NEBOSH Unit IG1

ten
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RRC Study Text
NEBOSH
International General Certificate in
Occupational Health and Safety
Unit IG1: Management of Health and Safety
September 2019

NEBOSH INTERNATIONAL GENERAL CERTIFICATE
IN OCCUPATIONAL HEALTH AND SAFETY
UNIT IG1
Introduction to the Certificate Course
Introduction to Unit IG1
Element 1: Why We Should Manage Workplace Health and Safety
Element 2: How Health and Safety Management Systems Work and What They Look Like
Element 3: Managing Risk – Understanding People and Processes
Element 4: Health and Safety Monitoring and Measuring
Unit IG1: Final Reminders
Suggested Answers to Study Questions

Contributor
Dr J Phelpstead, BSc, PhD, CMIOSH
© RRC International
All rights reserved. RRC International is the trading name of The
Rapid Results College Limited, Tuition House, 27-37 St George’s
Road, London, SW19 4DS, UK.
These materials are provided under licence from The Rapid Results
College Limited. No part of this publication may be reproduced,
stored in a retrieval system, or transmitted in any form, or by
any means, electronic, electrostatic, mechanical, photocopied or
otherwise, without the express permission in writing from RRC
Publishing.
For information on all RRC publications and training courses, visit:
www.rrc.co.uk
RRC: IG1.1
ISBN for this volume: 978-1-912652-26-6
First edition September 2019
ACKNOWLEDGMENTS
RRC International would like to thank the National Examination
Board in Occupational Safety and Health (NEBOSH) for their co-
operation in allowing us to reproduce extracts from their syllabus
guides.
This publication contains public sector information published by
the Health and Safety Executive and licensed under the Open
Government Licence v.3 (www.nationalarchives.gov.uk/doc/open-
government-licence/version/3).
Every effort has been made to trace copyright material and obtain
permission to reproduce it. If there are any errors or omissions, RRC
would welcome notification so that corrections may be incorporated
in future reprints or editions of this material.
Whilst the information in this book is believed to be true and
accurate at the date of going to press, neither the author nor the
publisher can accept any legal responsibility or liability for any errors
or omissions that may be made.

Contents
Unit IG1
Introduction to the Certificate Course 1
Introduction to Unit IG1 6
Element 1: Why We Should Manage Workplace Health and
Safety
Morals and Money 1-3
Introduction to Key Terms 1-3
The Moral Reason for Managing Health and Safety 1-3
The Financial Reason for Managing Health and Safety 1-4
Regulating Health and Safety 1-7
Legal Reasons for Managing Workplace Health and Safety 1-7
The International Framework 1-7
Employers’ Responsibilities 1-8
Workers’ Responsibilities and Rights 1-9
The Role of Enforcement Agencies 1-9
Consequences of Non-Compliance 1-10
Other International Standards 1-10
Sources of Information 1-11
Who Does What in Organisations 1-12
The Employer 1-12
The Shared Responsibilities of Joint Occupiers of Premises 1-14
Contractor Management 1-15
Summary 1-19
Exam Skills 1-20

Contents
Element 2: How Health and Safety Management Systems
Work and What They Look Like
Occupational Health and Safety Management Systems 2-3
Introduction to Occupational Health and Safety Management Systems 2-3
ILO-OSH 2001: The ILO Occupational Safety and Health Management System 2-4
ISO 45001: The Occupational Health and Safety Management System Standard 2-5
Making the Management System Work – The Health and Safety Policy 2-8
Introduction to Health and Safety Policies 2-8
The Three Parts of a Health and Safety Policy 2-9
Reviewing Policy 2-14
Summary 2-16
Exam Skills 2-17

Contents
Element 3: Managing Risk – Understanding People and
Processes
Health and Safety Culture 3-3
Relationship Between Health and Safety Culture and Performance 3-4
Indicators of Health and Safety Culture 3-5
The Influence of Peers 3-7
Improving Health and Safety Culture 3-8
Management Commitment and Leadership 3-8
Competent Workers 3-9
Effective Communication 3-9
Co-operation and Consultation 3-12
Training 3-14
Human Factors which Influence Safety-Related Behaviour 3-17
Organisational, Job and Individual Factors 3-17
Risk Assessment 3-22
Introduction to Key Words and Phrases 3-23
Risk Profiling 3-25
The Purpose of Risk Assessment 3-27
The Five Steps of Risk Assessment 3-28
Special Cases and Vulnerable Workers 3-42
The Management of Change 3-46
The Impact of Change 3-46
Managing the Impact of Change 3-47
Safe Systems of Work 3-49
Introduction to Safe Systems of Work 3-49
Worker Involvement 3-50
Written Procedures 3-50
Technical, Procedural and Behavioural Controls 3-50
Developing a Safe System of Work 3-51
Permit-to-Work Systems 3-53
Operation and Application 3-54
Typical Uses of Permit Systems 3-56
Emergency Procedures and First Aid 3-59
The Need for Emergency Procedures 3-59
Emergency Procedure Arrangements 3-60
First-Aid Requirements 3-61
Summary 3-65
Exam Skills 3-67

Contents
Active and Reactive Monitoring 4-3
Introduction to Active and Reactive Monitoring 4-3
Active Monitoring 4-4
Safety Inspections, Sampling and Tours 4-5
Arrangements for Active Monitoring 4-7
Reactive Monitoring 4-9
Investigating, Recording and Reporting Incidents 4-12
Introduction to Incident Investigation 4-12
Types of Incident 4-13
Basic Investigation Procedures 4-16
Recording and Reporting Requirements 4-21
Reporting of Events to External Agencies 4-23
Health and Safety Auditing 4-25
Introduction to Auditing 4-25
The Stages of an Audit 4-27
External and Internal Audits 4-29
Reviewing Health and Safety Performance 4-30
Purpose of Regular Reviews 4-30
Issues to be Considered in Reviews 4-31
Outputs from the Reviews 4-32
Summary 4-33
Exam Skills 4-34

Introduction
Unit IG1: Introduction© RRC International 1
Introduction to the Certificate Course
Course Structure
This study text has been designed to provide you with the core knowledge needed to successfully complete Unit 1 of
the NEBOSH International General Certificate in Occupational Health and Safety, as well as providing a useful overview
of workplace health and safety management. It follows the structure and content of the NEBOSH syllabus.
MORE...
For more detailed information about the syllabus, visit the NEBOSH website:
www.nebosh.org.uk
NEBOSH International General Certificate in Occupational Health and Safety
Unit IG1: Management of Health and Safety – Assessed by the Question Paper
Element 1 Why We Should Manage Workplace Health and Safety
Element 2 How Health and Safety Management Systems Work and What They Look Like
Element 3 Managing Risk – Understanding People and Processes
Element 4 Health and Safety Monitoring and Measuring
Unit IG2: Risk Assessment – Assessed by the Practical Assessment
Element 5 Physical and Psychological Health
Element 6 Musculoskeletal Health
Element 7 Chemical and Biological Agents
Element 8 General Workplace Issues
Element 9 Work Equipment
Element 10 Fire
Element 11 Electricity
NEBOSH International General Certificate in Occupational Health and Safety
Unit IG1
Management of
Health and Safety
Unit IG2
Risk Assessment
NEBOSH International
General Certificate in
Occupational Health
and Safety
+ =

Introduction
Unit IG1: Introduction © RRC International2
The Assessments
To complete the qualification, you need to pass one formal written question paper (the Unit IG1 exam) and a practical
assessment.
The formal written exam tests knowledge covered in Elements 1 to 4 (Unit IG1). It does not test information covered
in Elements 5 to 11 (Unit IG2).
The written exam is 2 hours long and consists of 11 compulsory questions – each of which requires a full written answer.
Further information and help on the written exam is given in this study text in the Introduction to Unit IG1, the Exam
Skills sections at the end of Elements 1 to 4 and in the Unit IG1: Final Reminders section.
The practical assessment tests knowledge covered in the Unit IG2 study text (Elements 5 to 11).
This requires you to carry out a risk assessment in a workplace.
Further information and help on the practical assessment is given in the Unit IG2 study text in the Introduction to Unit
IG2, the Practical Assessment Guidance sections at the end of Elements 5 to 11 and in the Unit IG2: Final Reminders
section.
HINTS AND TIPS
As you work your way through this book, always remember to relate your own experiences in the workplace
to the topics you study. An appreciation of the practical application and significance of health and safety will
help you understand the topics.

Introduction
Learning Outcomes and Assessment Criteria
Learning Outcome
The learner will be able to:
Related Content Assessment Criteria
Assessment
(QP = Question Paper,
P = Practical)
Justify health and safety
improvements using
moral, financial and legal
arguments.
1.1–1.2 1.1 Discuss the moral, financial and
legal reasons for managing health and
safety in the workplace.
1.2 Explain how the law works and the
consequences of non-compliance.
QP
Advise on the main duties
for health and safety in
the workplace and help
their organisation manage
contractors.
1.3 1.3 Summarise the main health and
safety duties of different groups of
people at work and explain how
contractors should be selected,
monitored and managed
QP
Work within a health and
safety management system,
recognising what effective
general policy, organisation
and arrangements should
look like.
2.1–2.2 2.1 Give an overview of the elements
of a health and safety management
system and the benefits of having a
formal/certified system.
2.2 Discuss the main ingredients of
health and safety management systems
that make it effective – general policy,
organisation, arrangements.
QP
Positively influence health
and safety culture and
behaviour to improve
performance in their
organisation.
3.1–3.3 3.1 Describe the concept of health and
safety culture and how it influences
performance.
3.2 Summarise how health and safety
culture at work can be improved.
3.3 Summarise the human factors
which positively or negatively influence
behaviour at work in a way that can
affect health and safety.
QP
Do a general risk assessment
in their own workplace –
profiling and prioritising
risks, inspecting the
workplace, recognising a
range of common hazards,
evaluating risks (taking
account of current controls),
recommending further
control measures, planning
actions.
3.4
5–11
3.4 Explain the principles of the risk
assessment process.
5–11 Produce a risk assessment of
a workplace which considers a wide
range of identified hazards (drawn
from Elements 5–11) and meets best
practice standards (‘suitable and
sufficient’).
QP
P

Introduction
Learning Outcome
The learner will be able to:
Related Content Assessment Criteria
Assessment
(QP = Question Paper,
P = Practical)
Recognise workplace
changes that have
significant health and safety
impacts and effective ways
to minimise those impacts.
3.5 3.5 Discuss typical workplace changes
that have significant health and safety
impacts and ways to minimise those
impacts.
QP
Develop basic safe
systems of work (including
taking account of typical
emergencies) and knowing
when to use permit-to-work
systems for special risks.
3.6–3.8 3.6 Describe what to consider when
developing and implementing a safe
system of work for general activities.
3.7 Explain the role, function and
operation of a permit-to-work system.
3.8 Discuss typical emergency
procedures (including training and
testing) and how to decide what level
of first aid is needed in the workplace.
QP
Take part in incident
investigations.
4.2 4.2 Explain why and how incidents
should be investigated, recorded and
reported.
QP
Help their employer to
check their management
system effectiveness –
through monitoring, audits
and reviews.
4.1, 4.3–4.4 4.1 Discuss common methods and
indicators used to monitor the
effectiveness of management systems.
4.3 Explain what an audit is and why
and how they are used to evaluate a
management system.
4.4 Explain why and how regular
reviews of health and safety
performance are needed.
QP
These learning outcomes and assessment criteria are published by NEBOSH in the syllabus guide for the course.
Keeping Yourself Up to Date
The field of health and safety is constantly evolving and, as such, it will be necessary for you to keep up to date with
changing legislation and best practice.
RRC International publishes updates to all its course materials via a quarterly newsletter, which alerts students to key
changes in legislation, best practice and other information pertinent to current courses.
Please visit www.rrc.co.uk/news-resources/newsletters.aspx to access these updates.

Introduction
Other Publications
Study Aids
• NEBOSH International General Certificate in Occupational Health and Safety Revision Guide
• RRC Health and Safety Law Step Notes
• RRC Occupational Health and Hygiene Step Notes
• RRC Quality Management Step Notes
• RRC Environmental Step Notes
Further Your Studies
• NEBOSH International Diploma in Occupational Safety and Health – Unit IA: Managing Health and Safety
• NEBOSH International Diploma in Occupational Safety and Health – Unit IB: Hazardous Substances/Agents
• NEBOSH International Diploma in Occupational Safety and Health – Unit IC: Workplace and Work Equipment
Safety
RRC International is continually adding to its range of publications. Visit www.rrc.co.uk/publications.aspx for a full
range of current titles.

Introduction
Introduction to Unit IG1
Welcome to the first part of your NEBOSH Certificate course.
Unit IG1 has four chapters or ‘elements’:
• Element 1: contains an explanation of the reasons for managing health and safety effectively, including an
examination of legal standards and an introduction to the principles of contractor management.
• Element 2: introduces the idea of health and safety management systems and how these are set out in
organisational policies.
• Element 3: deals with a wide range of topics that sit at the core of effective health and safety management.
Topics include health and safety culture, how this culture can be improved, risk assessment, the development of
safe systems of work, and emergency procedures and first aid.
• Element 4: contains an explanation of active and reactive monitoring, accident reporting and investigation, and
health and safety auditing.
The common theme that runs through these elements is the issue of management. Technical details of specific
hazards or hazard groups – such as machinery, noise, hazardous chemicals, fire, etc. – are described in Unit IG2 of this
course.
These first four elements are assessed by a question paper (the Unit IG1 exam).
The Exam
The formal assessment for the Certificate course has one written exam and a practical assessment.
The written exam tests knowledge covered in Elements 1 to 4 (Unit IG1 covered by this first study text). It does not
test information covered in Elements 5 to 11 (Unit IG2 covered by the second study text).
The exam is conducted under exam conditions and there are strict rules that apply. You will not have access to any
study materials or electronic devices of any sort. Talking is not permitted. Start and finish times are strictly adhered
to and the exam will be invigilated. In other words, this is a standard academic exam similar to the type of exam that
most of us have experienced at school, college and university.
The written exam is 2 hours long and consists of 11 compulsory questions, each of which requires a full written
answer.
The first question is a long-answer question that is worth 20 marks. The recommendation is that you spend 25–30
minutes answering this question.
The remaining 10 questions (Questions 2 to 11) are short-answer questions each worth 8 marks. It is recommended
that you spend the remaining 1 hour 30 minutes answering all of these questions; which breaks down to 8–9 minutes
per question.
The total number of marks available in the exam is 100 (20 + (10 × 8)).
To pass the exam you have to get 45/100 or more (i.e. 45%).
If you do not achieve the minimum pass mark of 45%, you will receive a referral and will have to retake the exam.

Introduction
This means you may resit the exam provided you do so withinfive years of passing the Unit IG2 practical assessment.
You may resit as many times as you want within that five-year timescale.
You have to pass the exam (and the practical assessment) in order to achieve the Certificate qualification.
Don’t worry about the details of the exam for now. We will come back to it later in this Introduction. For now it is
simply worth bearing in mind, as you are reading through your Unit IG1 course materials and studying the various
topics and ideas, that there is an assessment at the end and this assessment takes the form of an exam.
When you study Unit IG2 of the course, you are assessed by a practical assessment. This requires you to carry out
a risk assessment exercise in your workplace on a wide range of hazards identified. This can be done over a period
of time with full access to your course materials and other sources of information. There are rules that govern this
assessment but it is not done under exam conditions. Further information on the practical assessment is given in the
Unit IG2 study text.
Study Skills
As I am sure that you are keen to start your studies, you probably want to skip this introductory chapter completely
and get down to some real work.
Before you begin reading Element 1, please stop and take a moment. Ask yourself:
• Have I organised myself to study?
• Have I thought about when I will study?
• Do I know how to study?
• Do I know how to revise for an exam?
These questions are important because if you simply start looking at Element 1, you may end up wasting a lot of time
going over the same topics for no good reason.
Get Organised
Gather together all of the things that you might need. This will include obvious items like your book or electronic
device (if you’re studying the text on a screen), a notepad and a pen. But it will also include other things such as index
cards (to put key notes on as a revision aid), highlighter pens, drinking water and perhaps something to play music on
(if you like to study to music).
Make sure that all of these items are together in one place and readily available so that when you are in the mood to
study, you can sit down and get going without delay.
When to Study
Think about the amount of time that you have available to do the work that you need to do. Think about which
days of the week can be used for study. Think about what times during those days are free. Think about the other
demands that you have on your time, such as work and family commitments.
You must plan your study time in and around all of these things. If you fail to plan, then you plan to fail.
At the same time think about what time of day suits you best for studying. Some people are morning larks – they like
to be up and at it early. Other people are night owls and study best late in the evening or even past midnight. This
needs to be factored into your planning.
And finally, think about rest and relaxation. If you work too hard, your stress levels might increase and this can have a
negative impact on your ability to study effectively. Ultimately this might lead to a poor performance in the exam. So
make sure that you factor in time off for recovery.

Introduction
How to Study
Studying just involves reading the course materials, right?
Wrong.
Reading text on the page or screen is one part of the process. But effective studying is much more than just reading.
Effective studying involves:
• Thinking about what you are reading as you are reading it.
• Comparing what you are reading with your own personal experiences and pre-existing knowledge.
• Identifying gaps in your existing knowledge.
• Reflecting on what you have read at some later stage.
• Gaining an understanding of the topics and ideas.
• Developing your memory so that the information is available for easy recall.
It is about building a mental framework, and inserting various topics and ideas into that framework to create a
coherent structure that makes sense to you, that you can remember and explain to somebody else.
Think of study as doing a jigsaw puzzle. How do you do a jigsaw puzzle? You start with the corners. Then you do the
edges. Then you do the easy and obvious bits in the middle. And you finish with the blue sky that is poorly defined
and where one piece looks just like any other.
No-one does a jigsaw puzzle by starting at the top left corner and then doing one puzzle piece at a time from left to
right and then down to the next row and along.
You are a human being; not an ink-jet printer.
So when you are studying, try this approach:
• Skim through the book and dip in and out to get a general overview of the structure of Unit IG1 and the topics
covered. Jot down a few notes on a single piece of paper that summarises the overall structure and key content
from this quick skim.
• Take a break. Go and do something else for a while. Or end this study period.
• Have a look at Element 1 and start reading from the beginning. When you get to something that seems a little
hard or awkward, jump over that section and re-engage at the next bit that makes sense. Make very brief notes of
the content that you are comfortable with. Try to keep these notes short. Capture the topics and ideas in single
words or short phrases if you can. Do not re-write everything that you read.
• Take a break after 40 minutes or so. Don’t study for long periods at a time as it is not productive. Concentration,
understanding and retention all drop significantly if you study for periods longer than an hour.
• Continue in this way until you have looked over all four elements. Take frequent breaks as outlined above. Do not
get bogged down with the difficult detail.
• Now go back to the start of Element 1 and re-read what you have already looked at. As you do this, look at your
summary notes. Correct any mistakes. Add vital information that you missed out the first time. But do not write
too much. Try to condense and summarise. Think about making some revision aids like the ones that are outlined
later in this section.
• When you come to one of the more difficult subject areas that you skipped over before, keep reading. Step up
your focus and concentration and break the topic down. Skip over the really hard parts if you have to but try to
work through it more.

