be locally from a companys operation into a stream or through accidental or
deliberate discharge into the sea.
Acid Precipitation
Rainfall polluted by contaminants in the atmosphere and subsequently deposited in lakes
may cause acidification of the body of water, and is an example of the movement of
pollution from one medium to another.
Certain pollutants are particularly harmful, for example, just 250 grams of pesticide could be
enough to exceed the permitted limits in the whole of Londons water supply. Oil is another
substance of particular harm, because a gallon of oil can pollute an area of water the size of
two football pitches. Solvents are also very potent pollutant substances when allowed to reach
a watercourse or underground water; one litre of the common degreasant trichloroethylene
could contaminate 100,000,000 litres of drinking water (the equivalent of 50 Olympic sized
swimming pools).
The dispersion of pollutants to water is often caused by oils and fuel or sewage. The passage
of water along a waterway both spreads and dilutes a pollution event. The extent of dilution
will therefore depend on the flow rate of the watercourse and on any tidal effects.
Sources of Water Pollution
Water pollution is often caused by some, or all, of the following issues:

Outfalls from sewage systems.

Storm water overflows from sewage systems or combined sewers.
Factory wastes, for example, contamination deposited on drained surfaces, such as: oil,
rubber, chemicals, pesticides, and mud and silt from construction.
Wrong connections of foul or surface water drains, either due to ignorance or accident; all
companies should check their drain connections to ensure they are correct.
Public ignorance of drainage systems and where they flow.
Spillages or deliberate disposal, of oil in particular, flushed into surface water drainage
systems.
Surface water pollution caused by sudden flooding of contaminated drains and
soakaways.
Groundwater pollution from contaminated land, landfill sites or accidental spillage.
Accidental releases, e.g.: road traffic accidents, spillage from industrial sources, and
ground-water pollution from mining or metalworking.
Climate Change
The greenhouse effect is a scientifically proven phenomenon, produced by an insulating layer
of gases in the earths atmosphere. This term was adopted because the gases act like the
glass in a greenhouse, (they allow sunlight to enter, but hinder its release). The gases help to
keep the earth warm and without them the earth would be 30C cooler and life as we know it
could not exist. However, it is the enhancement of this natural effect by humans which is a
cause for concern.
Human activities release extra amounts of greenhouse gas into the atmosphere, which
increases the atmospheric temperature in a process that is known as global warming. This can
lead to climate change, with some of the following potential effects:
Sea level rise, due to thermal expansion of water and a melting of land ice.
Average temperatures could rise by a further 3C by 2100.
Seasonal changes causing some countries winters and autumns to become wetter, and a
change in spring and summer rainfall patterns
Higher temperatures may lead to poorer air quality in the summer months.
Health may be affected by increased temperatures due to changes in the availability of
water and also in the spread of disease.
Stratospheric Ozone Depletion

The ozone layer occurs naturally within the stratosphere at approximately 25 km above the
earths surface. This layer is a protective layer that filters out potentially harmful ultra-violet
radiation from the sun. However this layer is being broken down by complex chemical
reactions occurring between man made chemicals, ozone and sunlight. The gases, which
persist in the atmosphere, have typically been used in foams used in packaging, insulation in
buildings and refrigeration plants and solvents used in the electronics, engineering and in dry
cleaning industries.
Ozone depletion has been especially significant over Antarctica during springtime. As a result
of the climatic conditions in the area, this creates an annual hole in the ozone layer, which is

about the size of North America and has spread to the edge of Latin America and the Falkland
Islands.
Any reduction in the amount of stratospheric ozone will lead to increased exposure to
biologically damaging ultra-violet radiation. For humans, this could mean increased incidences
of skin cancer, cataracts and immune system disorders. Plant and animal life is also affected
by increased ultra-violet radiation, with damage to crops and eye cancer in cattle.
As these substances can persist in the stratosphere for more than a century we can expect to
experience ozone holes for the foreseeable future.
Over-Abstraction of Water
Water is essential for life, but only 0.5% of the worlds water is available as freshwater in
rivers, lakes and economically recoverable groundwaters. When water that is too polluted or
expensive to tap is deducted from this amount, the total quantity falls to 0.003%. However,
this is not evenly distributed with some peopled receiving too little, while others receive too
much.
Surface water can be abstracted from streams, rivers and lakes and from beneath the ground
in permeable rock strata (aquifers). If we take too much from these sources, water systems
can be affected and water shortages can result. Therefore, careful management of freshwater
resources is a necessity.
Reducing the amount of water used will help protect the environment and, like energy
efficiency, can make real cost savings to business. The Environment Agency in the UK
estimates that a manufacturing company could be spending 1 % of business turnover on water
bills. There are additional costs associated with the treatment of any wastewater produced,
and costs associated with final disposal to sewage treatment plants.
Water efficiency is usually considered to be the use of improved technologies and practices
that deliver equal or better services with less water. The phrase is often used, interchangeably,
with water conservation, although this tends to be more related to the actual reduction of
water use, i.e. doing less with less water.
The principles of effective water management are similar to those of waste management and
the control of health and safety, with a hierarchy of control:
1. Preventing spills and leaks.
2. Eliminating water use.
3. Reducing water use.
4. Reusing water.
5. Recycling water.
Options for water efficiency may include capital cost and low or no cost options, and could
involve some of the following:
Recycling of process water.
Changing operational practices.
Adjusting equipment operations.
Installing leak detection and repairing leaks.
Regular maintenance of equipment, plumbing and heating systems.