Introduction
• Take breaks as before. Have short periods of study broken up with gaps to give your brain a rest or a distraction.
• Carry on studying all four elements in this way.
As you work through, try to consolidate and build on the things that you know and reduce the extent of the areas
that you find more difficult.
Remember what we are aiming to do here – get a general idea of what the picture is, then do the corners, then the
edges, then the easy bits in the middle, then the sky.
Revising for the Exam
One of the reasons for including information about the exam here is that it is essential that you think about the
exam early on so that you start making revision notes and aids as a normal part of your study routine. Here are some
suggestions about how you can do this:
• Don’t just read the book.
• Read the book and make condensed notes.
• Read the book and highlight key words and ideas on the page.
• Read the book and draw a mind map.
• Record some audio notes about what you have just read.
• Make a large poster that summarises a topic.
• Make some flash cards using index cards.
• Write key ideas on sticky notes and stick them everywhere.
Build this into your study routine so that you are doing these things as you read through the elements. It gives you an
activity to do while you are studying. It will help you focus because you have to concentrate to decide what to write. It
will also help you when you are reviewing your study notes (see below).
Your ability to retain information drops off quite quickly after a period of study. But this drop in retention can be
minimised by leaving a short gap and then briefly reviewing what you have just studied. This review should be quick,
perhaps just a few minutes. And it should come about 10 minutes after you have finished your study period. If you
repeat this review after 24 hours then it improves retention even more. And if the review is repeated again after a few
days, it tops up your memory and helps even more.
Something to aim for:
• Study for 40 minutes or so.
• Take a 10-minute break.
• Review your study notes (<5 minutes).
• A day later, review your study notes (<5 minutes).
• A few days later, review your study notes (<5 minutes).
In other words, repetition is the key to building rapid future recall. If you repeatedly review topics and ideas over time,
that information will be much more readily available to you when you are sat in the exam.

Introduction
Basic Exam Skills
In the exam, it is very important to answer the question that is being asked. To do this you have to understand the
question. If you interpret a question wrongly and provide an answer for the question that you think is in front of you,
then you will not get the marks.
To help you understand what a question is asking, let’s look at a step-by-step approach that you can adopt when
answering exam questions:
• Step 1: Read the question – the first step is to read the question carefully. Take care with this as it is very easy to
misread words in the rush to get writing. If the question has several parts then read all parts – there may be things
in the later parts which help you understand the first part.
• Step 2: Highlight the key words – the key words include the instruction that has been used in the question
and other important words that direct the question. It is a good idea to highlight or underline these words on the
question paper to make them stand out.
• Step 3: Look at the marks – each question, or part of a question, will have the maximum number of marks
indicated in brackets. For each mark to be awarded, the examiner will expect a piece of information. The marks
available give an indication of how much you will need to write and how long you should spend on this part of
each question.
• Step 4: Re-read the question – check that you have properly interpreted and understood the question. There
are no marks available for answering the question that you think you see rather than the one that the examiner
has asked you.
• Step 5: Draw up a plan – this can take the form of a list or a mind map that helps you unload information
quickly. Make sure that you have enough facts (or points) in your answer to gain the total available marks. Jotting
down a plan can help you remember key issues. The plan is also your aide-mémoire to keep you on track as you
start to write your full answer.
When it comes to the exam, make sure that you indicate clearly which is your answer plan and which is your final
answer, so that the examiner can be sure to mark the correct one.
When writing your answer, you must ensure that the structure of the question appears in the structure of your
answer. So, for example, if the question is split into part (a) and part (b), your answer must follow the same structure.
Answer part (a) and label it clearly for the examiner as the answer to part (a). Then leave a gap (one line will do),
answer part (b) and label it clearly. The examiner must be able to see the two separate parts of your answer and it
must be clear to them which parts are the answer to which. One long paragraph of text that contains all parts of the
answer jumbled up together cannot win full marks, even if all of the relevant information is there.
The above exam technique is tried and tested and is the best way to approach each exam question.
All the way through the exam, you must also remember to monitor the time.
If you allocate 25 minutes to answer Question 1 and 8 minutes to answer each of the other questions, this will leave
an accumulated time of 15 minutes at the end to review all of your answers.
More information and help on the exams is presented in the Exam Skills sections at the end of Elements 1–4 and in
the Unit IG1: Final Reminders section.
Enjoy Unit IG1 of the course!

Unit IG1 – Element 1: Why We Should Manage Workplace Health and Safety© RRC International 1-1
Learning Objectives
Once you’ve studied this element, you
should be able to:
1 Discuss the moral, financial and legal
reasons for managing health and safety in
the workplace.
2 Explain how health and safety is regulated
and the consequences of non-compliance.
3 Summarise the main health and safety
duties of different groups of people at
work.
4 Explain how contractors should be
selected, monitored and managed.
Element 1
Why We Should Manage Workplace Health and Safety

Unit IG1 – Element 1: Why We Should Manage Workplace Health and Safety © RRC International1-2
Contents
Morals and Money 1-3
Introduction to Key Terms 1-3
The Moral Reason for Managing Health and Safety 1-3
The Financial Reason for Managing Health and Safety 1-4
Regulating Health and Safety 1-7
Legal Reasons for Managing Workplace Health and Safety 1-7
The International Framework 1-7
Employers’ Responsibilities 1-8
Workers’ Responsibilities and Rights 1-9
The Role of Enforcement Agencies 1-9
Consequences of Non-Compliance 1-10
Other International Standards 1-10
Sources of Information 1-11
Who Does What in Organisations 1-12
The Employer 1-12
The Shared Responsibilities of Joint Occupiers of Premises 1-14
Contractor Management 1-15
Summary 1-19
Exam Skills 1-20

1.1Morals and Money
Morals and Money
IN THIS SECTION...
• The three main reasons why an organisation has to manage health and safety are: moral, legal and financial. In this
first section we look at the two of these; the moral and financial reasons.
• The moral reason relates to the moral duty that one person has to another. Many people are killed, injured or
made sick by their work. This harm is morally unacceptable and society as a whole demands that people are safe
while at work.
• The financial reason relates to the fact that accidents and ill health cost money. When an accident occurs, there
will be direct and indirect costs as a result of that event. Some of these losses can be insured against; many of
them will be uninsured.
Introduction to Key Terms
The topic of health and safety makes use of key words and phrases. Some important definitions are:
Health
The absence of disease or ill health. For example, asbestos creates a health risk because if you inhale asbestos dust you
may contract lung cancer at some stage later in life (perhaps 20 or 30 years after you inhaled the dust). Health relates
not only to physical ill health but also to psychological ill health (e.g. exposure to extreme stress can lead to acute
mental collapse or a ‘nervous breakdown’).
Safety
The absence of risk of serious personal injury. For example, walking under a load suspended from a crane during a
lifting operation is not safe because if the load falls, serious personal injury or death could result. Staying out of the
danger area results in safety.
Welfare
Access to basic facilities such as toilet facilities, hand-wash stations, changing rooms, rest rooms, places where food
can be prepared and eaten in relatively hygienic conditions, drinking water and basic first-aid provision.
The Moral Reason for Managing Health and Safety
The following global statistics have been published by the International Labour Organization (ILO) as part of their
SafeWork programme (you do not need to remember the actual figures; we give them to highlight the scale of the
problem):
• There are over 350,000 work-related fatal accidents reported each year
– half of these occur in agriculture.
• Over 2.75 million people die every year from occupational accidents
and occupational diseases. Around 2.4 million of these deaths are
attributable to occupational diseases.
• There are over 270 million occupational accidents and 160 million
occupational diseases recorded each year.
• 4% of the world’s gross domestic product is lost each year through the
cost of injury, death, absence, etc. Fishing is a high-risk sector

1.1 Morals and Money
Other high-risk sectors are the construction and fishing industries.
These figures relate to the number of accidents and cases of disease which are reported and recorded globally. Not
everything is reported or recorded, however, so the real figures are almost certainly higher.
MORE...
Information on global occupational safety and health statistics can be found on the ILO website at:
www.ilo.org/global/topics/safety-and-health-at-work
These statistics indicate that a huge amount of pain and suffering is experienced by people who simply go to work to
earn a living. The numbers indicate the scale of the problem. What the numbers don’t do is tell the individual stories.
When health and safety is not managed properly, people can get killed and injured in gruesome ways or suffer terrible
diseases that have a massive impact not only on them, but also their dependants, families, friends and colleagues. This
suffering is morally unacceptable.
Employers (through management) control the premises, equipment and working practices used by workers to
produce the goods and services that the employer requires. Employers, therefore, have a moral responsibility to
provide safe and healthy working conditions.
In simple terms, the moral reason can be summarised as, ‘it’s the right thing to do’. It is right and proper that workers
go to work to earn a living and return home in the same state, not suffering from ill health or serious physical injury.
People expect this as a fundamental right. Workers expect it. Society expects it. Over time, this societal expectation
has been translated into legal standards. In this way, the moral argument drives legislation.
The Financial Reason for Managing Health and Safety
Personal injury accidents, worker ill health and property damage cost money. When an accident or ill-health occurs
there will be direct and indirect costs associated with that event. Some of these losses can be insured against, but
many cannot. Accidents and ill health can significantly affect the financial resources of an organisation and, in some
cases, can put an organisation out of business. This is the financial argument for managing health and safety. It is
sometimes referred to as the business case because it focuses on money.
When an accident occurs, the organisation will face both direct and indirect costs:
• Direct costs – the measurable costs arising directly from the accident.
• Indirect costs – those which arise indirectly as a consequence of the event. Indirect costs are often difficult to
quantify precisely and may be hard to identify.
Examples of direct costs:
• First-aid treatment.
• Worker sick pay.
• Repairs to, or replacement of, damaged equipment and buildings.
• Lost or damaged product.
• Lost production time while dealing with the injury.

1.1Morals and Money
Examples of indirect costs:
• Reduction in staff morale (which impacts on productivity, quality and efficiency).
• General difficulties in recruiting and retaining staff as a result of the accident.
• Loss of goodwill of customers following delays in production and fulfilling orders.
• Damage to public image and business reputation.
• Damage to industrial relations, perhaps leading to industrial action (e.g. strikes).
From the examples given you can see that, though more difficult to identify, the indirect costs associated with a
workplace accident can be very large indeed.
Insured and Uninsured Costs
It is usually possible to take out insurance to cover some of the losses
that might foreseeably occur to an organisation. In most countries it
is compulsory to take out employers’ liability insurance so that if a
worker is killed or injured at work there is insurance in place to pay that
worker (or their dependants) compensation and to meet the employer’s
civil costs. As well as meeting a legal requirement, this insurance may
provide some comfort to workers, knowing that in the event of an injury
the employer is insured to compensate them financially. Similarly, it is
usual for an employer to insure their premises and stock against fire.
However, it is not possible to insure against all losses. Some losses are
uninsurable by their very nature. For example, you cannot take out an
insurance policy to pay money should you be prosecuted and fined in
the criminal law courts, as it would no longer act as an effective deterrent. Other losses cannot be insured against
because the loss is too difficult to quantify, or because the insurance would be too expensive to consider. For example,
organisations cannot insure themselves against loss of revenue if their business reputation is damaged as a result
of a major workplace accident. There is no law that prevents this type of insurance, but it is simply not offered by
insurance providers.
Many of the direct and indirect costs associated with workplace accidents are uninsured for these reasons. The British
regulator, the Health and Safety Executive (HSE) have estimated that uninsured losses are between 8 and 36 times
greater than insured losses. They provide a rough average figure of 10 times. This is sometimes referred to as the
‘uninsured loss iceberg’; because the greater losses are unseen below the waterline (and are quite capable of sinking
the ship).
Fire can be insured against

1.1 Morals and Money
TOPIC FOCUS
Examples of possible insured and uninsured losses include:
Insured Costs Uninsured Costs
Damage to plant, buildings and equipment.
Compensation paid to workers.
Medical costs.
Legal costs associated with a legal claim for
compensation.
Production delays or down time.
Loss of raw materials due to accidents.
Accident investigation time.
Criminal fines and legal costs.
Sick pay for injured workers.
Overtime to make up for lost production.
Hiring and training new employees.
Loss of business reputation.
It is worth remembering that, even if a loss is covered by insurance, most insurance policies come with an excess
and with a limit. The excess is the amount of money that will be payable by the organisation before any payment is
forthcoming from the insurer (e.g. the first £5,000 of any claim). The limit is the cap above which the insurer will not
pay (e.g. if you have £2 million building and contents fire insurance but it costs £3 million to rebuild and re-stock your
premises, then the insurer will only pay the first £2 million, and the remaining sum is uninsured).
MORE...
The HSE website provides helpful guidance on the business case for health and safety:
www.hse.gov.uk/business
STUDY QUESTIONS
1. Define:
(a) Health.
(b) Safety.
(c) Welfare.
2. Explain the three reasons why an organisation should manage health and safety.
3. Give three insured costs and three uninsured costs that might arise from a workplace accident.
(Suggested Answers are at the end.)

1.2Regulating Health and Safety
Regulating Health and Safety
IN THIS SECTION...
• The legal reason for managing workplace health and safety relates to the framework of laws that govern the
conduct of businesses and organisations.
• The International Labour Organization (ILO) has set out Convention C155 and Recommendation R164 which
apply to workplace health and safety standards.
• Most countries and regions have established legal standards that meet or exceed the minimum standards set out
in C155 and R164.
• These legal standards place a duty on the employer to ensure that workplaces, work activities and work
equipment and substances are, so far as is reasonably practicable, safe and without risk to health.
• The legal standards also place a duty on workers to look after their own and other people’s health and safety.
• Failure to comply with these legal standards may lead to enforcement action by the authorities or prosecution
through a country’s criminal courts. Successful prosecution usually results in a fine, but may result in
imprisonment.
• Work-related injuries may result in compensation being paid to the victim. In some countries this is achieved
by legal action through the civil courts, whilst other countries may have worker compensation schemes for this
purpose.
Legal Reasons for Managing Workplace Health and Safety
The legal reason for managing health and safety relates to the framework of international and national laws
that govern the conduct of businesses and organisations. Most countries have laws that set standards for how
organisations should conduct themselves with regard to the management of health and safety risks. Failure to achieve
these legal minimum standards can lead to enforcement action by the authorities or prosecution before the courts.
Successful prosecution can lead to a fine and, in many countries, to imprisonment for the individuals concerned.
The International Framework
There are no truly global laws governing workplace health and safety. Most
countries have their own laws, developed over the years to tackle their
own issues and concerns. However, countries often end up adopting similar
basic approaches to protect the health and safety of their people; the detail
may vary but the underlying principles are the same.
A key player in the area of international legal standards in health and safety
is the International Labour Organization (ILO) which is an agency of the
United Nations (UN). Most countries are members of the ILO. The two
primary outputs of the ILO are Conventions and Recommendations.
These set international legal standards.
Conventions and Recommendations can form the basis of detailed
legislation in each member country – the result being that basic minimum health and safety standards are adopted.
The detailed provisions will still vary, as each member state implements the standards in a nationally appropriate way.
In 1981, the ILO adopted the Occupational Safety and Health Convention (C155). This describes a basic policy for
health and safety at both the national level and the level of the individual organisation.
Health and safety is a priority around
the world

1.2 Regulating Health and Safety
The Occupational Safety and Health Recommendation 1981 (R164) supplements C155 and provides more
detailed guidance on how to comply with the policies of C155. In particular, it identifies obligations that might be
placed on employers and employees in order to achieve the basic goal of a safe and healthy place of work.
Many countries that belong to the ILO have ratified C155 and R164 and have then legislated to put their
requirements into the national (or regional) law.
In C155 and R164 there is a general recognition that most of the responsibility for ensuring good standards of health
and safety at work lies with the employer – since they provide the work, the workplace, the tools, systems and
methods used, etc. They also recognise that individual workers have responsibilities. Though the legal wording varies
between countries, the general theme is that employers and workers must exercise reasonable care to ensure safety
and absence of risk to health.
Employers’ Responsibilities
Article 16 of C155 identifies some basic obligations placed on employers:
1. “…to ensure that…the workplaces, machinery, equipment and processes under their control are safe and without risk to health.
2. …to ensure that…the chemical, physical and biological substances and agents under their control are without risk to health...
3. …to provide…adequate protective clothing and protective equipment to prevent…risk of accidents or of adverse effects on
health.”
Source: C155 Occupational Safety and Health Convention, 1981 (abbreviated)
Copyright © International Labour Organization 1981
These duties are very generally worded in the Convention. R164 expands on what they might mean in practice. It
identifies some practical obligations to meet the objective of Article 16 of C155.
TOPIC FOCUS
Specifically, Article 10 of R164 puts the following obligations on employers:
• Provide workplaces and work equipment, and use work methods, which are safe and pose no risk
to health.
• Provide appropriate instructions and training.
• Provide necessary supervision.
• Put in place health and safety arrangements adapted to suit the size and nature of the undertaking.
• Provide any necessary personal protective clothing and equipment free of charge.
• Ensure that the hours of work do not adversely affect employees’ safety and health.
• Take measures to eliminate any extreme physical and mental fatigue.
• Stay up-to-date with knowledge in order to comply with the above.
In this way the responsibility is placed directly on the employer. However, it is also recognised that individual workers
have a critical part to play in keeping workplaces safe, so workers are also given duties.

Workers’ Responsibilities and Rights
Article 19 of C155 states that all workers and their representatives have to co-operate with their employer so that
they can fulfil their safety obligations.
R164 provides more detail on this general duty.
TOPIC FOCUS
R164 says that workers should:
• Take reasonable care of their own safety and that of other people who might be affected by the things
that they do and the things that they fail to do.
• Comply with safety instructions and procedures.
• Use all safety equipment properly and not tamper with it.
• Report any situation which they believe could be a hazard and which they cannot themselves correct.
• Report any work-related accident or ill health.
The Convention and Recommendation not only put a duty on workers, but also give those workers rights.
In addition to the basic right to a safe workplace, Article 19 of C155 gives workers the following rights:
• The right to be provided with adequate information on actions the employer has taken to ensure occupational
safety and health.
• The right to the necessary training in occupational safety and health.
• The right to be consulted by the employer on all matters of occupational safety and health relating to their work.
• The right to leave a workplace which the worker has reason to think presents an imminent and serious danger to
their life or health, and not be compelled to return until it is safe.
MORE...
Further information on the ILO Conventions and Recommendations can be found at:
www.ilo.org/global/standards/introduction-to-international-labour-standards/conventions-and-
recommendations
The Role of Enforcement Agencies
There is no harmonised global standard for the enforcement of health and safety law, so legal and enforcement
systems vary between countries. There are, however, some general principles which normally apply:
• Each country or region has one (or more) enforcement agency (or authority) responsible for enforcing health
and safety law. Such an agency is effectively the ‘health and safety police force’. In some circumstances the agency
may actually be, or may enlist the help of, the national or regional police. These agencies often provide advice,
investigate workplace accidents, take formal enforcement action to force employers to comply with the law and
start criminal proceedings against persons or organisations they believe have committed offences.

1.2 Regulating Health and Safety
• Many countries have a separate fire authority with a role in enforcing fire safety legislation and/or advising
employers.
• In some countries, insurance companies fulfil a major role in enforcing safety by carrying out inspections and
audits on a regular basis. These can help to improve standards, as the insurance company can demand increased
insurance premiums or refuse to provide insurance cover at all unless standards are improved.
Consequences of Non-Compliance
A breach of health and safety legislation is usually a criminal offence –
wherever you are in the world.
Failure to meet legal standards might lead to:
• Formal enforcement action: an enforcement agency might force
an employer either to make an improvement within the workplace
within a given time period, or to stop carrying out high risk activities
altogether until improvements are made. Failure to comply with formal
enforcement action is usually considered to be an offence in itself.
• Prosecution of the organisation in the criminal courts: successful
prosecution might result in punishment in the form of a fine.
• Prosecution of individuals, such as directors, managers and
workers: successful prosecution might result in punishment in the form of a fine and/or imprisonment.
As well as the criminal law consequences there is also the matter of compensation for workers and others injured by a
workplace accident. Depending on the region/country concerned, this might involve the worker:
• Taking legal action against their employer through the civil legal system, and having to prove that their employer
had been negligent and was therefore to blame for their injury.
• Claiming compensation from national or regional compensation schemes, with no requirement to prove
negligence or blame through the use of the legal system.
DEFINITION
CIVIL LAW
The branch of law concerned with the right of individuals, for example, compensating people for harm that is
done to them through no fault of their own.
Other International Standards
The International Organization for Standardization (ISO) is the world’s largest developer of management standards.
ISO has developed ISO 9001 (the quality management standard) and ISO 14001 (the environmental management
standard). Whilst these are not legal standards, they have been adopted by many companies throughout the world
since they demonstrate good management practice. The result is a common approach to managing quality and
environmental matters.
There is an internationally recognised standard for health and safety management. The ISO standard, ISO 45001
Occupational health and safety management systems, is compatible with other management system standards such as ISO
9001and ISO 14001.
Breaching health and safety law can
lead to criminal prosecution

At a technical level, ISO has been responsible for developing health and safety standards to which machinery, etc.
should conform (e.g. ISO 12100: Safety of Machinery). As compliance with these recognised ISO international
standard demonstrates safety, national legislation often refers to them.
Sources of Information
Information on national standards can be obtained from the relevant national regulatory bodies, who publish
guidance documents which provide information on the legal standards required. Many of the regulatory bodies have
websites which are valuable sources of information, such as:
• Health and Safety Executive (HSE) in the UK at: www.hse.gov.uk
• Occupational Safety and Health Administration (OSHA) in the US at: www.osha.gov
• European Agency for Safety and Health at work (EU): https://osha.europa.eu
• Worksafe in Western Australia at: www.commerce.wa.gov.au/WorkSafe
STUDY QUESTIONS
4. Identify three of the legal duties that an employer has to comply with.
5. Identify two of the legal duties that a worker has to comply with.
6. What are the consequences for an employer of non-compliance with health and safety legal
responsibilities?

1.3 Who Does What in Organisations
Who Does What in Organisations
IN THIS SECTION...
• Ultimate responsibility for ensuring that the workplace is safe and free of health risk rests with the employer.
• Directors and senior managers have a duty to ensure that their organisation meets this obligation. In particular,
they are responsible for setting policy and allocating resources to allow that policy to work effectively – this
includes the provision of competent health and safety advisers. They must demonstrate clear commitment and
leadership, which usually includes appointing a senior manager with responsibility for health and safety.
• Middle managers and supervisors have a duty to ensure that the part of the organisation under their control is
safe and free of health risk. They execute the policy of their organisation operationally.
• When two or more employers share a workplace they must co-operate and co-ordinate their activities to ensure
good health and safety standards.
• When a client takes on the services of a contractor, both parties have shared responsibilities for ensuring good
standards of health and safety.
• The client must carefully select contractors on the basis of their health and safety competence. This can be done
by looking at the contractors’ policy documents, accident and enforcement history, references, qualifications and
experience.
• The client must ensure that contractors carry out risk assessments and develop method statements for their
work so that the work is properly planned and co-ordinated. The client must monitor and manage contractors to
ensure that they work safely to agreed methods.
The Employer
DEFINITION
THE EMPLOYER
A person or organisation that employs people.
The employer in this context is normally an organisation, such as a company, and is sometimes referred to as
the ‘corporate body’.
It is important to recognise that the employer in this context is not normally a natural person (a living,
breathing individual); instead, they are a legal person and exist only in a legal sense. For example, Apple Inc. is
an employer and a legal person.
Responsibility for ensuring that the workplace is safe and free of health risk rests with the employer. As we
noted earlier, the ILO Convention C155 and Recommendation R164 make the duty of the employer clear. These
international standards are normally reflected in local law. Look again at the appropriate section in this element to
remind yourself of the employer’s duties. It is important to consider who an employer owes a duty to:
• Their own workers (employees) to ensure their health and safety.
• Other workers who might be working within their workplace but are not direct employees such as casual workers,
agency workers and contractors.
• Workers who are not their employees and are not working in their workplace but are carrying out work on their
behalf, such as contractors installing a piece of machinery on behalf of the employer at someone else’s premises.

1.3Who Does What in Organisations
• People who might be in their workplace but not carrying out work on their behalf; such as visitors.
• People who might be outside their workplace, but are affected by their work activities; such as members of the
public passing by.
So, an employer has responsibility for the health and safety of everyone who might be affected by what they do for
work, whether they are their employees, or not.
Directors and Senior Managers
Directors and senior managers give an organisation its direction and set its priorities. They decide what the
organisation does and how it does it. In effect, they control the corporate body. They are, therefore, responsible for
ensuring that all of the legal requirements that rest with the employer are met.
However, directors and senior managers are rarely involved in the day-to-day management of the operational side of
the organisation. Their role does not normally involve ‘doing’, but rather setting strategy and allocating resources. So,
the responsibility of directors and senior managers is to ensure that:
• The right health and safety policy is put in place.
• Adequate resources are allocated to establish, implement and maintain the health and safety management system.
This includes sufficient funding to deliver the objectives in the policy, but also competent personnel to assist in
the delivery of the policy objectives.
• The right organisational structures with clear roles and responsibilities are put in place.
• A director/senior manager is appointed with specific responsibility for health and safety so that it can be
championed at board level.
• One or more competent persons are appointed to assist the organisation in meeting its health and safety
obligations.
• Contractors are engaged and managed correctly, demonstrating the organisation’s health and safety responsibility
to third parties.
• The health and safety performance of the organisation is reviewed on a regular basis to ensure that the objectives
are being achieved and that the objectives and measures in place remain valid.

Directors and senior managers can have enormous influence over their organisation and its priorities. This influence
does not simply come from their strategic decision-making but also from the way they are perceived by those lower
in the management hierarchy. They must demonstrate clear commitment and leadership with regard to health and
safety.
Middle Managers and Supervisors
Middle managers and supervisors are involved in the day-to-day operational running of the organisation, so are
responsible for the health and safety standards within the operations under their control. Their operational areas
of responsibility are normally defined in their job description and in the organisation’s health and safety policy
documentation (outlined later in Element 2).
Line managers will be operationally responsible for the health and safety of:
• The staff that work directly for them (their direct reports).
• Staff lower down in the organisational chart (below their direct reports).
• The areas and activities under their control.
The Shared Responsibilities of Joint Occupiers of Premises
When two employers share a workplace it is not difficult to imagine that the risks that one employer creates in that
workplace may affect the employees of the other employer. For example, where two employers occupy offices in the
same building, the fire risk created by one employer affects the safety of the employees of the other.
It follows that both employers must co-operate and co-ordinate their activities to ensure good health and safety
standards.
This is set out in ILO C155 (Article 17): “Whenever two or more undertakings engage in activities simultaneously at one
workplace, they shall collaborate in applying the requirements of this Convention.”
And in ILO R164 (Recommendation 11): “Whenever two or more undertakings engage in activities simultaneously at
one workplace, they should collaborate in applying the provisions regarding occupational safety and health and the working
environment, without prejudice to the responsibility of each undertaking for the health and safety of its employees. In appropriate
cases, the competent authority or authorities should prescribe general procedures for this collaboration.”
This requires effective communication between employers, the exchange of relevant information and the
development of appropriate policies and procedures. This could be carried out in a variety of ways, depending on the
nature of the work and the worksite.
So, for example, in a multi-storey office building occupied by ten different
businesses, each employer should provide information on the risks that
their specific business creates for other occupiers of the building. This can
often be achieved by establishing a building management committee, with
regular meetings. Consultation can then take place through this committee,
and policies and procedures can be developed and implemented
throughout the building, as necessary.
In this way, a common approach can be developed for the management of
joint issues such as fire procedures, security-threat response, emergency-
spill response, site rules, visitor and contractor control, traffic management,
etc. It may also be appropriate to have a site-wide inspection process,
common fire drills and even shared waste-disposal procedures.
When many companies share a
building, a building management
committee may prove useful

If there are specific risks associated with one workplace, then awareness of the issues and the appropriate response
from other workplaces can be raised. For example, an agency that deals with violent offenders may share a building
with unrelated businesses; those other businesses would need to understand the risks and precautions appropriate to
the building as a whole.
Employers working more closely together may need to share risk assessments. This is to ensure that all organisations
are aware of the possible impacts of any equipment and substances being used, so that activities can be co-ordinated.
For example, one organisation may be using solvent-based paints while an area is occupied by another organisation’s
personnel.
Contractor Management
Contractors are used widely in the workplace, either to deliver a specific project or skill, or to deliver extra labour
when needed. For example, a site wanting to extend the premises would usually take on a building contractor to
deliver the project rather than employing the manpower directly, in the same way a company may engage a self-
employed training contractor to deliver a training course.
Contractors are engaged by clients in lots of different circumstances at work. A contractor may be engaged to
perform a one-off service, such as the refitting of an IT suite, or they may be engaged on a more permanent basis to
provide in-house catering or cleaning services.
Quite clearly, it is not in the interest of health and safety for the client to ignore the risks associated with the
contractor’s work or for the contractor to ignore the risks inherent in the client’s workplace.
DEFINITIONS
CONTRACTOR
A person or organisation engaged to undertake certain work on behalf of a client but not under the client’s
direct supervision and control.
Note that the word ‘contractor’ can be used to indicate both the company providing a contract service, and
the individual workers who work to provide that service.
CLIENT
A person or organisation who engages a contractor.
Shared Duties
Contractors are responsible for their own health and safety and the health and safety of others who might be affected
by their work activities.
A contractor company (e.g. a cleaning company) is an employer in their own right. They therefore owe a duty to:
• Their workers (the individual contract cleaners doing the work in a client’s premises).
• Other people (such as the client’s workers and visitors to the client’s premises) who might be affected by their
work.
And the individual cleaners doing the work in the client’s premises are workers of the contract cleaning company.

They therefore owe a duty to:
• Themselves.
• Other people (such as fellow workers, the client’s workers and visitors to the client’s premises) who might be
affected by what they do.
The client (as an employer) owes a duty to:
• Their own workers.
• Others who might be affected by their work, including:
– The contract cleaners in the premises.
– Any other workers in the premises (such as other contractors).
– Visitors to the client’s premises.
The individual workers of the client also owe a duty to:
• Themselves.
• Other people (such as contract cleaners, fellow workers, visitors) who might be affected by what they do.
Put simply, the contractor and their workers owe a duty to everyone, and the client and their workers also owe a
duty to everyone. The key thing to recognise from the above is that the responsibility for ensuring health and safety
is therefore shared between the client and the contractor. It is in both parties’ interests to ensure that each does
everything that might be considered reasonable in the circumstances to discharge their duties and avoid criminal
liability.
The way that a client manages contractors can be broken down into three key areas:
• Selection of contractors.
• Planning and co-ordination of the work.
• Monitoring and managing the work.
Selection of Contractors
TOPIC FOCUS
Selecting the Contractor
It is good practice to select a contractor carefully on the basis of their health and safety competence. To help
do this you can ask to see evidence of competence, such as:
• A copy of their health and safety policy.
• Examples of risk assessments and method statements.
• The qualifications and training records of staff.
• Membership of a professional organisation or certified body.
(Continued)

TOPIC FOCUS
• Records of maintenance and test for plant and equipment.
• Names of previous or current clients to use as references.
• Accident history records.
• Records of enforcement action taken by authorities against them.
• Proof of adequate resources, such as access to specialist safety advice.
Planning and Co-ordination of the Work
Information must be exchanged between the client and the contractor. The client should tell the contractor about
the hazards and risks in the workplace, and the contractor should tell the client about the hazards and risks created by
the work. In this way the work can be planned so that everyone is kept safe.
The contractor should carry out risk assessments on the work involved and develop safe working methods to
control the risks identified. This safe working method must be documented and is often referred to as a ‘method
statement’. The client should examine these risk assessments and method statements to ensure that there are no
obvious problems or errors. This should happen before the work commences. It is good practice for the client to
demand that risk assessments and method statements are submitted well before the work commences so that
problems and conflicts flagged up by this review process can be resolved without creating delays to the start of the
work.
The client and contractor must co-ordinate their work carefully so as not to conflict. There may be several
contractors working on site at any one time and the activities of one person/organisation must not cause a hazard for
another in the area. For example, if one contractor is working at height it would be sensible to avoid others working
beneath them in that area.
Monitoring and Managing the Work
Arrangements must be made by the client to ensure the contractor
complies with safe working practices. These arrangements should include:
• Having a signing in and out procedure.
• Ensuring that the contractor provides a named works supervisor.
• Carrying out site induction training for all contractor workers.
• Controlling high-risk activities with a permit-to-work system.
The client will need to monitor the contractor’s work to ensure that they
are working to agreed health and safety standards. This can be done by
monitoring against the risk assessment and method statement that were
developed during the planning stage. If the client identifies that the agreed
safe working methods are not being followed, then it is in their best interest
to stop the work so that the issue can be addressed.
We will cover permit-to-work systems in more detail in Element 3.
A client’s project manager monitors
the work of a contractor

DEFINITION
PERMIT TO WORK
A formal, documented safety procedure forming part of a safe system of work, which ensures that all
necessary actions are taken before, during and after particularly high-risk work.
STUDY QUESTIONS
7. Which categories of people does an employer owe a duty to?
8. List the criteria that might be used to assess the suitability of a contractor to undertake work on behalf of
a client.
9. What are the responsibilities of the client and the contractor where a contractor is working in a client’s
workplace.

Summary
Summary
This element has dealt with some of the basic principles of workplace health and safety.
In particular, this element has:
• Introduced some of the key words that will be used in this course, such as: health; safety; and welfare.
• Highlighted the three main reasons why an organisation has to manage health and safety: moral, legal and
financial.
• Identified some of insured and uninsured costs associated with accidents and ill health.
• Set out the basic requirements of the international standards that govern health and safety, i.e. the ILO
Convention C155 and Recommendation R164.
• Looked in some detail at the duties that these two standards place on employers and on workers.
• Discussed the consequences for employers and workers of non-compliance with legal standards, together with
the possible issue of worker compensation.
• Noted some sources of information on national health and safety standards.
• Looked at the various parties within a workplace and the responsibilities that they have:
– The employer – for ensuring that the workplace is safe and free of health risk.
– Senior management – for setting policy, allocating resources and showing leadership.
– Middle management – for making standards happen operationally.
• Joint occupiers of premises – for co-operation and co-ordination.
• Explained the shared responsibilities that exist when work is carried out by contractors for a client.
• Outlined a basic framework for the selection, monitoring and control of contractors by clients.

Exam Skills
© RRC International1-20
Exam SkillsES
Exam Skills
Introduction
To pass the NEBOSH Certificate, you need to perform well in the formal written IG1 question paper (the IG1 exam).
You only have 2 hours and your performance will be related to two key factors:
• Your understanding of the information covered in Elements 1 to 4.
• Your success in applying that knowledge to an exam situation.
Being good at both aspects is essential. Being calm under exam pressure is pointless if you do not have a good
understanding of the information required to answer the exam questions; and vice versa.
Here follows some practical guidelines that can be used to increase success in the exam. Then you will find practice
exam questions for you to answer at the end of Elements 1 to 4, starting with this one.
Exam Requirements
The IG1 exam is made up of 11 compulsory questions:
• Question 1 is a long-answer question and is worth 20 marks in total. It is likely to consist of a number of parts.
NEBOSH recommends that you spend about half an hour on this.
• The remaining 10 questions, numbered 2 to 11, are short-answer questions with each question being worth 8
marks. NEBOSH recommends that you spend 1 and a half hours on these.
The exam lasts 2 hours in total.
There is no choice of questions in the exam – all questions should be answered. However, the order in which you
answer the questions is up to you. They do not have to be answered in the order they appear on the exam paper. It
is a good idea to start with the easiest question first and then work through the questions on this priority basis. This
means that you will finish on the hardest question where you are least likely to score a lot of marks.
Exam Technique
As has been observed in the Introduction to Unit IG1, candidates can often struggle because they have not
understood the question that is being asked. They can misinterpret questions and so provide an answer to the
question they think is in front of them but in reality is not. This issue can be addressed by adopting a simple strategy
for each question:
• Step 1: Read the question – the first step is to read the question carefully. Take care with this as it is very easy to
misread words in the rush to get writing.
• Step 2: Highlight the key words – the key words include the instructions that has been used in the question and
other important words that direct the question. It is a good idea to underline these words on the exam paper to
make them stand out.
• Step 3: Look at the marks – each question or part of question will have the maximum number of marks
indicated in brackets. For each mark to be awarded, the examiner will expect a piece of information. The marks
available give an indication of how much you will need to write and how long you should spend on this part of
each question.

Exam Skills
© RRC International 1-21
Exam Skills ES
• Step 4: Re-read the question – to check that you have properly interpreted it and understood it. There are no
marks available for answering the question that you think you see rather than the one that the examiner asked
you.
• Step 5: Draw up a plan – this can take the form of a list or a mind map that helps you unload information quickly
and make sure you have enough factors (or things) in your answer to win the available marks. Jotting down a plan
can help you remember key points. The plan is also your aide-mémoire to keep you on track as you start to write
your full answer.
Make sure you indicate clearly which is your answer plan and which is your final answer, so that the examiner can be
sure to mark the correct one (though they will read the plan and they can award it marks so don’t cross it out).
When writing your answer, you must ensure that the structure of the question appears in the structure of your
answer. The examiner must be able to see the separate parts of your answer and it must be clear to them which parts
are the answer to which.
All the way through the exam, you must also remember to monitor the time.
If you can answer Question 1 in 25 minutes and Questions 2–11 in 8 minutes each then you will have 15 minutes left
at the end of the exam to review all of your answers. This review time is difficult to achieve but it can be very useful
right at the end of the exam.
When composing your answer, it is essential that you pay proper attention to the question word (e.g. what, why,
how, who, when, where) that has been used in the question and any instruction given (such as explain or list).
Candidates lose marks if the wrong approach is taken. These words inform you about the specific information the
examiner is expecting to see in your answer. For example, if a question asks how something is done your answer must
state the practical steps that would need to be taken to achieve the thing. You do not need to give any explanation as
to why the thing needs to be done.
In contrast, if the question asks why something needs to be done, then you must state the reason or reasons. You
do not need to explain how it is done. Similarly, if a question asks you to list some things then all you need to do
is provide the list without any further explanation or description. But is a question asks you to explain how or why
something is done then you will have to provide some depth and detail to describe how or why it is done.
Practice Exam Questions
At the end of Elements 1–4, there is a practice exam question (or two) for you to attempt, with guidance on how to
answer in addition to a suggested answer outline. This includes an Answer Plan – all of the points listed in this would
attract marks and you will see most of them developed in the suggested answer itself.
Remember that when answering exam questions, information from additional reading and personal experience can
be included. Examining bodies encourage this and it will enhance your answers.
Please feel free to contact your tutor if you have any queries or need any additional guidance.

Exam Skills
Exam SkillsES
QUESTION
What are some of the possible costs to an organisation following an accident in the workplace? (8 marks)
Approaching the Question
Now think about the steps you would take to answer this question:
• Step 1 – the first step is to read the question carefully. This question calls for you to identify, so you don’t need
to give much detail – as we saw earlier, if asked to ‘identify’ you are expected to ‘select and name’, so in this case
name the different possible costs.
• Step 2 – now highlight the key words. In this case, they might look like this:
What are some of the possible costs to an organisation following an accident in the workplace? (8 marks)
• Step 3 – next, consider the marks available. In this question there are 8 marks available. The question doesn’t
ask for examples, so it is reasonable to assume that for 8 marks you would be expected to identify eight costs. As
the answer hasn’t been limited to only eight factors, feel free to give a few extra in order to maximise the chance
of gaining full marks. However, don’t go overboard – watch the time! The question should take around 8 minutes
in total.
• Step 4 – read the question again to make sure you understand it and have a clear understanding of the costs of
accidents. (Re-read your notes if you need to.)
• Step 5 – the next stage is to develop a plan – there are various ways to do this. Your answer must be based on
the key words you have highlighted. Remind yourself, first of all, that you need to be thinking about ‘What costs
are there to an organisation if there is an accident?’ Think broadly, not just about the more obvious costs.
Now have a go at the question. Draw up an answer plan, and then use it as the basis to write out an answer as you
would in the exam. When you have finished, compare your plan and full answer to those that follow.
Suggested Answer Outline
Direct costs:
• First-aid treatment.
• Sick pay.
• Repairs to equipment.
• Lost or damaged product.
• Lost production time.
• Overtime cover for the injured person.
• Fines in criminal court.
• Compensation payment to victim.
Indirect costs:
• Investigation time.
• Lost employee morale.
• Cost of additional control measures.