Turning off equipment when not in use.

Reducing landscaping requirements.
Regular reading of water meters, calculation of daily uses and visual inspections.
Installation of technologies such as: spray taps on hand basins, electronic sensor taps
and timed, turn off push taps, urinal flushing controls, dual flush and low flush WCs.
Education of workforce.
A cost analysis of the water efficiency opportunities will assist in determining a prioritised
implementation schedule.

Environmental Management Systems

Introduction
All organisations have some impact on the natural environment, particularly through the
resources they use, the processes and activities they undertake, and the waste that they
create. Every business no matter how large or small, can achieve results if improvements are
planned and carried out in a structured and co-ordinated manner. Good environmental
management can also help businesses to ensure compliance with environmental law, save
money and improve public relations. A formal Environmental Management System (EMS) can
help organisations to achieve these.
A management system can be described as any process that is used in order to make the
planning and operation of peoples daily existence simpler. Such processes can help to
distribute procedures and information throughout a company, check whether they are being
followed and are working. Environmental management systems are used to check whether
company instructions, procedures and information relating to the environment are being
followed.
Types of Environmental Management System.

The main standards for environmental management systems are:
ISO 14001:2004
EMAS (European Community Eco-Management and Audit Scheme)
implemented through EU Regulation 1221/2009/EC
They are basic specifications for achieving good environmental management practice.For more
detailed information visit the EMS web-portal here: http://ems.iema.net/emas
Benefits of an Environmental Management System

There are many benefits of an environmental management system. These include:
Environment Benefits
There can be less impact on the environment through reduced:
raw material consumption
emissions
waste
odours
noise
energy use
impact on eco-systems

Financial Benefits
Businesses can become more profitable by:
Reducing waste of raw materials and consumables
Using resources more efficiently with less waste and rejects
Reducing insurance premiums, as the insurance risk is reduced
Attracting investors, consumers and customers who want to share such environmental
ideals
Reduced risk of fines for non-compliance with environmental legislation
Public Relations Benefits

Improved relations with local community and environmental groups
Improved public image
Increased customer confidence in the goods supplied and ways in which they are
manufactured
Compliance
A business that works safely within the law:
Avoids warnings, fines or even prosecutions from environmental regulators, (breaking
some laws can mean the imprisonment of a companys directors)
Has the peace of mind that it is conforming to legal requirements
Benefits to the Employee

Good environmental management brings benefits to the employee by:
Improving the working and living environment for the employee
Improving employee health and quality of life
Reducing the potential for environmental incidents
Increasing employee motivation and personal commitment to the company
Increasing their environmental awareness

Elements of an Environmental Management System
Environmental Management Systems operate in a cycle, as shown in the model below:
Environmental Management System Model for ISO 14001

Environmental Policy
The environmental policy is very important as it sets the direction of the organisation to
improve its environmental management. It is often said that the policy is the cornerstone of
an EMS as it states the organisations commitment to environmental protection.
The responsibility for setting an environmental policy normally rests with the organisations top
management. The policy should be written in a way so that it is understandable to everyone
and should be available to members of staff. The findings of the environmental review should
be considered when writing the policy and include:
The core values and beliefs of the organisation
What interested parties expect (e.g. shareholders or regulators)
Continual improvement
Pollution prevention
Co-ordination with other policies, such as quality, health and safety
Compliance with relevant environmental regulations
Planning Environmental Management Activities

The next stage focuses on the planning of the system in four key areas:
Environmental Laws and Other Requirements
As well as environmental impacts, lists should be made of the environmental legislation that
controls the sites activities. It is useful to look at other information affecting the business,
such as sector guidelines e.g. WRAP. Access to information sources is vital as new legislation
is always being developed. Sources include on-line services such as the Environment Agency
(in England and Wales), Netregs (for Scotland and Northern Ireland) and GOV.UK for
Government policy and guidance.
Environmental Impacts
A list (or register) of all the impacts from the activities (or products or services) from the
organisation should be compiled. There should also be a way of calculating which of these
impacts are more important to you as a business, or has a larger environmental impact. The
impacts that are seen to be more important (significant) would then form targets for
improvements.
Objectives and Targets
Objectives need to be established defining an overall goal for the business. In addition, these
objectives need to be supported by SMART targets (Specific, Measureable, Achieveable,
Realistic and Timebound). In otherwords, targets need to be clearly measureable and lead to
environmental performance indicators for the business.