Exam Skills
Exam Skills ES
• Compliance with enforcement notices.
• Cost of recruiting and re-training additional employees (e.g. for cover).
• Damaged customer relationships.
• Damaged public image.
Now have a go at the question yourself.
Example of How the Question Could be Answered
There are many costs of accidents, which can be divided into direct and indirect costs.
Direct costs may include:
• First-aid treatment given to the victim.
• Sick pay if they are off work.
• Overtime costs incurred to cover their absence.
• Repairs to damaged equipment.
• Lost or damaged product arising from the accident.
• Lost production time.
• In the event of legal action there may also be fines or compensation payments.
Indirect costs may include:
• The time taken to investigate the accident.
• The costs of additional control measures to prevent recurrence and to comply with enforcement notices.
• Costs associated with the training and recruitment of additional employees.
• There may be a loss of morale in the workforce, which could impact productivity.
• Damage to the organisation’s public image or customer relationships.
Reasons for Poor Marks Achieved by Candidates in Exam
Most candidates should find this question straightforward.
Note that in this example, it isn’t a requirement of the question to structure the answer as ‘direct’ and ‘indirect’ costs;
however, sometimes this is asked (which is why we did so here).
A good structure does help ensure that items aren’t missed and helps the examiner award marks easily.

Unit IG1 – Element 2: How Health and Safety Management Systems Work and What They Look Like© RRC International 2-1
Learning Objectives
should be able to:
1 Give an overview of the elements of a
health and safety management system and
the benefits of having a formal/certified
system.
2 Discuss the main ingredients of health
and safety management systems that
make it effective – policy, responsibilities,
arrangements.
Element 2
How Health and Safety Management Systems
Work and What They Look Like

Unit IG1 – Element 2: How Health and Safety Management Systems Work and What They Look Like © RRC International2-2
Contents
Occupational Health and Safety Management Systems 2-3
Introduction to Occupational Health and Safety Management Systems 2-3
ILO-OSH 2001: The ILO Occupational Safety and Health Management System 2-4
ISO 45001: The Occupational Health and Safety Management System Standard 2-5
Making the Management System Work – The Health and Safety Policy 2-8
Introduction to Health and Safety Policies 2-8
The Three Parts of a Health and Safety Policy 2-9
Reviewing Policy 2-14
Summary 2-16
Exam Skills 2-17

Unit IG1 – Element 2: How Health and Safety Management Systems Work and What They Look Like© RRC International 2-3
2.1Occupational Health and Safety Management Systems
Occupational Health and Safety Management Systems
IN THIS SECTION...
• Two widely recognised Occupational Health and Safety Management Systems (OHSMSs) exist for the systematic
management of health and safety, ILO-OSH 2001 and ISO 45001; both are based on the Plan-Do-Check-Act
management cycle.
• The ILO-OSH 2001 OHSMS can be summarised as: Policy, Organising, Planning and implementation, Evaluation,
Action for improvement, and Audit.
• ISO 45001 is an externally verified OHSMS standard that can be summarised as: Context of the organisation,
Leadership and worker participation, Planning, Support, Operation, Performance evaluation, and Improvement.
Introduction to Occupational Health and Safety
Management Systems
The management of workplace health and safety must be considered systematically within any organisation of any
significant size, in the same way as any other form of management. A systematic approach to the management of an
organisation’s health and safety is referred to as an Occupational Health and Safety Management System (OHSMS).
There are two common OHSMSs use by organisations internationally. These are usually identified by reference to
their publication code numbers: ILO-OSH 2001 and ISO 45001. ILO-OSH 2001 is the ILO’s own SMS published
in a Guidance Note called Guidelines on occupational safety and health management systems. ISO 45001 is the OHSMS
standard published by the International Organization for Standardization (ISO). Organisations are free to develop
their own OHSMS, but working to a recognised standard can be an advantage.
Both SMSs are based on what is known as the PDCA management cycle:
• Plan – set your aims and objectives and then plan how to achieve
them.
• Do – put your plans into effect; implement them.
• Check – monitor your performance towards the aims and objectives
that you set yourself.
• Act – routinely review progress and change what you are doing if it
looks like you are missing your targets.

2.1 Occupational Health and Safety Management Systems
Unit IG1 – Element 2: How Health and Safety Management Systems Work and What They Look Like
ILO-OSH 2001: The ILO Occupational Safety and Health
Management System
The ILO-OSH 2001 safety management system
TOPIC FOCUS
ILO-OSH 2001: The ILO Safety and Health Management System:
• Policy (Plan) – A clear statement has to be made to establish health and safety as a prime commitment of
management at all levels of the organisation, but particularly at the top.
• Organising (Plan) – A framework of roles and responsibilities for health and safety must be created within
the organisation, from senior management down to the front-line workers, including the appointment of
specialist staff.
• Planning and implementing (Do) – Detailed arrangements must be made for the management of health
and safety. Central to this idea is the concept of risk assessment and the identification and implementation
of safe systems of work and protective measures.
• Evaluation (Check) – Methods must be devised to monitor and review the effectiveness of the
arrangements put into place. This might be done reactively (e.g. by reviewing accident and ill-health
statistics), or actively (e.g. by reviewing inspection reports).
• Audit (Check) – Arrangements must be made for the independent, systematic and critical examination of
the SMS to ensure that all parts are working acceptably well.
• Action for improvement (Act) – Any shortcomings identified by the review process must be corrected
as soon as possible by making whatever adjustments are necessary to the policy, organisation and
arrangements for implementation.
• Continual improvement – The intention is that the SMS will not remain static but will develop over time
to become increasingly appropriate and useful to the organisation that it exists to serve.
Note: in the outline the location of each element in the PDCA cycle has been indicated in brackets after the
element title just to help.

MORE...
Find more information at:
www.ilo.org/safework/info/standards-and-instruments
ISO 45001: The Occupational Health and Safety
Management System Standard
The ISO standard ISO 45001 provides an OHSMS standard that an organisation can be externally audited
against. Successful certification to the management standard means that the organisation can demonstrate to
other interested parties (such as clients) that it has a robust SMS that can stand up to close scrutiny. ISO 45001 is
based on the PDCA management cycle and is fully compatible with other ISO management standards such as ISO
9001 (an internationally recognised quality management standard) and ISO 14001 (an internationally recognised
environmental management standard).
Outline of the Standard
In the following outline, the location of each element in the PDCA cycle has been indicated in brackets after the
element title just to help:
ISO 45001

2.1 Occupational Health and Safety Management Systems
• Context of the organisation (management system framework) – requires that the OHSMS is designed and
operated so as to be appropriate to the organisation and its operational environment. Referring to the figure we
can see that this forms both the environment in which the management system operates, the boundaries of the
system and the system itself. This sets the scene.
• Leadership and worker participation (management system framework) – requires that the OHSMS is driven
by those at the top of the organisation with the active engagement and participation of workers at all levels. From
the figure we can see that this requirement sits at the heart of the PDCA management cycle with a very heavy
emphasis on management leadership. The standard makes it clear that top management must be personally
involved in driving and promoting the management system.
• Planning (Plan) – requires that an ongoing planning process forms a part of the OHSMS so that hazards, risks
and opportunities (for improvement) are identified and that appropriate action is identified and planned. This
requirement sits in the ‘Plan’ element of the PDCA cycle and contains many requirements which are central
to most organisations’ health and safety management arrangements – such as planning for emergencies and
planning the risk assessment system.
• Support (Do) – is concerned with the provision of support for the OHSMS so that it can be established,
implemented, maintained and continually improved.
• Operation (Do) – requires that hazard and risk are operationally managed.
• The figure shows how both of these requirements form the ‘Do’ element of the PDCA cycle, being concerned
with many of the core management activities that are central to good occupational health and safety (OHS)
management.
• Performance evaluation (Check) – requires the systematic internal monitoring and reviewing of OHS
performance with a view to driving continual improvement. The figure shows how this fulfils the requirements of
‘Check’ in the PDCA management cycle.
• Improvement (Act) – embeds the principle of learning lessons and implementing the learning from those
lessons into the OHSMS. The figure shows how this sits on the position of ‘Act’ that closes the loop of the
management cycle and explicitly requires both organisational learning and ongoing enhancement of the
management system. From a practical perspective the requirement sets out many routine OHS management
activities such as safety inspections to identify non-conformities and accident investigation.
The Benefits of Achieving Certification
The ISO management system standard operates in the same way as other ISO
management standards (and the old OHSAS 18001 Standard) in that conformance
to the standard can be verified by an external accredited organisation (such as the
British Standards Institution) so that certification to the standard can be achieved.
This certification can then be used by the organisation as proof of a robust OHSMS.
This may be useful for internal purposes (e.g. to demonstrate to internal interested
parties that the management system exists and is functional).
For many organisations, it will be useful externally when trying to show clients,
customers or the authorities that OHS management is integrated into the routine
functioning of the organisation. This can give the organisation a competitive
advantage when competing against other organisations for contracts or further work.
Certification is an expensive process but the costs of achieving and maintaining certification are often outweighed by
the financial benefits associated with having a robust formal/certified OHSMS.
Certification is something an
organisation can be proud to
achieve

Whether an organisation is using the ILO-OSH: 2001 model or ISO 45001, it may be necessary to go round the cycle
more than once, particularly when:
• starting out;
• developing a new process, product, or service; or
• implementing any change.
STUDY QUESTIONS
1. What are the elements of the OHSMS outlined in ISO 45001 Occupational health and safety management
systems?
2. What is the role of ‘evaluation’ in the ILO OSH-2001 OHSMS?

2.2 Making the Management System Work – The Health and Safety Policy
Making the Management System Work – The Health
and Safety Policy
IN THIS SECTION...
• An organisation’s occupational health and safety management system is implemented through its health
and safety policy. The health and safety policy of an organisation is an important document that sets out the
organisation’s aims with regard to health and safety, who is responsible for achieving these aims, and how the
aims are to be achieved.
• The policy has a role in the decision-making of both senior management, who formulate it, and other managers,
who are required to implement it.
• A health and safety policy is usually presented in three parts: the General Statement of Intent, the Organisation
section, and the Arrangements section.
• The General Statement of Intent outlines the importance that the organisation places on health and safety and
the commitment that can be expected. It sets aims and objectives for the organisation to achieve. It is signed by
the person in overall control of the organisation.
• The Organisation section highlights the roles and responsibilities that exist at all levels within the organisation. It
shows the lines of responsibility and accountability.
• The Arrangements section provides the detail on how the organisation manages health and safety. It outlines the
general arrangements that relate to health and safety management and the specific arrangements that relate to
individual health and safety topics and issues.
• Health and safety policies have to be reviewed in order to stay current and relevant.
Introduction to Health and Safety Policies
The foundation stone of an effective OHSMS in any organisation is the health and
safety policy. A good health and safety policy sets out the organisation’s general
approach and commitment to achieving particular aims and objectives. It provides
a framework of general and specific health and safety responsibilities for staff,
and guidance on the detailed operational arrangements to be taken to protect
employees and others from harm as a result of workplace activities.
In particular, the policy should influence decision-making within the organisation.
This will occur in two ways:
1. Senior management have to decide what kind of health and safety standards
they are committing the organisation to, and will have to allocate resources accordingly.
2. Other managers have to ensure that their decision-making is in line with the policy and does not work against the
organisation’s stated aims and objectives.
There is no one correct format or set of contents for a health and safety policy, but it must reflect the particular
circumstances of the individual organisation: the hazards and risks, the size, and the complexity of the organisation.
The policy must therefore be developed and tailored to fit the particular organisation that it exists to serve. For
example, the safety policy of a small, low-hazard manufacturing company may be very different from that of a large,
high-hazard oil and gas multinational.
Policy informs practice at all
levels

2.2Making the Management System Work – The Health and Safety Policy
Standards and Guidance
Article 14 of the International Labour Organization’s Occupational Safety and Health Recommendation 1981 (R164)
states:
“Employers should, where the nature of the operations in their undertakings warrants it, be required to set out in writing
their policy and arrangements in the field of occupational safety and health, and the various responsibilities exercised under
these arrangements, and to bring this information to the notice of every worker, in a language or medium the worker readily
understands.“
Copyright © International Labour Organization 1981
To achieve compliance with this ILO Recommendation national and regional legislation will contain the specific legal
requirement for an employer to implement and record their health and safety policy and arrangements. For example,
in Britain this legal requirement is set out in the Health and Safety at Work, etc. Act 1974 (section 2(3)).
The ILO’s Occupational Safety and Health Management System, ILO-OSH 2001, has additional guidance on health
and safety policies. National governments often publish specific guidance on what this actually means in practice in
a given region. For example, in Britain, the HSE publishes several guidance documents on the topic of safety policies
and OHSMSs.
The Three Parts of a Health and Safety Policy
A policy is normally presented in three parts (sections or elements):
• General Statement of Intent/ Statement of General Policy – the organisation’s
philosophy in relation to the management of health and safety.
• Organisation section – indicates the chain of command for health and safety
management and identifies roles and responsibilities.
• Arrangements section – outlines the arrangements that exist for the effective
management of health and safety in general terms (e.g. how risk assessments are to be
carried out) and also deals with the management of specific issues (e.g. arrangements
for ensuring the safety of visitors).
General Statement of Intent/Statement of General Policy
This spells out the organisation’s overall approach to health and safety management and its aims and objectives. This
is where those at the very top of the organisation set out their vision for the organisation in the context of health and
safety performance; where they would like the organisation to be. It must commit the organisation to achieving legal
compliance. In many cases the commitment will be to achieving a higher standard than that set by the law, either as a
matter of corporate policy, or because of the nature of the organisation.
The Statement of Intent should recognise that managers and workers at all levels within the organisation have a part
to play in implementing policy, and it will therefore state very clearly that every person must comply with the policy
and that serious breaches of policy may be treated as disciplinary offences.
The General Statement of Intent should be:
• Signed by the person at the top of the organisation (e.g. the Chief Executive Officer (CEO) or Managing Director
(MD)) to authorise the policy and indicate that the policy commitment comes from the highest level.
• Dated to indicate when the current statement was prepared and to provide a reference point for review.
Policy documents can
be hefty documents

TOPIC FOCUS
Aims
The Statement of Intent may recognise some general aims that have to be achieved by the organisation,
such as:
• Meeting legal obligations.
• Provision of a safe workplace, safe equipment and safe systems of work, as well as information, instruction,
training and supervision.
• Risk assessment of all relevant workplace activities.
• Performance monitoring.
• Provision of adequate resources, such as expert health and safety advice.
• Effective communication and consultation with workers.
Aims can sometimes be very aspirational in nature; they do not have to reflect exactly where the organisation's
current performance is. They reflect where the organisation would like to be. For example, the aspiration aim:
‘zero harm’. These types of aim are sometimes referred to as the organisational vision.
Objectives/Targets
The Statement of Intent may also set quantifiable targets/objectives for the organisation to achieve. Targets
are useful, as they allow performance to be measured and provide a tangible objective for staff to aim for.
They also help drive continual improvement. Possible targets might relate to:
• Accident rates: to achieve a reduction in the accident or ill-health rate.
• Active monitoring: to complete successfully a number of active monitoring activities, such as:
– Successful completion of all supervisor safety inspections over a year.
– Completion of key activities, such as carrying out risk assessments across the organisation.
– Delivery of training to all workers.
– Development of a consultation process to engage the workforce.
Targets may be set in relation to past performance, or the performance of other similar organisations, or the
industry as a whole. The process of comparing performance in this way is known as ‘benchmarking’. For
example, if fatal road-accident rates in an industry as a whole are one for every 1,000,000 miles driven, the
target for a particular organisation may be to achieve a better rate.
Setting SMART Objectives
When health and safety objectives are set for an organisation, those objectives should be SMART.
The acronym SMART refers to the idea that objectives should be:
• Specific – a clearly defined, precise objective.
• Measurable – it is possible to measure achievement of (or progress towards) the target; usually by quantifying
the objective.
• Achievable – it can be done, it is possible.

• Reasonable – within the timescale set and with the resources allocated.
• Time-bound – a deadline or timescale is set for completion of the objective.
So, for example, the objective: ‘Improve the safety culture of the organisation’ is not SMART because it fails to meet
many of the criteria of a SMART objective. It is not specific, in that it does not identify a precise target to be achieved;
it is not easily measurable; and it does not have a deadline for when success should be achieved.
However, the objective: ‘Review all 48 risk assessments within a 12-month period’ is a SMART objective. The target is
precisely defined, a number is given that allows easy measurement of success and a timescale has been allocated.
When setting health and safety objectives, consideration should be given to:
• Who is going to set objectives – the involvement of senior management, perhaps with guidance from health and
safety practitioners/advisers.
• How objectives will be set at each functional level – objectives need to be set at different levels or within different
parts of the organisation to achieve organisational goals. This can be achieved by setting and agreeing personal
targets with individuals through the job appraisal and review process.
• Legal and other requirements – objectives must recognise legal standards and other requirements set by, for
example, corporate policy, or insurance companies.
• Hazards and risks – the hazards inherent in the workplace and the risks created must be taken into account when
setting objectives. If this is not done, the organisation may pursue objectives that are irrelevant or that address
only trivial matters.
• Technological options – as technology changes, organisations should take advantage of new technology and set
objectives accordingly.
• Financial, operational, and business requirements – health and safety objectives should integrate with financial,
operational and business objectives so that there is no conflict of goals.
• Views of interested parties – for objectives to be achievable it is important that some element of consultation
occurs and that the views of interested parties are considered. Employees (through their representatives),
supervisors, managers, contractors, clients, customers, landlords, co-occupiers, suppliers, manufacturers and
designers may all be able to contribute to the health and safety objectives of an organisation.
Organisational Roles and Responsibilities
This section of the health and safety policy deals with people and their operational duties in relation to health and
safety. It outlines the chain of command for health and safety management and identifies the roles and responsibilities
of staff to enable clear delegation of duties. It is common practice for this section to include an organisation chart
showing the lines of responsibility and accountability (in terms of health and safety management). This chart also
shows the lines of communication and the feedback routes that exist within the organisation for clear reporting.
The following figure shows a typical organisation chart for a company. The grey lines show ‘line management
responsibility’ flowing down through the structure. The green lines show the ‘functional responsibility’ that the
health and safety manager has for providing advice at all levels of the organisation. The orange lines show the lines of
communication and feedback up through the structure.

Health and safety organisation chart
The Organisational Roles and Responsibilities section will usually reflect the management hierarchy within the
organisation and allocate responsibilities accordingly:
• The CEO or MD – ultimately responsible and accountable for the entire organisation.
• Management at all levels – responsible for ensuring that all appropriate safety measures are in place and being
carried out effectively within the part of the organisation under their management control. This might be done
by breaking down the management hierarchy into discrete layers and allocating responsibilities to each layer (e.g.
senior managers’ responsibilities, middle managers’ responsibilities, or supervisors’ responsibilities).
• All employees – responsible for acting safely at all times in the course of their duties at work.
• Competent persons – have operational duties, but are also considered competent to carry out one or more
specialist health and safety duties (e.g. as first aiders or fire marshals).
• Specialist health and safety practitioners – responsible for providing advice to support management and
employees in achieving safety.
Arrangements
The Arrangements section is often the largest section of the policy. It deals with the general arrangements that exist
to manage health and safety and the specific arrangements that are necessary to deal with particular risks relevant to
the organisation and its activities. The systems and procedures used to manage health and safety are contained in this
section.

TOPIC FOCUS
General health and safety management arrangements:
• Carrying out risk assessments.
• Identifying and supplying health and safety information, instruction and training.
• Accident and near-miss reporting, recording and investigation.
• Consultation with workers on health and safety matters.
• Developing safe systems of work and permit-to-work systems to control hazards.
• Welfare and first-aid provision.
• Housekeeping.
• Fire safety and prevention.
• Emergency procedures.
• Communication of health and safety matters, including hazards and control measures.
• Compliance monitoring, including auditing of systems but also measuring workplace parameters (e.g.
noise, to assess the effectiveness of the arrangements).
DEFINITION
PERMIT TO WORK
A formal, documented safety procedure forming part of a safe system of work, which ensures that all
necessary actions are taken before, during and after particularly high-risk work. We will cover permits in more
detail in Element 3.
All the general health and safety management issues will be relevant to all workplaces; they are generic issues.
However, the practical arrangements made for the management of these issues will have to be tailored to suit the
organisation.
Depending on the workplace, specific health and safety arrangements will also have to be developed to deal with
particular risks.
The list of possible arrangements that might be required can be long and depends on the problems and issues faced
by the organisation in question. For example, a lorry haulage company will have a set of arrangements to manage
transport risk, but an office-based company will not.
Examples of specific risks and problems within an organisation that may need
detailed arrangements include:
• Lone working.
• Noise-exposure control.
• Vibration-exposure control.
• Control of exposure to toxic materials.

• Control of crowds.
• Control of transport risks.
• Specific health surveillance requirements.
• Waste disposal.
Not all organisations will have all of these risks – these are specific to the organisation and its activities.
Reviewing Policy
A health and safety policy should not be considered as rigid and unchanging. Instead, it should be subject to regular
reviews so that it remains current and relevant. In this way it can be considered a ‘live’ document.
It is good practice to review policy on a regular basis (e.g. annually). However, there are other circumstances which
could give rise to reviews, such as technological, organisational or legal changes.
TOPIC FOCUS
Circumstances that might require a review of policy:
• Technological changes (e.g. introduction of new plant or processes).
• Organisational changes (e.g. changes to key personnel, such as a new CEO or MD, or changes to the
management structure of the organisation).
• Legal changes, such as the introduction of new legislation applicable to the organisation.
• Changes to the type of work that the organisation does (e.g. when work arrangements change).
• Where an audit, investigation or risk assessment suggests the policy is no longer effective.
• When requested by a third party, such as an insurance company or client.
• Following enforcement action.
• Following consultation with the workforce.
• A change of buildings, workplace or worksite.
• After a certain amount of time has passed since the last review (e.g. an annual review is a common
practice).
The aim of the review is to make sure that the policy is up-to-date and accurate. The date of the last review should be
recorded on policy documents to indicate how current they are.
MORE...
For information on health and safety policies see:
www.hse.gov.uk/toolbox/managing/writing.htm

STUDY QUESTIONS
3. Why might the health and safety policy of two organisations, both undertaking similar work, be different?
4. What are the three key parts of a health and safety policy?
5. Who should sign the policy statement?
6. What health and safety responsibilities do all workers have?
7. What does a safety organisation chart show?
8. What circumstances might require a review of policy?

Summary
Summary
This element has dealt with OHSMSs and health and safety policies.
• Outlined the ILO-OSH 2001 OHSMS, which can be summarised as: Policy, Organising, Planning and
implementation, Evaluation, Action for improvement, and Audit.
• Outlined the ISO 45001 OHSMS standard: Context of the organisation, Leadership and worker participation,
Planning, Support, Operation, Performance evaluation, and Improvement.
• Identified the health and safety policy of an organisation as an important document, which sets out what the
organisation’s aims are with regard to health and safety, who is responsible for achieving those aims, and how
those aims are to be achieved.
• Explained that the policy is usually presented in three parts: the General Statement of Intent, the Organisation
section, and the Arrangements section:
– The General Statement of Intent communicates the importance that the organisation places on health and
safety, the commitment that can be expected and the aims and objectives for the organisation to achieve. It is
signed by the person in overall control of the organisation.
– The Organisation section deals with the roles and responsibilities that exist within all levels of the organisation
and indicates the lines of responsibility and accountability.
– The Arrangements section provides the detail on how the organisation manages health and safety. It outlines
the general arrangements that relate to health and safety management and the specific arrangements that
relate to individual health and safety topics and issues.
• Noted that health and safety policies have to be reviewed in order to stay current and relevant, and that reviews
might be carried out periodically, or in response to changes, such as those to key personnel or management
structure, changes in technology or legal changes.

Exam Skills
Exam Skills ES
Exam Skills
QUESTION
(a) What health and safety targets might usefully be included in the Statement of Intent section of a health
and safety policy? (4 marks)
(b) Explain the purpose of:
(i) The Organisation section of a health and safety policy. (2 marks)
(ii) The Arrangements section of a health and safety policy. (2 marks)
(Total: 8 marks)
Approaching the Question
Think now about the steps you would take to answer the question:
• Step 1 – the first step is to read the question carefully. Note that part (a) of the question asks you what possible
health and safety targets might be included in the Statement of Intent. In part (b) of this question you are
required to explain the purpose of the Organisation and Arrangements sections of the policy. So you might write
in a bit more depth in part (b) compared to part (a).
(a) What health and safety targets might usefully be included in the Statement of Intent section of a health
and safety policy? (4 marks)
(b) Explain the purpose of:
(i) The Organisation section of a health and safety policy. (2 marks)
(ii) The Arrangements section of a health and safety policy. (2 marks)
(Total: 8 marks)
• Step 3 – next, consider the marks available. In this question there are 8 marks, so it is expected that around eight
or nine different pieces of information should be provided. Questions that are split into parts (this one is split into
two parts worth 4 marks each) are often easier to pick up marks on, because the signposts NEBOSH uses are so
much easier to see. In the first part, the question is worth 4 marks, so you should provide four targets. The second
part contains two explanations which are worth 2 marks each. The whole question should take around 8 minutes,
which is 1 mark per minute!
• Step 4 – read the question again to make sure you understand it and have a clear understanding of health and
safety policy and safety targets. (Re-read your notes if you need to.)
• Step 5 – the next stage is to develop a plan. The answer plan will take the form of a bullet-pointed list that you
need to develop into a full answer. Your answer must be based on the key words you have highlighted.

Exam Skills
Exam SkillsES
HINTS AND TIPS
Although we know part (a) is worth 4 marks, if you give a couple of additional targets it may maximise your
chance of gaining all 4 marks (though you won’t get more than 4 marks!). For each subsection of part (b),
you will get two marks for the explanation – therefore it needs to be detailed enough to show that you
understand, for example, the purpose of the arrangements section. But you don’t need to write an essay – a
few sentences should be enough!
would in the exam.
When you have finished, compare your plan and full answer to those that follow.
Targets (and objectives):
• Meet legal requirements.
• Safe workplace/equipment/systems.
• Provision of training and information.
• Risk assessment.
• Adequate resources.
• Communication and consultation with workforce.
• Reduced accidents and ill health.
• Carrying out active monitoring.
Organisation (purpose):
• The responsibilities for implementing policy.
• Identifies operational duties for health and safety.
• Identifies chain of command.
• Identifies roles and responsibilities.
• Covers all levels of the organisation, from director to shop floor.
• Includes specialist roles (e.g. first aiders and safety advisers).
Arrangements (purpose):
• The arrangements for implementing policy.
• Arrangements in place to manage health and safety.
• Specific arrangements for key risks.

Exam Skills
Exam Skills ES
(a) An employer may identify a range of targets in the Statement of Intent. These could include:
• The organisation’s compliance with the law.
• The provision of a safe working environment with safe equipment and procedures.
• The development of risk assessments for business activities.
• The provision of information and training to employees as a result of the risk assessments.
• Targets to reduce the accident rate in the organisation.
• A target to carry out active monitoring to reduce workplace hazards.
(b) (i) The purpose of the Organisation section of the policy is to establish the roles and responsibilities for health and safety
at all levels within the business, from director down to shop-floor and office employees. The Organisation section
will also include specialist safety roles, such as fire wardens, first aiders and safety advisors. The Organisation section
identifies who is going to deliver the objectives in the health and safety policy.
(ii) The purpose of the Arrangements section of the policy is to establish how the safety policy is to be achieved. This
is done by producing procedures which detail how hazards in the organisation are to be identified through risk
assessment and controlled (e.g. fire, first aid or spill response). In this way, everyone can see how the health and safety
management activities are to be carried out.
• Candidates may be less confident about the purpose of the Arrangements section and therefore provide a poor
answer to part (b) (ii).
• Many candidates may lose marks for not providing the descriptions required in part (b).

© RRC International 3-1Unit IG1 – Element 3: Managing Risk – Understanding People and Processes
Learning Objectives
should be able to:
1 Describe the concept of health and safety
culture and how it influences performance.
2 Summarise how health and safety culture
at work can be improved.
3 Summarise the human factors which
positively or negatively influence behaviour
at work in a way that can affect health and
safety.
4 Explain the principles of the risk
assessment process.
5 Discuss typical workplace changes that
have significant health and safety impacts
and ways to minimise those impacts.
6 Describe what to consider when
developing and implementing a safe
system of work for general activities.
7 Explain the role, function and operation of
a permit-to-work system.
8 Discuss typical emergency procedures
(including training and testing) and how to
decide what level of first aid is needed in
the workplace.
Element 3
Managing Risk – Understanding People
and Processes

Unit IG1 – Element 3: Managing Risk – Understanding People and Processes © RRC International3-2
Contents
Relationship Between Health and Safety Culture and Performance 3-4
Indicators of Health and Safety Culture 3-5
The Influence of Peers 3-7
Improving Health and Safety Culture 3-8
Management Commitment and Leadership 3-8
Competent Workers 3-9
Effective Communication 3-9
Co-operation and Consultation 3-12
Training 3-14
Human Factors which Influence Safety-Related Behaviour 3-17
Organisational, Job and Individual Factors 3-17
Risk Assessment 3-22
Introduction to Key Words and Phrases 3-23
Risk Profiling 3-25
The Purpose of Risk Assessment 3-27
The Five Steps of Risk Assessment 3-28
Special Cases and Vulnerable Workers 3-42
The Management of Change 3-46
The Impact of Change 3-46
Managing the Impact of Change 3-47
Safe Systems of Work 3-49
Introduction to Safe Systems of Work 3-49
Worker Involvement 3-50
Written Procedures 3-50
Technical, Procedural and Behavioural Controls 3-50
Developing a Safe System of Work 3-51
Permit-to-Work Systems 3-53
Operation and Application 3-54
Typical Uses of Permit Systems 3-56
Emergency Procedures and First Aid 3-59
The Need for Emergency Procedures 3-59
Emergency Procedure Arrangements 3-60
First-Aid Requirements 3-61
Summary 3-65
Exam Skills 3-67

Unit IG1 – Element 3: Managing Risk – Understanding People and Processes© RRC International 3-3
3.1Health and Safety Culture
Health and Safety Culture
IN THIS SECTION...
• The health and safety culture of an organisation is the way that all the people within the organisation think and
feel about health and safety and how this translates into behaviour. It can be defined as the shared attitudes,
values, beliefs and behaviours relating to health and safety. It will either be positive or negative.
• There is a strong link between health and safety culture and health and safety performance. Organisations with a
strong, positive culture tend to have good performance, whereas those with a negative culture tend to perform
poorly.
• The safety culture of an organisation can be assessed by looking at indicators, such as accidents, sickness rates,
absenteeism, staff turnover, compliance with rules, and worker complaints.
• Workers are often influenced by their peers – the people around them at work who do not have any direct
authority over them. This ‘peer group pressure’ occurs indirectly through social interaction and can have a
significant effect on behaviour. The influence of peer group pressure is a good indicator of safety culture.
Health and Safety Culture
An organisation’s ‘culture’ is not written down or easily stated. It is a
subtle mix of formal and informal rules, relationships, values, customs, etc.
which, taken together, describe the distinctive ‘feel’ of the organisation.
On one level, this is to do with how the organisation gets things done –
its particular way of doing things. On another level, it is to do with how
people perceive the organisation (e.g. how friendly it is).
Organisational culture is a characteristic of the organisation that exists
at every level, from senior management to shop-floor workers. No one
person determines the culture of the organisation: all staff working for the
organisation determine it collectively.
Organisations can be described as having a health and safety culture (or safety culture) in much the same way.
DEFINITION
HEALTH AND SAFETY CULTURE
The shared attitudes, values, beliefs and behaviours relating to health and safety. These will either be positive
or negative.
The health and safety culture of an organisation is the way that everyone within the organisation thinks and feels
about health and safety and how this is reflected in their behaviour. This is concerned with peoples’ attitudes and
opinions; what they believe and value; their perceptions of the importance of health and safety; and how these
thoughts and beliefs influence their health and safety-related behaviour.
Importantly the culture is created and shared by people within the organisation. This is the group way of thinking
about health and safety. It is not simply one person's way of thinking. Though it is often the case that certain
individuals will be very influential in establishing and maintaining the culture.
All organisations have a ‘culture’

3.1 Health and Safety Culture
An organisation’s health and safety culture will either be positive or negative. In that it will either encourage and
promote positive health and safety views, opinions and behaviours, or it will encourage and promote negative ones.
MORE...
Further information on health and safety culture can be found on the HSE website at:
www.hse.gov.uk/humanfactors/topics/culture.htm
Relationship Between Health and Safety Culture and
Performance
There is a strong link between an organisation’s health and safety culture and its health and safety performance.
Organisations with a strong, positive culture tend to perform well, whereas those with a weak negative culture
perform badly.
Positive Culture
In an organisation with a positive health and safety culture, the majority of
the workers think and feel that health and safety is important. There is a
strong policy and clear leadership from the top because senior management
have this attitude, which runs through the whole organisation, from top to
bottom. Managers think about the health and safety implications of their
decisions and workers do likewise.
The majority of people work safely because they want to. Not simply
because they have to. Even without close supervision. Because this is the way
that things are done in the organisation.
People in the organisation who do not share the group view are in the
minority and are likely to come round to the group way of thinking and
acting. This is because the culture of an organisation tends to be absorbed
by its workers over time. Workers who do not adjust to the group way of thinking may either leave, because they
don’t feel that they fit in, or might be dismissed for working unsafely.
In an organisation like this, it is easy to see the clear link between health and safety culture and performance. People
work safely, so there will be fewer accidents and less ill health. It is also easy to see why organisations strive to create a
strong, positive health and safety culture because, when there is one, it has a
direct influence on worker behaviour.
Negative Culture
In an organisation with a negative health and safety culture, the majority
of workers think and feel that health and safety is not important; they
are poorly educated in health and safety and see it as unnecessary or an
interference. There is a lack of clear direction and leadership from senior
management. Managers do not think about health and safety in their
decision-making and so let other priorities, such as short-term profit, dictate
their actions. Workers behave unsafely, often because they do not know any
better.

Safety-conscious workers are in the minority and are likely to come round to the group way of thinking and acting
over time because of the influence of peer group pressure (see later). If not, they may well leave because they do not
like the organisational culture or feel unsafe in work situations.
In an organisation like this it is easy to see that there will be a lack of proper attention to health and safety, standards
will not be understood or worked to, behaviour will be poor and accidents and ill health will occur as a result.
TOPIC FOCUS
Factors that have a negative impact on health and safety culture in an organisation include:
• Lack of strong safety leadership from management.
• Presence of a blame culture.
• Lack of management commitment to safety (e.g. saying one thing and doing another).
• Health and safety receiving lower priority than other business issues.
• Organisational changes (frequent or poorly-communicated change resulting in uncertainty).
• High staff turnover rates (i.e. workers do not stay long enough to be influenced).
• Lack of resources (e.g. too few workers due to downsizing, and lack of correct equipment).
• Lack of worker consultation.
• Interpersonal issues (e.g. unregulated peer group pressure, bullying or harassment).
• Poor management systems and procedures.
• External influences (e.g. economic climate resulting in difficult operating conditions).
Indicators of Health and Safety Culture
There are many indicators of an organisation’s health and safety culture that will show if it is strong and positive, or
negative. Because health and safety culture is partly defined as how people think and feel (their attitudes, their beliefs
and their priorities) and these are intangible concepts and difficult to measure. So, rather than trying to assess the
health and safety culture directly, it is often easier to assess it indirectly by looking at the tangible outputs that can be
used as indicators. There is no single indicator that can be used to assess health and safety culture; instead, several
indicators must be examined together.
Accidents
Accident records can be used to work out how many accidents are happening as a rate (e.g. number of accidents per
100,000 hours worked – we discuss this later). The accident rate for a particular organisation can be compared
with the:
• Organisation’s performance in previous years – this will indicate whether the accident rate is increasing or
decreasing. A decreasing rate might be seen as an indicator of a positive health and safety culture.
• Rate for other organisations that do the same work, or the industry average (often published by the authorities) –
this is the process of benchmarking. An accident rate that is higher than the national average might be seen as an
indicator of a negative health and safety culture.

3.1 Health and Safety Culture
Looking at the quality of investigations that follow accidents and the effort that is put into preventing a recurrence is
another way of using accidents as an indicator of health and safety culture. In an organisation:
• With a positive health and safety culture, much time and effort will go into investigating accidents, writing
investigation reports and introducing follow-up action to prevent a recurrence.
• With a negative health and safety culture, superficial accident investigations are carried out, reports are of poor
quality, and follow-up action is either not taken, or is ineffective (and may focus on blaming the worker rather
than identifying why it happened).
Sickness Rates
A lot of ill health is caused, or made worse, by work. For example, in many countries a huge number of working days
are lost because of back pain, and a significant proportion of that back pain will have been caused or made worse by
the work that individuals are doing. Sickness rates can be used in the same way that accident rates are, as an indicator
of health and safety culture.
Absenteeism
A high level of worker absenteeism indicates that workers are either not able, or not willing, to come to work. If they
are not able, this might indicate that they are suffering ill health caused, or worsened, by work, as we noted above. If
they are not willing, it indicates that they are withholding their labour for some reason. This is usually caused by poor
workforce morale which, in turn, may be linked to poor health and safety culture.
DEFINITION
MORALE
The level of commitment, energy and enthusiasm that a workforce has for the work being done.
Staff Turnover
An organisation with a positive health and safety culture is often a good place to work. Workers feel safe, morale
is good, training is available, and workers are consulted about their working conditions. As a result, workers stay
with their employer for longer, so low staff turnover may indicate a good health and safety culture, while high staff
turnover may indicate the opposite.
Compliance with Safety Rules
In an organisation with a positive health and safety culture the majority of workers want to work safely, so they
comply with the safety rules and procedures laid down by the organisation. Formal or informal safety inspections
or audits usually find that there is a high level of compliance. The health and safety culture has influenced workers’
behaviour in a positive way.
Where there is a negative health and safety culture the reverse is usually true. Workers do not follow the rules, either
because they do not know what they are (perhaps owing to poor training) or because they know the rules but do
not want to follow them (perhaps because of poor attitude). Workers are free to break the rules because of poor
supervision; they know that they will not be punished.