Action Plan or Environmental Management Programme

An action plan or Environmental Management Programme will be required to meet these
targets. This will outline how these targets are going to be met, what will be done, by whom
and when.
Implementation and Operation

Environmental management systems have set structures to allow them to operate smoothly, to
help meet any targets set, to achieve environmental improvement and continual
improvements. Such structures and procedures include
Giving someone the responsibility for environmental activities
Setting the requirements for appropriate environmental training
Setting the standards for the control of paper work and documentation
Communication
EMS documentation
Document control
Operational control
Emergency preparedness and response
Checking, Corrective and Preventive Actions

This part of an EMS is vital as it measures and monitors key activities of the EMS to make sure
that the targets, and any other requirements are being met. Records should be kept to prove
that the system is working. These can include legislative requirements, permits, environmental
impacts and environmental training activity. If any areas do not meet any the needs of the
system (checked through the monitoring), then they will be recorded so that corrective action
or improvements can be made.
Environmental Management System Audit

After a set time (often 6 months or a year), an audit needs to be carried out to determine
whether or not the EMS is working and that the targets have been met. Audits should be
carried out by qualified and experienced people and should work to audit standards.
The Management Review and Continual Improvement

This is the final part of an EMS. Senior management needs to review the EMS to ensure it is
achieving continual environmental performance improvement, through meeting its
environmental targets. Although the management review is the last specified part of an EMS,
it must not be forgotten that the overall goal of an EMS, is Continual Improvement.

The Next Step - Certification?
When the system has been written and is working, the main options are to:
Self declare that the EMS conforms to the standard.
Seek formal third-party certification from an independent, accredited, certification body.
Most organisations opt for the second option as it shows certifiable proof that the EMS
conforms to the specifications in ISO 14001, which makes it more credible. This needs to be
set against the cost of certification.

Minimising Risks to the Environment

Here we shall discuss a range of risk management strategies to deal with the main
environmental impacts discussed earlier.
Pollution Control
Pollution refers to contamination or damage to the environment caused by human activity. We
can identify three broad classes of pollution:
Atmospheric pollution fumes, smoke and dust discharged into the air from incinerators,
traffic exhausts or other by-products of industrial processes.
Incinerators are used for a variety of purposes. Applications include destruction of:
Domestic waste, commercial waste and certain industrial wastes.
Liquid industrial waste, e.g. oils, solvents.
Clinical waste.
Animal carcasses, etc.
Advantages
Incinerators are used in a number of applications and have many advantages over other
disposal methods, for example:
Reduction in volume.
Destruction of hazardous components.
Creation of ash that can be disposed of easily.
Small size of plant.
Immediate and measurable effects.
Can be used to raise energy by utilising calorific value of waste.
Disadvantages
These include:
High capital cost and monitoring requirements.
High fuel costs on start up.
Need to carefully control inputs.
Incinerators are not suitable for aqueous wastes, wastes containing heavy metals,
chlorinated materials (unless special controls are in place), and non-combustible
solids.
Release of carcinogenic dioxins into the atmosphere these may contain potential
cancer causing fumes.
Waste transportation from one site to the incinerator.
Control of atmospheric pollution is achieved by a system of permits or consents from

government agencies. This is backed up with regular atmospheric monitoring of the stack. To
be within permitted emission limits usually requires some form of abatement technology, such

as scrubbers. The available techniques need to be balanced against the cost involved. What is
appropriate is considered in the light of the nature of the industry and the desired level of
environmental protection.
Water pollution liquid waste (effluent) comprising toxic substances such as detergents
discharged into ground water, rivers or sea-water directly from sewers, factories or
surrounding land, such as fertilisers being washed away from farm land by the rain. Measures
are to be taken to prevent the release of any waste from reaching and polluting water courses.
Land pollution solid waste from industrial processes deposited on land causing
contamination.
Waste Management Strategies

The general approach to waste management should take account of a hierarchy of waste
management options as shown in the figure below:
Waste reduction the primary emphasis should be on not producing waste in the first
place, by process change and optimising process efficiency.
Reuse for example, returnable glass bottles.
Recovery of waste including recycling (such as glass, metal and paper), composting
and incineration with energy recovery.
Disposal generally to landfill.
Waste Management in Practice
Minimisation
The emphasis should be on not generating waste in the first place. So, although waste may
be unavoidable in many cases, minimisation can be achieved by process change and optimising
efficiency.