Complaints About Working Conditions
There is an obvious link between health and safety culture and the number and type of complaints made by workers
(and workers’ safety representatives) to management. An organisation with a positive culture may actively encourage
complaints, but few serious ones will be made. An organisation with a negative health and safety culture may actively
discourage workers from complaining, and many of the complaints made will be legitimate and serious ones.
The Influence of Peers
When people are put together into groups they interact. Some individuals
will have a lot of influence over the group; others will have little influence. In
this way a ‘hierarchy’ develops within the group (often known as a ‘pecking
order’). Certain ways of behaving will become the ‘norm’, which will often
be established by the more influential members of the group. A person
wishing to become a member of the group will have to comply with the
group norms. This pressure to comply with group norms is called ‘peer
group pressure’.
Peer group pressure is an important factor to take into account when
thinking about safety-related behaviour. If a group is already working safely then peer group pressure will keep most
people in that group in line. But if the group is working unsafely, then peer group pressure will tend to force new
workers to behave unsafely in an attempt to fit in with group norms. Even though new workers may know that
what they are doing is wrong and may want to do it the right way, the pressure to comply with their social group
overcomes their personal apprehensions.
One way to deal with the negative impact of peer group pressure is to tackle the influential people within the group,
the ones responsible for establishing group norms of behaviour. If their behaviour can be changed then everyone
else’s will likely change as well. This might be done by training, education, involvement in safety-related projects,
etc. One very successful tactic is to give them increased responsibility. Ultimately, if the influential members will not
change their behaviour then they may have to be moved into other work groups where they may have less influence,
or they may have to be disciplined using the normal disciplinary process.
The behaviour of peer groups and the influence that peer group pressure has been allowed to exert on worker
behaviour is often a good indicator of health and safety culture. In an organisation with a positive culture, peer group
pressure is in line with safe behaviour. In an organisation with a negative culture, peer group pressure is driving unsafe
behaviours and this has not been challenged by management.
STUDY QUESTIONS
1. Define health and safety culture.
2. How do a worker’s peers exert influence over their behaviour?

3.2 Improving Health and Safety Culture
Improving Health and Safety Culture
IN THIS SECTION...
• The health and safety culture of an organisation can only be improved if a clear commitment has been made by
management, with visible leadership.
• Competent staff have the appropriate training, knowledge, experience and other skills necessary to do their jobs
safely.
• Communication of safety information can be verbal, written or graphic and there are strengths and weaknesses
associated with each method.
• Noticeboards, posters, toolbox talks, memos and handbooks all have a part to play in delivering safety
information to employees.
• Training is a vital tool in improving safety-related behaviour and there are various occasions when training should
be provided.
Management Commitment and Leadership
Management commitment starts at the very top of the organisation. Senior
managers must provide the leadership necessary to inspire and motivate
managers at all levels to pursue health and safety standards rigorously. This
is done by establishing the organisation’s health and safety policy with clear
aims and objectives to be achieved.
It is also critical that middle and junior management follow through the
commitment of senior management via the priorities and objectives that
they set their staff. In this way, commitment is cascaded down through the
organisation.
An important factor in demonstrating management commitment is visible
leadership. If management are never seen taking an active interest in
safety issues, then there will be an assumption that they are not interested.
Individual managers must show their commitment to health and safety to their staff as this helps create the local
health and safety culture.
Visible leadership can be demonstrated by:
• Behaving safely (leading by example).
• Involvement in the day-to-day management of health and safety (e.g. by attending safety meetings).
• Taking part in safety tours or audits (see Element 4).
• Promoting changes to improve health and safety.
• Enforcing the company safety rules.
On the last point, managers must be able to recognise and enforce the correct safety standards. They must be able
to praise and reward good behaviour and they must be able to challenge and correct poor safety-related behaviour.
Workers must not be allowed to carry out their work unsafely without being challenged. If this is allowed to persist,
management will quickly lose the ability to challenge any unsafe behaviour and will be unable to enforce discipline.
This means that sometimes workers have to be taken into formal disciplinary procedures for failure to comply with
safety requirements. In some cases their behaviour may be so bad that this results in dismissal for gross misconduct.

3.2Improving Health and Safety Culture
Importantly managers must not over-use disciplinary action against workers for health and safety failings. Simplistic
over-reliance on disciplinary action can create a blame-culture where workers and managers become fearful of
reporting near misses and other incidents or raising problems and concerns. A strong blame culture is incompatible
with a positive health and safety culture. This is not to say that managers should never use disciplinary action for
health and safety failure. A balance must be struck and appropriate disciplinary action should be used where it is just
and fair to do so.
Competent Workers
A competent person is a person who has sufficient training, knowledge, experience and other abilities or skills to be
able to carry out their work safely and without risk to health.
It is the responsibility of the employer to ensure that workers are competent to carry out the tasks that they have
been allocated. The more competent the worker, the better able they will be to do their job safely. This has a positive
influence on health and safety culture. In order to determine competence, the employer may check qualifications,
request references, or verify membership of professional bodies.
Managers should also be competent. This means that all managers should have an understanding of the health
and safety implications of the decisions they make on a day-to-day basis. This is often overlooked. For example, if a
manager is in control of a warehouse then they must understand the difference between safe and unsafe forklift-truck
driving. They do not need to be able to drive a forklift truck themselves, but they must have sufficient knowledge to
spot good and poor behaviour when they see it.
Effective Communication
Communication can be defined as the process of delivering information from a sender to a recipient. To be truly
effective, the correct information has to be transmitted, received and understood.
There are three principal delivery methods for communicating information:
verbal, written and graphic.
Verbal Communication
Verbal communication uses the spoken word (e.g. face-to-face conversations,
meetings, interviews, training sessions, by telephone or over a Public
Announcement (PA) system).
This is the easiest and most commonly used form of communication,
but there are various limitations associated with this method. If verbal
communication is to be used to convey safety-critical information to workers,
these limitations must be overcome.

Benefits Limitations
• Personal.
• Quick.
• Direct.
• Allows for checking of understanding.
• Allows for feedback to be given.
• Allows for exchange of views.
• Usually allows for additional information to be
transmitted by means of tone of voice, facial
expression and body language.
• Language barrier may exist.
• Jargon may not be understood.
• Strong accent or dialect may interfere.
• Background noise may interfere.
• Recipient may have poor hearing.
• Message may be ambiguous.
• Recipient may miss information.
• Recipient may forget information.
• No written record as proof.
• Poor transmission quality if by telephone or PA
system.
Written Communication
Written communication uses the written word (e.g. report, memo, e-mail, notice, company handbook, policy
document, operating instructions, risk assessment, minutes of meetings).
• Permanent record.
• Can be referred back to.
• Can be written very carefully to avoid use of jargon,
abbreviations and ambiguity.
• Can be distributed to a wide audience relatively
cheaply.
• Indirect.
• Takes time to write.
• May contain jargon and abbreviations.
• Can be impersonal.
• Message may be ambiguous.
• Message may not be read by recipient.
• Language barrier may exist.
• Recipient may not be able to read.
• Immediate feedback is not available.
• Questions cannot be asked.
• Recipient may have impaired vision.

Graphic Communication
Graphic communication uses pictures, symbols or pictograms (e.g. safety signs, such as a fire exit sign; hazard warning
symbols, such as a skull and crossbones found on the label of a toxic chemical; or photographs, such as a photo
showing a guard being used correctly in the operating instructions for the machine).
• May be eye-catching.
• Visual.
• Quick to interpret.
• No language barrier.
• Jargon-free.
• Conveys a message to a wide audience.
• Can only convey simple messages.
• Might be expensive to buy or produce.
• May not be looked at.
• Symbols or pictograms may be unknown to the
recipient.
• No immediate feedback available.
• Questions cannot be asked.
• Recipient may have impaired vision.
Broadcasting Methods
There are various ways of broadcasting health and safety information using the three methods outlined above. Each
of these broadcasting techniques has its own strengths and limitations and so usually a mix of some or all of these
techniques is used to ensure that essential messages are transmitted and correctly understood by all staff:
• Noticeboards – should be eye-catching and located in areas used by all workers (e.g. rest rooms or central
corridors). Notices should be current, relevant and tidily displayed. Cluttered, out-of-date, irrelevant notices
obscure the messages being conveyed. Displaying a notice does not mean that it will be read. Typical contents
might include: the safety policy; employers’ liability insurance certificate; emergency procedures; identity of safety
representatives and first-aiders; minutes of safety committee meetings; accident statistics, etc.
• Posters – used to provide safety information, drawing attention to particular issues and supporting the health
and safety culture.
• Often graphic and therefore avoid language
barriers.
• Can be eye-catching and generate interest.
• Low cost.
• Can reinforce key messages.
• Can quickly become part of the surroundings.
• May be defaced.
• Can trivialise important issues.
• Rely on the recipient interpreting the correct
message from the image.
• Films or videos – mainly used in training programmes and, if well made, can hold the audience’s attention.
• Toolbox talks – short, practical safety briefings carried out routinely in the workplace, often presented by
the supervisor at the start of a shift. They can be useful for generating awareness and discussion on safety
precautions, but may be seen as dull or a waste of time if topics are irrelevant or poorly presented.
• Digital media and intranet systems – mobile phones, tablets, computers and other devices can be used for the
dissemination of information in various forms (written, graphic, video and audio). Company intranet systems are
network systems that are restricted to in-company users and allow users to access policy documents, procedures
and records.

• Memos and e-mails – written notifications used to provide specific information about a single issue, such as
updating procedures, drawing attention to lapses in practice, etc. When using memos there is often limited
opportunity for feedback or questioning, so their use is really limited to issuing clear and precise instructions or
information.
• Worker handbooks – used to set out the organisation’s health and safety policy. All employees should be given
a copy on joining the organisation, and updates are usually circulated to inform staff of changes. This is a key
document, containing such information as site rules, reporting procedures, emergency arrangements, etc. It is
standard practice to issue this handbook as part of the worker’s induction and to get a receipt as proof of issue.
Key health and safety management information, such as procedures and instructions, must be broadcast using a
range of methods to ensure it reaches the correct audience and to ensure that the various barriers to communication
associated with different communication methods are overcome.
The goal is to ensure that the correct message has reached the right people, and that they have properly
understood it.
Co-operation and Consultation
A positive health and safety culture can only be created in an organisation with effective worker co-operation and
involvement. If workers feel that they are being dictated to then they will feel little ownership of health and safety.
Indeed, they may come to resent instructions being imposed from above and start to actively oppose safety initiatives
and improvements. This creates a negative culture. The most effective way to avoid this negativity, and to actively
encourage worker interest and ownership, is to involve workers in the decision-making process, which is best achieved
through worker consultation.
Consultation with workers requires an employer to consult with their own employees. Sometimes, it will also require
consultation with other workers, such as contractors working within the employer’s premises or undertaking work on
behalf of the employer.
DEFINITIONS
CONSULTING
The two-way exchange of information and opinion between the employer and workers so that the best course
of action can be agreed. This implies that the employer listens to the concerns of their workers and changes
their plans as necessary.
INFORMING
Providing information to workers in a form that they can understand and then checking that the information
has been understood. The information flow is one-way and the employer does not have to take any notice of
feedback.
Consultation implies that the employer takes note of feedback given by employees. But the consultation process is
not the only route by which feedback on health and safety topics might be given. Employee feedback can also be
gained through additional routes such as during appraisals, at departmental meetings, through suggestion schemes
and employee surveys and via complaints.
In many countries there is a legal duty placed upon employers to consult with their employees on health and safety
matters. Article 20 of ILO-C155 and Article 12 of ILO-R164 give specific standards on this. Even where there is no
legal requirement, it is recognised as good practice for the employer to consult with their employees on health and
safety matters.

Health and safety issues where consultation would be appropriate include:
• The introduction of measures affecting the health and safety of the workers.
• The appointment of safety advisers and specialists.
• Health and safety training plans.
• The introduction of new technology into the workplace that will affect health and safety.
The two methods employers normally use to consult workers are:
• Direct consultation – the employer talks directly to each worker and resolves issues as they occur. This works
well in very small organisations, but is ineffective in larger workplaces.
• Worker representatives – a health and safety committee is established, made up of key management personnel
and worker representatives. The committee meets regularly to discuss health and safety matters and resolve
issues. Worker representatives may even have specific additional rights under local law, such as paid time off for
training.
TOPIC FOCUS
Health and Safety Committee/Forum
To work effectively, the committee has to be set up and run according to agreed rules and procedures, which
form a part of the policy arrangements of the organisation. The following issues should be taken into account
in these arrangements:
• Who is on the committee? There has to be a balance between managers and workers, and the right
managers have to be included.
• How often will the committee meet? The committee should meet regularly and frequently enough to be
useful (e.g. once a month).
• Who will act as chairperson? All meetings need someone to take charge so that the discussion during the
meeting is relevant, and to make sure that everybody has an opportunity to speak.
• What authority will the committee have? The committee must be able to make decisions, otherwise there
will be lots of talk but no action. Usually, the committee will involve one or more senior managers who
have executive authority.
• What will be discussed? It is common practice for a committee meeting to have a published agenda that
has been agreed before the meeting takes place.
• How will the discussions be recorded? Minutes of the meetings are usually taken and then circulated to all
attendees and posted on noticeboards in the workplace for all workers to see.
• How will issues discussed be followed up? All agreed actions must be recorded in the minutes of the
meeting, together with the name of the person responsible for taking that action and a deadline. This
action plan can then be reviewed at the start of the next meeting to check that the action has been
completed.
The function of the safety committee/forum would include issues such as:
• Studying accident and disease statistics.
• Reviewing the reports from active monitoring in the workplace, such as safety inspections and behavioural
observations.

• Examining safety audit reports.
• Considering reports and information from the authorities.
• Considering reports submitted by worker representatives.
• Assisting in the development of procedures and policy.
• Monitoring the effectiveness of training.
• Monitoring the effectiveness of safety communications.
In this way, the committee/forum is intended to be strategic, rather than involved in trivia.
MORE...
Further information on leadership and consultation can be found at:
www.hse.gov.uk/pubns/indg277.pdf
www.hse.gov.uk/involvement
Training
Health and safety training can be defined as the planned, formal process
of acquiring and practising knowledge and skills in a relatively safe
environment.
Training is central to the effective management of health and safety in
workplaces. Employers have a responsibility to train their staff to carry out
their jobs in a safe manner. Training is a key component of competence. In
the absence of training it is difficult to develop or demonstrate competence
and, as a result, statute law in many countries requires employers to provide
appropriate training for their workers.

The reason for this requirement is simple: training has a dramatic effect on safety-related behaviour. Without training,
workers try to do their jobs to the best of their ability but they do so either by informally copying others (including
copying any bad habits and unsafe working practices that they see) or by doing the job the way that they think is best.
Once the worker has been properly trained they will understand:
• The hazards and risks inherent in their work.
• The correct rules and precautions to apply.
• Foreseeable emergencies and the actions to take, should these events occur.
• Limitations and restrictions that apply to their work.
• Their personal health and safety responsibilities.
• The consequences of breaking the rules, including disciplinary procedures.
• Who to contact with any issues.
Training Opportunities
Various circumstances require the provision of training:
• New worker – induction training takes place when workers join an organisation. This allows the worker to
learn about the organisation in a safe, structured manner and ensures that critical information is delivered
and understood. Since a worker is at risk in a workplace from their first day of work, it makes sense to deliver
induction training as soon as they start work and to cover safety-critical information, such as emergency
procedures, first.
TOPIC FOCUS
Typical content of a general induction training course for new starters:
• The organisation’s health and safety policy.
• Fire and other emergency procedures.
• Details of specific workplace hazards and controls.
• First-aid facilities and personnel.
• The location of welfare facilities.
• Safe movement around the workplace.
• Accident and incident reporting procedures.
• Worker consultation arrangements.
• General safety rules, such as no-smoking areas.
• Personal protective equipment requirements.
• Introduction to the safe systems of work and permit systems.
• Introduction to the risk assessment system.
• Responsibilities of individuals.
• Disciplinary procedures.

• Job change – additional training is necessary when a worker’s job changes in such a way that they are exposed
to new hazards and risks. For example, a healthcare worker whose job changes from being hospital-based to
delivery of care in clients’ own homes will need additional training – not in how to deliver care, since the service
they provide has not changed – but in lone working. They will be at far greater risk when they go out into the
community to conduct home visits as opposed to working in the hospital.
• Process change – when the way in which the work is done changes, workers may be exposed to new hazards and
risks that require additional training. For example, when a different product is being produced on an existing piece
of machinery, this may create new risks that require training in new safe operating procedures.
• New technology – new technologies adopted by organisations create different hazards and risks that workers
may be unfamiliar with. The mass introduction of desktop computers, screens and keyboards in the 1990s is an
example of new technology introducing new risk into workplaces. This has been further compounded with the
widespread introduction and use of mobile phones and tablets, which bring additional risks and complications to
the safe use of IT.
• New legislation – changes to the law governing a particular health and safety issue often create a need to train
workers on the implications of the new legislation, perhaps because working practices have to change or simply
to ensure understanding of the law and its requirements.
It is important to keep records of any training given, not only to record who has been trained, but also to update and
show progress against a training plan. Training records should detail the level of competence achieved, the date of
the training, and highlight when any refresher training is required. These records may be used to demonstrate to the
authorities that adequate training was provided; or to prove that an employee had received training in the event of a
civil claim for compensation or an accident investigation.
STUDY QUESTIONS
3. What are the main benefits and limitations of both written and verbal forms of communication?
4. Giving an example, state why graphic symbols (such as pictograms) are used to communicate safety
information.
5. How can workers be involved in the improvement of workplace health and safety?
6. What should be the first priority in induction training?
7. Apart from at induction, when should training be provided?

3.3Human Factors which Influence Safety-Related Behaviour
Human Factors which Influence Safety-Related
Behaviour
IN THIS SECTION...
• Individual worker behaviour is of critical importance to effective health and safety management. One worker
may behave in an ideal manner, but another may not, and their unsafe behaviour may endanger themselves and
others.
• Three significant factors influence an individual worker’s safety-related behaviour:
– Organisational factors – the characteristics of the organisation that they are working for.
– Job factors – the task that they are carrying out.
– Individual factors – their personal characteristics.
• Taken together these three groups of characteristics work together to influence a worker’s personal behaviour.
They nudge a worker to behave safely or unsafely depending on exactly how the factors are interacting at a
particular time.
Organisational, Job and Individual Factors
An issue of critical importance to health and safety management is the
way that individual workers behave. It is estimated that well over half of all
workplace accidents are caused by unsafe acts – the poor safety-related
behaviour of a worker. It is not enough to dismiss this as being due to
carelessness; this simply blames the worker and is ineffective at identifying
underlying causes or corrective actions. Instead, we must look at how
human factors influence working practices. We have to understand why
people behave the way they do at work. If we can understand that, then it
may be possible to:
• Correct poor behaviour when it is identified, by removing the cause of
that behaviour.
• Anticipate poor behaviour before it occurs and introduce changes to
reduce the likelihood of it occurring.
Consider these questions:
• Why is it that a worker might behave poorly when working for one organisation, but then behave in an entirely
different manner when they leave and start to work for another company?
• Why is it that a worker may behave safely doing one job, but then unsafe practices start to creep into their
behaviour when they are switched to another job?
• Why is it that one worker behaves safely at work, but another does not, even though working conditions for both
workers are the same?
The answer to these three questions (and the link between them) is ‘human factors’. This phrase refers to a range of
issues that influence a person’s safety-related behaviour when they are at work.
Factors which influence behaviour

3.3 Human Factors which Influence Safety-Related Behaviour
These issues can be grouped under three main headings:
• Organisational factors – characteristics of the organisation that they are working for.
• Job factors – characteristics of the job or task that they are performing.
• Individual factors – characteristics of the individual.
No one single factor dictates behaviour; they all subtly nudge behaviour in one direction or another.
Organisational Factors
These are the characteristics of the organisation that influence workers’ behaviour:
• The health and safety culture of the organisation – the way that this culture is gradually absorbed by the
individual (as already discussed).
• Commitment and leadership from management – whether this is visibly demonstrated outside the boardroom
(since behaviour in the boardroom is not witnessed by most of the workers in an organisation).
• Resources – the provision of adequate time, money, equipment and personnel to manage and carry out work
safely.
• Work patterns such as shift systems, working at night or working extended hours. This can adversely affect
workers’ health and cause fatigue, that in turn can lead to poor performance and increase the risks associated
with safety-critical work.
• Communication – how effective the organisation is at using various communication methods to convey health
and safety messages and information to the workforce, and how well the organisation then checks understanding
of those messages.
• Levels of supervision – the presence or absence of, and the competence of, supervision (in the context of health
and safety) and the way that poor safety-related behaviour is dealt with. For example, in an organisation that
undertakes engineering maintenance work, the presence of competent supervisors to oversee the work is critical
as a check to prevent both rule-breaking behaviour and human error.
• Consultation and worker involvement – the extent to which
workers are engaged and involved in the management of health and
safety issues and in the decision-making process.
• Training – how good the organisation is at identifying health and
safety training needs and opportunities, and how well it then meets
those needs to create well-informed, competent staff.
Job Factors
These are the various characteristics of the worker’s specific job or task that influence their safety-related behaviour,
such as:
• The task – the characteristics of the work itself, in particular the ergonomic requirements (see definition below).
For example, if a worker needs to bend or stoop over when carrying out a task then that task needs to be adapted
to best suit the worker concerned. In the absence of ergonomic design, workers will find the most comfortable
way of working and this may not be the safest way.
• Workload – the amount of work, rate of work, deadlines and variety of work that individuals have to cope with,
and the degree to which these are under the direct control of the worker or imposed externally.