Storage
Waste must be properly stored and protected. If it is not, it may escape to the environment
and cause harm. Practically this means covering skips, storage in bunded areas (to protect
against leakage) and security.
Labelling
Waste should be labelled where appropriate and in accordance with International
classification systems. If the waste is hazardous for transportation, it should also be correctly
labelled in accordance with relevant transportation regulations.
Carriage and disposal of waste
Waste is to be removed from the site responsibly.
The organisation that creates the waste ultimately remains responsible for the fate of the
waste so that if, for example, it is taken by a carrier and illegally dumped, liability is often
placed upon the waste holder who would be responsible for the clean up. It is for the waste
holder to ensure the credentials and competency of any waste carrier, who must be a
registered and approved carrier of the waste.
Energy Efficiency
A great deal of energy comes from non-renewable fossil fuel, such as electricity, gas, oil and
coal, but we have a need to conserve such natural resources for future generations. Reducing
the amount of energy used will help prevent the depletion of non-renewable energy sources.
Carbon Dioxide (CO2) is a by-product of most combustion processes, and the burning of fossil
fuels contributes to increased levels of CO2, a greenhouse gas, in the atmosphere, with a
resultant effect on global climate change. A reduction in energy consumption will help to
reduce emissions of CO2, reducing the impact of climate change.
From a business perspective, energy is a significant controllable cost with energy efficiency
resulting in an immediate and direct cost saving, a concept that makes sound business sense.
Energy efficiency can be considered, simply, to be using less energy for a desired outcome.
For example, reducing the amount of energy used to heat or light a building or to manufacture
a product. A combination of low cost and capital cost measures is considered to be the most
effective way forward.
Low cost or no cost options could include:
Switching off unused equipment.
Installing or resetting controls.
Maintaining equipment.
Ensuring equipment is operating at optimum performance.
Employee education programme.
Switching off building lights when not in use.
Adjusting, installing or correctly locating heating thermostats.
Draught proofing and management of door opening.
Those measures that would involve a capital cost may include:
Purchasing of energy efficient equipment.

Introduction of waste heat recovery systems.

Installation of combined heat and power technology.
Transport Management
Transport is responsible for significant emissions of all the carbon dioxide across the world.
The options to reduce these emissions from transport are to move away from the use of fossil
based fuels, such as petrol and diesel, or to use them more efficiently.
In addition to the emissions, problems in the infrastructure required for transport results in the
use of large areas of land and the destruction of natural habitats, areas of outstanding natural
beauty, towns and cities, and recreational areas. Congestion can also result in the
concentration of pollutants in certain areas.
Most organisations have an impact on traffic in a number of ways, for example:
Staff commuting to and from work or travelling between work sites.
Delivery of goods and services to the organisation.
Shipping and distribution of products.
Visitors to the organisation, for example, shoppers or patients.
Options for minimising the impact of transport on the environment could include:
The use of new technologies and fuels, for example:
Liquefied petroleum gas, which has some, but limited environmental benefits.
Compressed natural gas, which has emissions benefits. However, refuelling facilities
need to be supplied by users, which will limit, in practice, the use of this as a
substitute fuel.
Bioethanol, which is manufactured from wheat or sugar beat and can be blended into
petrol.
Battery electric vehicles that have no emissions at the point of use, but have limited
performance.
Increased improvements in the fuel efficiency of conventional vehicles and vehicle
design to reduce weight.
Hydrogen vehicles London has its first hydrogen buses.
Improving fuel consumption through driver behaviour.
Management of delivery loads.
Introduction of travel plans to ensure the amount of traffic generated by an organisation
is reduced to the lowest possible level. For example by:
Using videoconferencing wherever possible.
Encouraging employees to car share, or to use alternative means of transport, such
as buses, trains and cycles by means of offering low cost season ticket loans, or
providing cycle and shower facilities at the office.

Environmental Monitoring
Monitoring and Control
Monitoring is not a control method. It is a means of demonstrating control and of enabling
failures to be recognised.
Many companies discharge a trade effluent to the sewer or to surface water. The regulatory
agencies may check these from time to time, but the checks cannot be considered to be a
control method by the company producing the effluent, since the results will only confirm
something that happened perhaps several days or even weeks before. Reliance on them for
confirmation of day-to-day controls is not a valid method of ensuring that there are no
compliance failures.
Monitoring Techniques
These include:
Routine visual inspection.
Instrumental monitoring.
Techniques available for instrumental monitoring include: continuous measurement, and grab
or spot testing.
The type of monitoring required will depend on the level of risk. A large incinerator, for
example, will have continuous monitoring (of which there is a permanent record), whereas a
chimney-stack where there is a low risk may only require monitoring on an annual basis.
Similar factors apply to water discharges.
Sampling Techniques
The first task in monitoring is to collect the sample, e.g. air, water, gas, so that it may be
analysed. There are a number of considerations here, with the decision of the approach to be
used depending on the risk level of the contaminant being assessed.
Location of the Sample
Samples may be taken in the general working atmosphere, or at a position close to the
contaminant generation.
Method of Analysis
The procedure may involve sampling and analysis in the same instrument, or taking the
sample collected and analysing it using different equipment, perhaps in a laboratory away
from the point of collection.
Duration of the Sampling
There are three approaches to this:
A spot or grab sample, which is a single sample collected instantaneously at a
particular location or in a limited area, and is representative only of that location or
area at that point in time. Such samples may be analysed on the spot by the same
instrument or be taken away for subsequent laboratory analysis. To obtain time-
averaged levels, a series of spot samples may be taken over the period in question,
but this is not necessarily accurate.
A better method of obtaining a time-weighted average is by collecting a sample over
a period and then analysing it.

A continuous monitored sample where a sample is collected continuously over a

period of time. In this case, the sample will be analysed during the monitoring,
either by the sampling instrument itself or by direct connection to another instrument
that carries out the analysis continuously.
Frequency of the Sampling
The frequency with which spot samples are collected will depend on the type of
contaminant and/or the results of the last sample. Thus, for example, if an initial sample
was borderline, further samples may be taken very frequently until a satisfactory reading
is obtained. On the other hand, if the initial sample showed that the atmosphere was
safe, no further readings would be necessary for a considerable period.
To obtain time-averaged levels, either a series of spot samples may be taken over the
period in question or spot readings may be taken from a continuous sample.
Environmental Training Needs

Failures in environmental systems or procedures can result in non-compliance with
environmental requirements, the risk of compensation payouts for environmental damage or
clean up, loss of time and a loss of reputation for the organisation. Helping people understand
the need for a course of action or behaviour can help motivate people and effect cultural and
behavioural change, particularly if they understand how their contributions can make a
difference. Training and communication are key to ensuring all employees understand their
responsibilities, are equipped with the right skills and knowledge, and are able to help the
organisation continue to meet its obligations and aims.
Where training is in relation to the environment, the organisations environmental objectives
provide a focus for a training-needs analysis. This stage is critical in ensuring the correct
training will be delivered to the right people. An analysis of the strategic and operational or
departmental training needs will be required. For example, the introduction of new processes
may require new skills, new waste handling and storage procedures may need to be
communicated, and particular departments may have greater environmental risks than others.
The individual training needs of employees, such as production managers, purchasing
managers and site operatives will also need to be established to identify the additional skills
and knowledge needed to effect change.
It is important that the training is evaluated, possibly through questions to trainees, testing
attendees knowledge and skills, or observing employee behaviour. Certainly establishing
whether the training achieved its objectives is critical, and will help to identify any necessary
changes to the delivery.

C O N T E N T S
1A12 Engaging the Workforce
HOW ENGAGEMENT AND CONSULTATION CAN CONTRIBUTE TO AN IMPROVED HEALTH AND SAFETY
CULTURE ............................................................................................................................................................. 3
ENGAGEMENT AND CONSULTATION .............................................................................................................................. 3
BENEFITS OF POSITIVE CONSULTATIVE PROCESSES .......................................................................................................... 4
ROLE OF CONSULTATION WITHIN THE WORKPLACE ......................................................................................... 6
ROLE OF SAFETY REPRESENTATIVES ............................................................................................................................ 6
SAFETY COMMITTEES ......................................................................................................................................... 8
FORMATION, FUNCTIONS AND CONSTITUTION OF A SAFETY COMMITTEE ................................................................................. 8
PROTOCOL ........................................................................................................................................................... 8
CONTRIBUTIONS OF EMPLOYEE REPRESENTATIVES/SAFETY COMMITTEE MEMBERS ..................................................................... 9
13 - IDipOSH A13 v2 160514

BSC International Diploma Element 3A | Developing a Positive Health and Safety Culture
Element 1A | Fundamentals of Health and Safety Management
Study Unit 1A12 | Engaging the Workforce
Learning Outcomes
Explain how engagement can contribute to an improved health and safety culture.
Describe the role of safety representatives.
Explain how safety committees can contribute to a positive health and safety culture.
Unit 8:

How Engagement and Consultation Can Contribute to

an Improved Health and Safety Culture
Engagement and Consultation
It is well accepted that those companies who perform the best are the companies who have
managed to involve their workforce in the business. We all like to feel involved and we feel
hurt or threatened when we are not. We respond well to change when we know that we were
in some way instrumental to that change evolving. We resist change when it has been imposed
on us and if we do not agree or understand why the change was brought about in the first
place.
To engage someone is to attract or involve that persons interest or attention. A key element of
engagement is to actively consult on ideas and initiatives.
Dictionary definitions clarifying consultation include the following:
To seek advice or information.
To consider in company.
To take counsel.
To give or receive professional advice.
To confer with two or more in counsel.
We all have one or more of those definitions in mind whenever we see the word consultation,
but what about positive consultation? Some managers believe that informing the workforce
after they have decided to introduce some new technology or downsize the company by
means of a redundancy programme is consultation. This is certainly not the case.
Consultation means to discuss (with others) a given agenda and to give or receive information
or advice about that agenda prior to taking any action or arriving at decisions about possible
courses of action. Positive consultation is based on a willingness on both sides - employer and
employee - to consider problems together, to make use of each other's knowledge and
expertise, and to apply that collective wisdom to the problem in hand.
The emphasis in positive consultation must be on prior or before the event consultation
followed by effective decision-making based on the collective expertise and knowledge drawn
from both sides. It is important that the employer consults in good time with any elected
representative of employee safety on the following matters:
The introduction of any new measure at a workplace which may substantially affect health
and safety.
Arrangements for appointing competent persons to assist the employer with health and
safety and for implementing procedures relating to serious and imminent danger.
Any health and safety information that the employer is required to provide.
The planning and organisation of health and safety training, and health and safety
implications of the introduction, or planned introduction, of any new technology.
We have said that consultation, to be positive, has to be a joint and prior to the event
enterprise. The above four points outline management's role in the consultative process, but
the representatives themselves must be active in promoting and encouraging a health and

safety culture amongst their colleagues. To do this they must keep themselves informed of
developments in health and safety, encourage co-operation between employees and the
employer in the promotion of any measures designed to improve health and safety in the
workplace, and above all lead by example.
Benefits of Positive Consultative Processes

Where such a positive consultation process takes place, improvements in the health and safety
culture can be seen.
Accident Reduction
According to UK research:
Workplaces with trade union safety representatives and joint health and safety
committees have significantly better accident records over 50% fewer injuries than
those with no consultation mechanism.
This was stated in an article by Reilly, Paci and Holl, Unions, Safety Committees and
Workplace Injuries, published in the British Journal of Industrial Relations in June 1995, and
quoted by the UK Government in its Revitalising Health and Safety Strategy Statement (June
2000). In the latter document, the UK Government states that:
Key to delivering health and safety in the workplace is effective engagement of the
workforce themselves; that in turn means effective representation of the workforce in
decisions relating to the safety regime. Ministers and the Health and Safety Executive
attach great importance to the role played by safety representatives in securing good
standards of health and safety.
Increased Productivity
Better consultation on health and safety issues can have a positive effect on employee
motivation. Workers feel more engaged with the workplace and can see their views being
sought and acted on. This improved motivation will often lead to increased productivity.
Many workplaces also discover that improved consultation on health and safety matters has
other, often unexpected, spin-off benefits. Because employees are being consulted on health
and safety and are being encouraged to raise health and safety issues with subsequent
discussion and resolution, they will feel able to raise other issues as well. Quality issues,
efficiency issues, waste minimisation ideas, all may be raised and then considered and acted
on by the organisation. In this way some significant improvements can be made which are
entirely incidental to health and safety, but have been discovered as a direct result of the
consultation process.
One other direct effect on productivity to be derived from the consultation process is the
improvement in working conditions, processes and welfare provision. Improvements in any of
these areas can lead to significant productivity increases, because workers are physically and
mentally better able to perform the work on a long-term basis in an efficient manner.
Consider two offices, for example. Both are poorly lit, poorly ventilated, with noisy office
machinery and poor welfare provision. Employees in both offices feel demotivated,
psychologically stressed and experience eyestrain, headaches and fatigue due to the poor
working conditions. If one of the companies begins to consult with its workforce and act on
the results, all of the various concerns and complaints will lead to an improvement in standards
and an inevitable improvement in staff health and well-being. Improved ventilation, lighting,
welfare provision and reduced nuisance noise levels lead to less stress, less fatigue, fewer
headaches and improvements in productivity, efficiency, quality, etc. This makes the company