• Environment – the workplace conditions such as space, lighting, noise, temperature and humidity and the
way that these parameters are controlled so as to minimise their impact on worker performance. For example,
workers in a steel foundry may have to undertake physical labour in a high-temperature environment, so there
is the potential for dehydration, heat stress and heat stroke. Workers may find ways of working that are not
necessarily safe, in order to minimise physical exertion. They may also start to suffer degradation in physical and
mental performance as a result of heat stress.
• Displays and controls – the design of these, and the way that poorly designed displays and controls can
contribute to the likelihood of human error (e.g. critical displays that are out of the operator’s normal field of
view).
• Procedures – the existence and quality of working procedures. If there is a lack of written procedures, or if
they are poorly written, out-of-date, overly complex or impractical, workers may not comply. To be effective,
procedures should be accurate, concise, use familiar language and they must be doable.
DEFINITION
ERGONOMICS
The interaction between the worker and their work task, work equipment and work environment so as to
achieve the best match.
One of the principles of good ergonomic design is to adapt the task, equipment and environment to suit the
needs of the individual worker.
In the context of health and safety management ergonomics is concerned with reducing the stress and strain
put on the worker during work, so as to avoid injuries and ill health (e.g. upper limb disorders caused by
repetitive handling activities) and minimise the potential for human error.
Individual Factors
People bring to their job their own personal mix of skills, knowledge, experience, attitudes, motivations, habits and
personality. These individual characteristics influence behaviour in complex and significant ways. Some of these
characteristics cannot be changed, but others can. It is important to recognise where changes to these characteristics
might be needed and what methods might best be used to make those changes. For example, if workers have a poor
attitude to machine guards it will be necessary to change their attitude, and there are various ways of attempting to
achieve this change. Competence, skills, personality, attitude and perception of risk are individual factors that we will
now look at in greater detail.
Competence
Competence is a combination of knowledge, experience, training and ability that brings a person up to a level where
they are able to perform to an acceptable standard and are aware of their own limitations.
Employers must ensure that workers are competent for the role that they carry out. To be competent a worker must
have the right combination of training and experience – simply having a qualification doesn’t necessarily make a
person ‘competent’. Carrying out the job for a long time doesn’t either! A newly-qualified person may perform tasks
more carefully than a more experienced worker, or be more up-to-date with current technology, but they may also
lack the experience that only comes with time.

3.3 Human Factors which Influence Safety-Related Behaviour
Skills
Each individual has skills that they have developed over time; some of these skills are physical (such as the ability of
a crane operator to precisely control the movement of a load) whilst others are mental (such as the ability to do
complex mental arithmetic while working). Fitting a person with the wrong skill set into the wrong role is unwise – a
person with poor manual skills may be incapable of safely controlling a piece of machinery during a work activity
because they lack the necessary skill.
Personality
Various innate characteristics underpin a person's character, such as risk-taking or risk aversion, introversion or
extroversion, etc. Attitude to health and safety can be influenced, skills can be increased and competence developed,
but a person’s personality remains largely fixed – it’s who they are.
Attitude
An ‘attitude‘ is a person’s point of view or way of looking at something; how they think and feel about it.
For example, everyone has an attitude towards work; some people think of it in a positive way and others have a
negative attitude. Attitudes develop over time, many of them quite early in life, and they have a tendency to stay with
us. This is because they are a part of self-image – the mental picture a person has of themselves and who they are.
Attitudes do change but usually slowly.
In the context of workplace behaviour, attitudes are important because a worker’s attitude will make them more or
less likely to behave safely. If a worker’s attitude to a machine guard is that the guard is great because it is there to
stop their arm being cut off, then that worker is very unlikely to remove the guard in any circumstances. But if the
worker’s attitude is that the guard is unnecessary, over-the-top, put there ‘to tick a box’ or ‘to make the job harder’,
then that worker is likely to remove the machine guard at the earliest opportunity.
Risk Perception
Different people perceive risk in different ways. Some people are very good at correctly recognising the real risk
associated with work. Others are very poor at this and either perceive risks that are not real or are trivial (making
them unnecessarily risk averse) or they do not recognise the real risks present (which means that they may expose
themselves or others to those real risks).
Various factors that can distort a person’s perception of hazard and risk, such as:
• They are suffering from an illness (e.g. ‘flu) and so they are not processing information very well.
• They are under stress and so other issues may be dominating their thinking.
• They may be fatigued and so not alert or capable of responding quickly to circumstances.
• They may be under the influence of drugs or alcohol.
• They have past personal experiences that is skewing their thinking.
• They may not have received good quality training and education on the hazards and risk of the job.
• They may be required to wear PPE that is interfering with their ability to detect the hazards creating the risk.
• Workplace conditions, such as high levels of noise, may be interfering with their ability to correctly identify the
hazard that creates the risk.

TOPIC FOCUS
Ways of Improving Worker Perception of Hazards
• Carrying out safety awareness campaigns using posters, toolbox talks, etc.
• Developing training programmes to increase awareness of the hazard and its consequences.
• Highlighting hazards (e.g. using safety signs to inform employees that hearing protection is required, or to
warn of a hazard, such as the presence of forklift trucks or wet floors). Paint and tape can also be used to
highlight hazards like low objects or changes in level (e.g. the edge of steps).
• Ensuring that there is adequate lighting.
• Removing distractions such as noise (which could result in a worker not hearing a warning) or excessive
heat (which can cause fatigue).
MORE...
Further information on human factors can be found at:
www.hse.gov.uk/humanfactors
and in the guidance HSG48: Reducing error and influencing behaviour available from the HSE website:
www.hse.gov.uk/pubns/books/hsg48.htm
STUDY QUESTIONS
8. Identify the three factors that impact on a worker’s health and safety-related behaviour.
9. Outline four key job factors that can impact on safety-related behaviour.
10. Why might workers not correctly perceive risk at work?

3.4 Risk Assessment
Risk Assessment
IN THIS SECTION...
• A hazard is something with the potential to cause harm.
• Risk is the likelihood that a hazard will cause harm in combination with the severity of injury, damage or loss that
might foreseeably occur.
• Risk profiling is the process used, at a strategic level, to recognise the range of risks that threaten an organisation
along with the likelihood and probably impacts of those risks. Risk profiling takes into consideration the risk
management controls that are already in place so that their effectiveness can be assessed and further risk
management controls identified and prioritised.
• Risk assessment is the formalised process of identifying hazards (associated with work activities and locations),
evaluating risk and then either eliminating or controlling that risk to an acceptable level.
• The main objective of risk assessment is the prevention of accidents and ill health.
• There are five steps to risk assessment:
1. Identify the hazards.
2. Identify the people who might be harmed and how.
3. Evaluate the risk and decide on precautions.
4. Record the significant findings and implement them.
5. Review and update as necessary.
• Hazards can be identified using various methods such as task analysis, legislation, manufacturers’ information and
incident data.
• Workers, contractors, visitors and members of the public must all be considered in the risk assessment process.
• Risk can be numerically scored or rated using a simple Risk = Likelihood × Severity calculation, where likelihood
and severity are allocated numbers on a scale.
• If the risk is unacceptable, then controls must be introduced to either eliminate hazards or reduce risk to an
acceptable level. The risk that remains after control measures have been introduced is called residual risk.
• Risk controls can be selected on the basis of the general hierarchy of control:
– elimination;
– substitution;
– engineering controls;
– administrative controls; and
– personal protective equipment.
• Administrative controls include safe systems of work, permits to work and the provision of information,
instruction, training and supervision.
• Safety signs are used to convey information and are categorised into five main types, all with a standard shape,
colour and meaning. Pictograms should be used, not text alone.
• The employer must supply suitable personal protective equipment when necessary and must ensure that it is
used.

3.4Risk Assessment
• Legal standards can often be used to indicate what level of risk is acceptable.
• Assessments must be reviewed after significant change, after an incident, and perhaps periodically.
• Sometimes it is necessary to focus risk assessment on a vulnerable person or group of workers, such as young
persons, new and expectant mothers, disabled workers and lone workers.
Introduction to Key Words and Phrases
Hazard
This part of the course is about risk management. Before looking at the processes and ideas involved it is important to
be clear about the meaning of some of the words and phrases used.
DEFINITION
HAZARD
Something with the potential to cause harm.
Hazards can be broadly classified as:
• Physical – things which cause harm because of their physical characteristics
(e.g. electricity, work at height, radiation, vibration, noise, heat, trip hazards,
moving machine parts, vehicles).
• Chemical – things which cause harm because of their chemical
characteristics (e.g. lead, mercury, sulphuric acid, silica, cement dust).
• Biological – living micro-organisms that cause disease and ill health (e.g.
hepatitis B virus (HBV), Legionella bacteria (responsible for Legionnaires’
disease), rabies virus).
• Ergonomic – stress and strain put on the body through posture and
movement (e.g. frequent repetitive handling of small boxes leading to
inflammation of the tendons in the elbow joint).
• Psychological – things that have the potential to cause injury to the mind rather than the body (e.g. exposure
to highly traumatic events that can leave a person unable to adjust to a normal life after the event, a condition
sometimes referred to as Post-Traumatic Stress Disorder (PTSD)).
For example, a lorry moving around a site road is a physical hazard because it might run over a worker. Sodium
hydroxide (caustic soda) is a chemical hazard because it is a highly alkaline chemical capable of causing corrosive
burns.
Note that a hazard is the ‘something’ that causes the harm. If an office worker receives an electric shock from an item
of electrical equipment that has a damaged cord, then electricity is the hazard, not the damaged cord. It is electricity
that causes the harm; the damaged cord is the failure in the controls or preventive measures. If the cord were not
damaged then the hazard would still be present (electricity is still running through the equipment) but it would be
properly controlled and the electric shock would not occur.

3.4 Risk Assessment
Risk
DEFINITION
RISK
The likelihood that a hazard will cause harm in combination with the severity of injury, damage or loss that
might foreseeably occur.
Risk can be described qualitatively using words such as ‘high’, ‘medium’ or
‘low’. There will always be some subjectivity involved since the words represent
one person’s opinion of the risk level. Different individuals have very different
personality characteristics and so two people may disagree on the level of risk
inherent in a hazard.
Risk can also be defined quantitatively using hard data. This type of quantified
risk assessment is far more rigorous than qualitative risk assessment and is
beyond the scope of this course.
Risk Profiling
DEFINITION
RISK PROFILING
The process used, at a strategic level, to recognise the range of risks that threaten an organisation along with
the likelihood and probably impacts of those risks. Risk profiling takes into consideration the risk management
controls that are already in place so that their effectiveness can be assessed and further risk management
controls identified and prioritised.
The outcome of risk profiling will be that the right risks have been identified and prioritised for action, the right
control measures have been identified and implemented and minor risks have not been given a disproportionate
priority.
Risk Assessment
DEFINITION
RISK ASSESSMENT
The formal process of identifying preventive and protective measures by evaluating the risks arising from
a hazard, taking into account the adequacy of any existing controls, and deciding whether or not the risk is
acceptable.

3.4Risk Assessment
Risk assessment is a process that people do automatically all the time. When you cross the road you carry out a
risk assessment; when you drive a car you carry out a risk assessment; when you boil a kettle you carry out a risk
assessment. But, of course, this assessment is normally done very quickly and without conscious thought or effort.
People who are not very good at this process tend to have accidents.
There are occasions in normal life, however, when you might become more aware that you are assessing risks. If you
look after very young children you will consciously think about the particular hazards that present a risk to a child. If
you start to take part in certain sports or activities, such as rock climbing or scuba diving, you will start to assess risks
in your conscious mind rather than doing it automatically.
A workplace risk assessment is simply an extension of this automatic self-preservation mechanism that has been
formalised to meet organisational requirements.
Risk Profiling
The risk profile of an organisation refer to the range of risks that threaten
the organisation along with some recognition of the likelihood and
probably impacts should those risks occur. The risk profile takes into
consideration the risk management controls that are in place so that
their effectiveness can be assessed and further risk management controls
identified and prioritised.
Each organisation will have its own risk profile. For example, a small
metalworking company may undertake various types of welding work and
therefore the risk associated with welding (such as fire and welding fume
exposure) will be relevant. A healthcare provider is unlikely to undertake
welding so these risks will not be relevant. Instead there may be significant
risks associated with home visits and lone working (such as work-related
violence).
The risk profile of an organisation informs all aspects of its approach to leading and managing health and safety. It is
the starting point for determining the significant health and safety issues for the organisation.
A risk profile examines the:
• Nature and level of the threats faced by the organisation.
• Likelihood of those adverse effects occurring.
• Level of disruption and costs associated with each type of risk.
• Effectiveness of controls in place to manage those risks.
The outcome of risk profiling will be that the right risks have been identified and prioritised for action, the right
control measures have been identified and implemented and minor risks have not been given a disproportionate
priority.
Because the risk profile of an organisation informs every aspect of its approach to health and safety management
it is important that it is carried out at a strategic level within the organisation, for example, at board level. It should,
therefore, involve input from directors and senior managers as well as competent health and safety practitioners (who
might need to be brought in as external advisers).
Different types of work carry
different types of risk

3.4 Risk Assessment
The Risk Profiling Process
At heart, the process of risk profiling is quite straightforward. It involves identifying health and safety threats to the
organisation and then prioritising those threats on the basis of their likely impacts and their probability of occurrence.
This process will be briefly described here.
• Identify the health and safety threats faced by the organisation
A range of health and safety risks threaten all organisations. These risks are created by the nature of the work
that the organisation does. They will include things such as work at height, vehicle movements, lifting operations,
manual handling, noise, ionising radiation and work-related violence. Many of these threats are discussed in more
detail in Elements 5 to 11 of this course. Some organisations will have just a few of these. Others will have all of
the main health and safety risk covered and will have a range of special risks that are particular to their type of
work (such as animal handling or genetically modified organisms).
• Identify the health and safety impacts and the business impacts that might result
Each threat identified will have a likely health and safety impact should it occur. For example, if an unprotected
worker falls from height it is likely to result in a fatality. If workers are engaged in significant manual handling they
might be injured but this will most likely result in lost time that might be reportable as an over-seven-day injury.
These two impacts are clearly of a different scale.
Each threat will also have a likely business impact. This looks beyond the physical and health effect to look at the
impact on the organisation as a whole. For example, a work-related fatality will involve an investigation by the
authorities, massive business disrupting as a direct consequence, the potential for very damaging publicity and a
catastrophic drop in worker morale. These impacts can go on for weeks, months and sometimes years resulting in
enormous direct and indirect financial damage to the organisations revenues.
• Identify how well each threat is currently controlled
The reality is that many organisations will already have a lot of control measures in place to minimise the
likelihood of these threats and reduce their impacts should they occur. These control measures must be
considered during the risk profiling process to ensure that well controlled threats are not given disproportionate
attention.
• Identify the likelihood of each threat occurring
One way to identify the likelihood of each threat occurring is to think about the timescale over which that threat
might happen, given the control measures in place. For example, in an organisation that does a lot of work at
height, but where the control measures are very well implemented, the likely timescale over which a fall from
height might happen could be between one and five years. In another organisation that does a lot of manual
handling, that is not well controlled, the likely timescale for a manual handling injury might be within days or
weeks.
• Identify the priority of each threat
The last step of the process is to prioritise the identified threats. This involves ordering them in terms of
importance based on all of the information that has been described above. The intention is to recognise the
threats that will have the most significant impacts, but that are not currently well controlled, so that they receive
the time and attention that they deserve. While ensuring that threats that will have little impact, or that are
already well controlled, do not receive disproportionate attention.

3.4Risk Assessment
In the context of health and safety management, risk profiling is concerned with health and safety risks (such as death
or serious injury from machinery operation). However, in the context of business risk management, risk profiling will
be concerned with all of the risks that threaten the assets and revenues of an organisation. Some of these business
risks will be health and safety related (such as personal injury and fire) but many will not be (such as product recall,
contraction of national economy and competition in the marketplace).
The Purpose of Risk Assessment
Risk assessment if often a legal requirement. For example, in Britain and the EU, there is a statutory duty on employers
to carry out and record general risk assessments for all work activities.
Specific health and safety law often requires that some sort of specific risk assessment is carried out. These specific
risk assessments focus solely on one type or category of hazard covered by the legislation. For example, in Britain the
Control of Substances Hazardous to Health (COSHH) Regulations require an assessment of the risk to health of
exposure to hazardous substances.
Other GB examples include:
• fire risk assessment required under the Regulatory Reform (Fire Safety) Order 2005;
• noise assessments required by the Control of Noise at Work Regulations 2005; and
• Display Screen Equipment (DSE) workstation assessment required by the Health and Safety (DSE) Regulations
1992.
In each case, a topic-specific risk assessment is required because of the
technical nature of the hazards and the need to focus exclusively on that one
hazard type in order to ensure that the risks are adequately managed.
In contrast, the risk assessment method outlined here is not hazard- or
topic-specific and so can be referred to as a general risk assessment.
The aim of risk assessment is to ensure that hazards are eliminated, or risks
minimised, by the correct application of relevant standards.
The objectives of risk assessment are to prevent:
• Death and personal injury.
• Other types of loss incident.
• Breaches of statute law, which might lead to enforcement action and/or
prosecution.
• The direct and indirect costs that follow on from accidents.
These objectives relate directly to the moral, legal and financial arguments
we discussed in Element 1.
A Suitable and Sufficient Assessment
A risk assessment should be ‘suitable and sufficient’. In other words, it should be good enough to fulfil legal
requirements and prevent foreseeable injuries and ill health from happening.
The main objective of risk assessment
is the prevention of accidents

3.4 Risk Assessment
TOPIC FOCUS
A suitable and sufficient risk assessment should:
• Identify the significant risks arising out of work, i.e. those that are most likely to occur and result in harm
being caused, with any remaining risks being at an acceptable low level.
• Identify all those persons who could be at risk, including workers and others such as visitors. Vulnerable
people, such as young persons, should also be identified.
• Evaluate the effectiveness of any current controls.
• Enable the employer to identify and prioritise the measures that must be taken to protect people from
harm, including complying with any relevant legal provisions.
• Be appropriate to the nature of the work and remain valid for a reasonable period of time. In other words,
the assessment should be proportionate to the risks in the workplace.
To expand on this last point; the assessment should be proportionate to the risks in the workplace. In other words:
• A low-risk workplace with a few straightforward, often predictable hazards (e.g. a retail shop) should have a
relatively simple risk assessment carried out by a competent person (perhaps the manager) that makes reference
to some basic guidance documents.
• A high-risk workplace (e.g. a chemical works) should have a far more complex risk assessment carried out by
competent persons (PhD industrial chemists, etc.) using detailed, complex reference material.
The first assessment might take a few hours to complete; the second might take weeks.
The Five Steps of Risk Assessment
Risk assessment can be described as a 5-step process:
2. Identify the people who might be harmed and how.
3. Evaluate the risk and decide on precautions.
Step 1 – Identify the Hazards
The first step in the risk assessment process is to identify all the significant hazards associated with the work.
As discussed earlier, hazards are the things with the potential to cause harm. It is important to identify both the safety
hazards that might give rise to immediate physical injury, and the health hazards that might cause disease or ill
health.
• Safety Hazards
There are many hazards that are capable of causing immediate physical injury:
– Work at height.
– Stacked materials.
– Moving vehicles.