more competitive than its counterpart and also improves staff retention levels, reduces
absenteeism and makes recruitment an easier process. (If you were shown each workplace
during a job interview, which one would you prefer to work in?)
Better Employee Understanding
Over two thirds of those who responded to the UK Governments Revitalising Health and Safety
initiative at the consultation stage said that workers would take greater personal responsibility
for their own health and safety and that of colleagues if they understood more about the
benefits of good practice and the potential consequences of irresponsible action. A remedy
often suggested was that workers should be encouraged to get involved with health and
safety matters in the workplace, and that there should be better training and support for safety
representatives.
When asked how workplace involvement in improving health and safety standards could be
encouraged, over half of those responding said that there should be greater consultation with
workers on health and safety issues.

Role of Consultation within the Workplace

Employers could choose to consult with their employees:
Directly, or
Through employee representatives elected by a group of employees.
Where consultation is through such employee representatives, it is important that the employer
informs the employees of the names of those representatives, and the group of employees
they represent. Employees should also be told when the employer discontinues consultation
with those employee representatives.
Discontinuation may occur when:
The employee representatives have informed the employer that they no longer intend to
represent their group of employees in health and safety consultations.
The employee representatives no longer work in the group of employees they represent.
The period of election has elapsed without the employee representatives being re-elected.
Employees and their representatives should be informed by the employer, if he decides to
change from consulting with the employee representatives to consulting with the employees
directly.
Where consultation is direct, employers must provide all information the employees will require
in order to participate fully in the consultations.
Role of Safety Representatives

In this section we will look at the functions and rights of safety representatives. It is important
that representatives of employee safety elected in workplaces are given certain roles and
responsibilities in order for them to fulfil their function.
Main Functions
The main function of a safety representative is to represent the employees in consultations
with the employer. Other functions should include the right: to carry out inspections of the
workplace; to look at the causes of accidents; to receive information from health and safety
inspectors; and to attend meetings of the safety committee.
Safety representatives should also have the right to ask for, and receive from the employer
certain information (see later) which relates to the place of work. Such information would
include records of accidents and information relating to hazards.
The employer should inform the safety representatives of the name(s) of the person(s)
nominated to act in an emergency, provide any health and safety information on the planning
and organisation of health and safety, any health and safety training, and the health and safety
consequences of new technology.
In the UK representatives do not have powers to stop either work or machinery; they may only
advise in such matters.
It is important that safety representatives notify the employer of their intention to carry out an
inspection, where it is reasonably practicable. It is also important that the employer provides
such facilities and assistance, including facilities for independent investigation and private
discussion, as the safety representatives may reasonably require.

Training, Time Off and Provision of Facilities

Employers should provide safety representatives with appropriate training and other relevant
facilities so as to enable the representatives to carry out their duties efficiently. Employers
should also meet all reasonable costs associated with the training, including travel and
subsistence. In addition, the employee representatives should be given paid time off to
perform their safety duties and to attend relevant training courses. Paid time off should also
be provided for candidates standing for election as employee representatives to allow them to
perform their duties as candidates.

Safety Committees
Formation, Functions and Constitution of a Safety Committee
The function of a safety committee is to keep under review the measures taken to ensure the
health and safety at work of the employees, and such other functions as may be prescribed.
The composition of the committee is a matter for the employer, although he should have at
least one safety representative on it and post a notice stating the composition of the
committee.
Membership of the safety committee should be decided following consultations between
representatives of the workforce and the management.
It is essential that a proper balance be achieved in the structure of the safety committee. It is
good practice to create a committee of workers that is made up of members both from the
management sector and from the shop-floor. It may be useful to elect ex officio members,
e.g. the medical officer or one of his staff, the works engineer, the production manager and the
safety practitioner.
The aim is to keep membership of the committee reasonably compact and to ensure a
mechanism exists for the consideration and implementation of recommendations by senior
management. Although not having executive power, the committee has a strong advisory role
to play in the management and resolution of an organisation's health and safety problems.
Protocol
Frequency of Meetings
The committee should meet on a regular basis.
Agendas
An agenda should be circulated in advance of meetings.
Items likely to be discussed at a safety committee meeting include:
Accident, incident and occupational illness data.
Review of the company safety policy.
Review of the safety management system.
Safety audits and reports.
Inspectors' reports.
Enforcement agency information and advice.
Reports from safety representatives.
Risk assessments.
Safety training initiatives.
Safety rules and procedures and their development.
Workplace inspections.
Health and safety communication and publicity.
Forthcoming legislation.

Quorums
There will sometimes be a minimum number of people required before the meeting is
valid. This is called the quorum. A meeting held with an insufficient number of
members attending is said to be inquorate. If a meeting is inquorate, it may be
postponed to a future date or the members who do attend may proceed and make
recommendations to be considered by the next quorate meeting.
Minutes
A safety committee should keep proper minutes which record what action is to be taken
and by whom.
Minutes from the meetings should be displayed in the workplace so that all employees
have access to them.
The minutes are a formal record of proceedings. Each set of minutes will be signed by
the Chairperson once accepted as a true and accurate record. Records of previous
minutes should be kept in order to provide future reference points as necessary.
Contributions of Employee Representatives/Safety Committee

Members
We outlined the functions of the safety representative and safety committee member earlier,
but how can you quantify their contribution to the management of health and safety in their
organisation? Each of them is concerned with similar problems in the workplace:
Health.
Safety.
Welfare.
The working environment.
Each safety representative and committee member must have some knowledge of current
legislation on health, safety and welfare, and be aware of the relevant standards relating to
such matters as noise, machine guarding, display screen equipment, manual handling, lighting,
cleanliness and maintenance, heating, canteen and toilet facilities, etc. The safety
representative is probably better informed on these matters than the average safety committee
member and has an active role in representing the day-to-day interests of his members. The
safety committee member has more of a reactive role in that he/she responds to incidents,
accidents and reported problems usually some time after the event. The safety committee
member probably attends meetings of the committee on a monthly or even quarterly basis
during which he/she will examine incident and accident reports, hazard reports arising from
safety inspections and the results of investigations into accidents and dangerous occurrences.
Other issues, such as results of tests for noise, toxicity, etc. may also be examined and
discussed. Very often the company safety policy arrangements will include instructions to be
followed by employees who wish to complain about some aspect of health and safety. Bear in
mind that the safety committee is a forum for discussion and for the resolution of problems on
which the safety representative has failed to reach agreement with line management. The
normal chain of events would be as follows:
Employee complains to line management:
Problem resolved no further action.
Problem remains unresolved referred to safety representative.

Safety representative complains to line management on employee's behalf:

Problem resolved no further action.
Problem remains unresolved referred to safety committee.
Safety committee discusses problem:
Matter resolved - no further action.
Matter unresolved - referred to senior management by resolution of committee.

Employee complains to line management
Yes
Problem resolved? No further action
No
Safety rep. complains to line management on employees behalf
Yes
No
Matter discussed by safety committee
Yes
No
Matter referred to senior management
Employee Complaint Sequence

The safety policy will also advise that urgent health and safety matters must not be delayed
until the next meeting of the safety committee but referred immediately to senior management
by the safety representative. It is clear from these arrangements that the safety
representative and safety committee member have complementary roles which, if followed
correctly, play a very effective part in the good health and safety management of any
organisation.

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International Diploma in Occupational

Safety and Health

Footer if needed 8.5

Element 1A Fundamentals of Health and Safety Management

Preventing Accidents 1A1

Element 1B Applied Health and Safety Management

01 - IDipOSH A1 v2 160514 British Safety Council

Element 1A: Fundamentals of Health and Safety Management

Study Unit Title Page

1A1 Preventing Accidents

ACCIDENTS, INCIDENTS AND NEAR MISSES ...................................................................................................... 3

BSC International Diploma | Unit 1

Element 1A: Fundamentals of Health and Safety Management

Study Unit 1A1 | Preventing Accidents

1.A.1.2 Explain why accidents occur

1.A.1.3 Explain the costs of accidents

1.A.1.4 Explain the need to prevent accidents

1.A.1.5 Implement an accident prevention strategy

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Accidents, Incidents and Near Misses

Definition of Accident, Incident and Near Miss

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Serious or disabling injury

Minor injuries (first-aid injuries)

600 Accidents with no damage - near miss accidents

Birds Accident Ratio Triangle

Other researchers have produced similar accident ratio triangles:

Fatal Major or lost time

Over-3-day 300 No injury accidents

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What Causes Accidents

Accident Factors Description

Recklessness, stubbornness, greed and other

Inherited or acquired faults of person such as

Unsafe performance of persons such as: standing

Events such as falls of persons, striking of persons by

Fractures, lacerations, etc. are injuries that result

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Lack of Basic Immediate Accident Loss

Accident Domino Sequence

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Costs Arising from Accidents

Considering Outcomes of events

no property damage property damage

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Employers liability Business interruption I

D Public liability Product liability N

E Sick pay Investigation costs R

C Repairs Loss of goodwill E

Hiring and training of replacement T

Costs Associated with Accidents and Losses

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Accident Cost Analysis

Accident Cost Sheet

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Cost Benefit Graph

Risk Control Cost Decisions