3.4Risk Assessment
– Manual handling operations.
– Moving parts of machinery.
– Electricity.
– Toxic or corrosive chemicals.
– Deep water.
– A naked flame, e.g. lit propane torch.
– Animals such as dogs.
– Violent people.
• Health Hazards
Some hazards can cause occupational disease or ill-health conditions.
This can follow a single event (such as a needlestick injury infecting a
worker with the hepatitis virus), but more often occurs as a result of
prolonged exposure to the hazard over a period of weeks, months or
years. These health hazards can be categorised into five groups:
– Physical, e.g. radiation, vibration, noise, extremes of temperature,
etc.
– Chemical, e.g. lead, mercury, sulphuric acid, silica, cement dust, etc.
– Biological, e.g. HBV, Legionella bacteria (responsible for Legionnaires’
disease), rabies virus, etc.
– Ergonomic, e.g. very repetitive movement, stooping, twisting,
manual handling, etc.
– Psychological, e.g. stress and trauma.
Information Sources
Health and safety can be surprisingly complex. There is a wealth of information available which may need to be
consulted during the risk assessment process. This information comes from two principal sources: those internal and
those external to the organisation.
Internal Information Sources
Internal information sources give an insight into the nature of a health and safety issue at a local, organisational level.
Internal sources include:
• Accident records.
• Ill-health data/absence records.
• Medical records.
• Risk assessments.
• Maintenance records and reports.
• Safety representative inspections.
• Audit and investigation reports.
• Safety committee meeting minutes.
Exposure to excessively loud noise
can have a range of effects

3.4 Risk Assessment
For example, an organisation’s accident records can give an insight into the frequency and severity of manual handling
injuries that can then be used to tailor preventive and control measures in the organisation.
External Information Sources
External information sources are useful not only because they give an insight
into standards, but also because of the ‘bigger picture’ that can be gained.
External sources include:
• National legislation (e.g. regulations).
• Approved codes of practice and guidance notes published by the HSE
and other authorities (such as fire authorities).
• Standards published by the British Standards Institution (BSI) or
European and international authorities such as the International
Organization for Standardization (ISO).
• Manufacturers’ information such as operating instructions for plant and
machinery, and material safety data sheets from chemical suppliers.
• Trade associations, such as the Chemical Industries Association (CIA).
• Safety journals and magazines.
• International bodies and agencies, such as the European Union (EU) and International Labour Organization (ILO)
which set international law.
• Trade unions for a particular industry or sector (e.g. fire brigade union).
• Charities or not-for-profit organisations that have an interest in a particular type of workplace or work activity
(e.g. Suzy Lamplugh Trust) and lone working.
For example, a small organisation may not fully appreciate the hazards and risks inherent in a work activity, such as
work at height, because that activity has been carried out by the organisation without incident over many years.
However, reference to the national statistics relating to work at height may change the perspective of the organisation
by revealing the full extent of the frequency and severity of injury on a national scale.
Hazard Identification Methods
There are various methods that can be used in hazard identification, such as task analysis, reference to legal guidance,
manufacturers’ information and incident data.
• Task Analysis
This is a useful method for identifying hazards, since it allows hazards to be spotted before work starts, rather
than after the work has started. Task analysis involves breaking a job down into component steps and identifying
the hazards associated with each step, so that the safe working method can then be established to deal with each
hazard. This can be done before work starts as part of the planning process, and is how safe systems of work are
developed.

3.4Risk Assessment
TOPIC FOCUS
There is a useful abbreviation for task analysis – SREDIM:
• Select the task.
• Record the steps or stages of the task.
• Evaluate the risks associated with each step.
• Develop the safe working method.
• Implement the safe working method.
• Monitor to ensure it is effective.
• Legislation
Knowledge of the legal standards that apply to a particular workplace will help enormously in identifying
significant hazards. For example, knowledge of the law relating to work at height will allow a competent assessor
to identify which tasks might be defined as work at height and which can be ignored. Legislation is often
accompanied by guidance documents, which can also be very useful in the identification of hazards. In the UK, for
example, guidance documents exist to spell out all the hazards that exist in engineering workshops.
• Manufacturers’ Information
When a new item of plant, machinery or equipment is purchased it usually comes with an instruction book,
which contains information about all the related hazards and instructions for safe use, cleaning and maintenance.
Similarly, when a new substance is purchased it comes with labels and a safety data sheet, which clearly identifies
the hazards of the substance.
• Incident Data
Internal accident and near-miss data can be useful in identifying hazards. The main limitation here is that a hazard
may be very significant but may not yet have caused harm in the organisation and may therefore go unnoticed.
External data, such as national statistics published by the authorities, can be more useful since they identify the
real hazards and risks based on a much larger population size.
Remember that a risk assessment is a tool for identifying all of the significant hazards that exist in a workplace – all
the things that have the potential to cause harm. It is not a tool for only identifying those hazards that are poorly
controlled. So, for example, in a new office with modern computer screens and keyboards, where someone has left a
pile of boxes in front of a fire exit door, the hazards are electricity, use of DSE, fire and poor housekeeping – not just
the pile of boxes in front of the fire exit door, because that would ignore all the other hazards that exist in the office.
In an office, you are arguably at far greater risk from death by electric shock than death by boxes left in front of a fire
exit door. The first assessment takes the electrical hazard into account, the second ignores it and therefore fails.
Step 2 – Identify the People at Risk
When identifying people at risk, think not only of those carrying out particular activities but also of those who may be
affected by those activities. Individuals do not need to be named; rather general groups or populations identified:
• Workers/operators – may be directly involved with the activity, working nearby or passing by. Some hazards
create risk only for the worker carrying out the work (e.g. a worker up a ladder is at risk from falling) while others
create general risk for all employees (e.g. a vehicle traffic route that all employees may have to cross in order to
reach a staff car park).

3.4 Risk Assessment
– Maintenance staff – are often involved in the removal of the usual safeguards present in the workplace
because of the nature of maintenance work (e.g. the lift engineer who has to climb onto the top of a lift
carriage in the lift shaft, or the engineer who has to remove machine guards to repair a breakdown). If the
normal safeguards are being removed or bypassed, then risk to these workers increases and other methods
have to be found to control this risk.
– Cleaners – may be exposed to greater risk because cleaning work may involve the removal of safeguards or
additional activities that create additional risk (e.g. window cleaning from an access cradle). Many cleaners
also work alone, outside normal working hours, and therefore lone working becomes an issue.
• Contractors – may be carrying out work independent of the work being carried out by employees, or may be
working alongside employees. The workplace creates risks for these contractors and the contractors create risks
for the workplace. All these risks have to be considered through the risk assessment process.
• Visitors – to the workplace may not be working but are still exposed to certain types of risk (e.g. fire).
• Members of the public – may simply be in the vicinity of the workplace, yet still affected by certain types of
hazard. For example, a release of toxic chlorine gas from an industrial site will affect passers by and those who
live near the site. In some instances, trespassers (uninvited visitors) may get onto the site. This is particularly
important with regard to the possibility of children coming onto the premises (e.g. playing on building sites, or
near railway lines).
In certain instances, identifying general groups of people who might be harmed by hazards is inadequate and a more
specific focus has to be applied to a particular person, or type of person, who is more vulnerable for one reason or
another. Young people, new and expectant mothers, disabled workers and lone workers are all special cases (see later
in this element).
Step 3 – Evaluate the Risk and Decide on Precautions
Having identified a particular hazard and the people who might be harmed by it, the next step in the risk assessment
process is to answer a simple question: is the level of risk generated by the hazard acceptable, or does it need to be reduced?
The question may be simple, but the answer can at times be complex.
Likelihood, Severity and Risk Rating
Risk is a combination of the likelihood that a hazard will cause harm and the foreseeable severity of injury, should
harm occur.
While some hazards create risk to safety, i.e. immediate physical injury, many hazards create risks to health. For
example, many chemicals create health risks. These health risks may be acute or chronic in nature.
• Acute health effects are short-term effects often experienced immediately after exposure to the hazard. For
example, exposure to high levels of carbon monoxide gas will cause immediate unconsciousness followed by
death within a few minutes.
• Chronic health effects are long-term effects. These often occur as a result of routine exposure to the hazard. For
example, noise-induced hearing loss can occur as a result of frequent exposure to excessively loud noise over
months or years.
Risk can be qualitatively described using words such as ‘very high’, ‘high’, ‘medium’, ‘low’ or ‘insignificant’. The
problem with these or similar words is that they mean different things to different people, and so they are not used
consistently.
An alternative approach that is commonly adopted is to break risk down into its two component parts and define
each separately:
Risk = Likelihood × Severity

3.4Risk Assessment
By simply assigning a number score to each word it is possible to calculate a numerical risk rating for a particular
hazard. For example:
Likelihood Severity
1 = extremely unlikely 1 = very minor injury
2 = unlikely 2 = first-aid injury
3 = possible 3 = lost-time injury
4 = likely 4 = hospital treatment
5 = very probable 5 = disabling injury
Using this scoring system, the numerical risk rating generated by a trailing electrical cord positioned across a busy
corridor might be calculated as 5 × 4 = 20 (very probable × hospital treatment).
The same electrical cord trailing on the floor close to the rear wall of a rarely visited plant room might be rated as
1 × 4 = 4 (extremely unlikely × hospital treatment).
Note that in both instances the severity of injury is the same. This will sometimes be the case when the same hazard is
being considered, but not always. For example, put the trailing cord in a care home for the elderly and the foreseeable
injury becomes more severe simply because the elderly have brittle bones and suffer severe injuries when they fall
over.
There is no one right or wrong way to calculate the risk. Different organisations use different numbers and
descriptions of likelihood and severity. It is the general principle that is important here, not the exact words and
meanings.
Risk assessment matrix

3.4 Risk Assessment
The graphic demonstrates how risk levels can be categorised using numbers and colour coding. In this example, green
identifies a low risk and red identifies a high risk, and intermediate risks are shown in between.
Using a numerical risk rating system such as the example shown above can be useful for several reasons:
• Clarity of thinking – people tend to think more carefully about likelihood and severity of foreseeable injury
when they are asked to use this type of scoring system, and so it gives a more accurate end result.
• Consistency of approach – different people can use this system and will get similar results.
• Prioritisation – since risk is now represented by a number, and the higher the number the greater the risk, it is
possible to easily separate out the various risks presented by several hazards and rank them in order.
General Hierarchy of Control
When hazards are identified through the risk assessment process, it is necessary to decide on the precautions needed
to control those hazards to an acceptable level. This is the most important part of the risk assessment – identifying
the further action that is needed and taking that action.
When trying to decide what further precautions might be appropriate to a particular situation, a useful approach can
be to use a risk control hierarchy.
TOPIC FOCUS
The general hierarchy of risk control (based on ISO 45001 and ILO-OSH 2001):
1. Elimination.
2. Substitution.
3. Engineering controls.
4. Administrative controls.
5. PPE.
The control options explained above are set out as a hierarchy: eliminating the hazard is the preferred option, since
the risk associated with that hazard is then also eliminated. If this is not possible, the next best option should be
considered: substitute the hazard with something less hazardous. If this cannot be done, then engineering controls
should be considered. The least effective options are to rely on administrative controls and PPE.
You will remember that human factors have a part to play in effective health and safety management, so it makes
sense that a technical engineering control will be more effective than a procedural administrative one, and that a
procedural control will, in turn, be more effective than one that relies on behaviour (e.g. wearing PPE). In this way,
we can think of the various control options as a hierarchy, where controls at the top of the hierarchy are the most
effective and those at the bottom are the least effective.
Each step of the hierarchy is outlined in the following section.
Elimination
If a hazard can be eliminated, then the risk created by that hazard disappears. This might be done by completely
avoiding an activity that gives rise to risk. For example, an assembly workshop could stop welding steel in order to
avoid the risks inherent in welding operations, and could buy in pre-fabricated metal components. The obvious
limitation to this approach is that it is not possible to apply it to most of the activities carried out in the workplace. In
this case, it may be possible to eliminate one or more hazards inherent in an activity.

3.4Risk Assessment
For example, hazardous substances can sometimes be replaced with materials that do the same job but present
no risk to health (i.e. they are non-hazardous). Lifting equipment such as hoists and lifts can be used to completely
eliminate manual handling. Machinery can be purchased that generates less noise to such an extent that there is no
risk of hearing damage.
Substitution
Sometimes, hazard elimination cannot be achieved, but it is possible to substitute one hazard with another that
creates less risk. For example, one hazardous substance classified as ‘toxic’ (i.e. lethal in small doses) is substituted with
one that is ‘irritant’. The replacement substance is still hazardous, but far less hazardous. A handling aid such as a sack
truck does not eliminate manual handling, but it does reduce the risk of injury associated with moving boxes around
in a workplace.
Engineering Controls
Engineering controls involve the use of an engineering solution to prevent exposure to the hazard.
This might be done by:
• Isolation or total enclosure – the aim here is to isolate the hazard physically so that nobody is exposed to it. This
might be done by total enclosure or containment of the hazard (e.g. total enclosure of a process which generates
dust to prevent its escape, acoustic enclosure of a noisy machine to reduce the noise exposure of those nearby, or
guards around moving machinery to prevent contact).
• Separation or segregation – simply placing the hazard in an inaccessible location. An example would be
overhead cables where an electrical conductor has been placed out of reach. In this case, precautions have to be
taken to ensure that safe distances are maintained at all times (e.g. the use of goalposts to warn plant operators
on a construction site of the safety distances for live electrical overheads).
• Partial enclosure – for example, a hazardous substance might be handled in a fume hood or partial enclosure
which the worker can reach into for handling purposes. Air is extracted from the top or back of this partial
enclosure so that any airborne contaminant is extracted from the enclosure away from the worker.
• Safety devices and features that ensure that the item is used in the correct way and not an unsafe way. For
example, interlock switches are fitted to movable guards on machinery to ensure that, when the guard is open,
the machine will not operate (but when the guard is closed, it will).
Administrative Controls
Administrative controls are those that rely on procedures and behaviour, such as:
• Safe system of work – this is a formal procedure which defines a method of working that eliminates hazards
or minimises the risks associated with them. Safe systems of work are necessary whenever hazards cannot be
physically eliminated and some element of risk remains. This applies to any task involving significant risk. So, there
is a specified routine for setting and detonating explosives in a quarry. The safe system is essential to prevent
accidents or other incidents. Certain high-risk work activities may be controlled by a permit-to-work system
(described later) as a part of the safe system of work.
• Reduce exposure – if the degree to which a worker is exposed to a hazard can be reduced, then that worker
is far less likely to have an accident with that hazard. For example, an engineer who spends all day working on
machinery with hazardous moving parts is more likely to suffer injury than an engineer who only spends one
hour of their working day exposed to the same hazard. The duration of each exposure (e.g. for 10 minutes or for
8 hours) and the frequency of exposure (e.g. once a week or 10 times a day) will both play a part here – the less
time and the lower frequently, the better.

3.4 Risk Assessment
• Reduce time of exposure – many health hazards in the workplace cause a degree of harm that is entirely
dependent on the dose that a worker receives (e.g. the harm caused by noise, vibration, radiation and most
hazardous chemicals (such as lead)). The dose is determined by two principal factors:
– The concentration, intensity or magnitude of the hazard present.
– The time of exposure.
For example, the harm to hearing caused by exposure to loud noise is entirely determined by the noise intensity
(measured in decibels) and the duration of exposure:
– If you are exposed to the same noise intensity for twice as long, it gives you twice the dose of noise; if you are
exposed for half as long, it gives you half the dose.
– The dose of noise determines the degree of damage done: the greater the dose, the more harm done.
In all of the cases where harm is dose-related, limiting the time of exposure is an important control measure that
can be practically used in the workplace.
• Information, instruction, training and supervision – training is instrumental in enabling employees to become
competent. A competent employee is equipped with all relevant information and is fully aware of the hazards and
the use of appropriate preventive measures.
One way that an employer might provide basic health and safety information is through the use of safety signs
(see below).
• Supervision – refers to management routinely checking workers and exercising their authority to control
behaviour. Supervision, which is of critical importance as a management control, does not necessarily mean
constant oversight of workers and the workplace. It is possible to supervise workers by making occasional contact
with them at suitable intervals throughout a working period and it is possible to supervise workers remotely (i.e.
from a distance).

3.4Risk Assessment
TOPIC FOCUS
Safety Signs
Safety signs combine shape, colour and pictograms to convey specific health and safety information or
instructions. While there are regional variations, the standard safety signs are divided into five categories:
• Prohibition – directed at stopping dangerous behaviour, e.g. ‘No smoking’. The signs are circular with a
black pictogram on a white background with a red border and red diagonal cross bar.
• Warning – tell people to be careful of a particular hazard, e.g. ‘Forklift trucks operating in the area’. The
signs are triangular with a black pictogram on a yellow background with a black border.
• Mandatory action – instruct people to take a specific action, often relating to wearing personal protective
equipment, e.g. ‘Eye protection must be worn’. They are circular with a solid blue background and a white
pictogram.
• Safe condition – identify safe behaviour or places of safety, e.g. ‘First-aid station’. They are rectangular or
square with a white pictogram on a green background.
• Fire-fighting equipment – identify particular items of equipment, e.g. ‘Hose reels’. They are rectangular
or square with a white symbol or pictogram on a red background.
Prohibition
No Unauthorised Entry
Warning
Toxic Material
Mandatory
Safety Boots Must Be Worn
Safe Condition
Emergency Escape Route
Fire-Fighting Equipment
Hose Reel
Examples of safety signs
Pictograms must be used on the signs, not just text. This is to overcome any language barrier that might
be created if text alone were used (as a result of illiteracy, learning difficulties, language or certain eyesight
impairments).
It is important to recognise that workers may not know the meaning of the safety signs in use in a
workplace (some are obvious but others not) and therefore safety signs must be included in induction or
job-specific training.

3.4 Risk Assessment
Personal Protective Equipment (PPE)
DEFINITION
PERSONAL PROTECTIVE EQUIPMENT
Equipment or clothing that is worn or held by a worker that protects them from one or more risks to their
safety or health.
There are instances where none of the above control measures can be used and there are times when some of them
can but residual risk still remains. If this is the case, then it may be necessary to use PPE. Many different types of PPE
are available, such as:
• Ear defenders for noise.
• Gloves to prevent contact with substances hazardous to the skin.
• Respiratory protection against substances hazardous by inhalation (breathing in).
• Eye protection against splashes of chemicals and molten metals, mists, sprays and dusts, projectiles and radiation
including laser lights.
TOPIC FOCUS
Under GB’s Personal Protective Equipment at Work Regulations 1992, it is the duty of the employer to:
• Supply suitable PPE where risks cannot be controlled by other more effective methods. ‘Suitable’ means:
– It is appropriate for the risks and the conditions.
– It is ergonomic (i.e. user-friendly).
– It fits properly.
– It does not increase overall risk.
– It complies with any relevant standards.
• Ensure that when two or more items of PPE have to be worn together they are compatible.
• Provide suitable storage accommodation for PPE.
• Provide information, instruction and training to workers on the PPE they are expected to wear.
• Enforce the use of PPE.
• Replace or repair damaged or lost items.

3.4Risk Assessment
The benefits and limitations of PPE are summarised in the table below:
• It can be used as an interim
control while more expensive
or difficult controls are put in
place.
• In some situations, it may
be the only control option
available.
• It may be needed as a back-up
for emergencies when other
controls have failed.
• It is usually cheap.
• It gives immediate protection.
• It only protects one person –
the wearer.
• It may not protect adequately if
it is not fitted correctly.
• It may not be comfortable and
may interfere with the wearer’s
ability to do the job.
• It may increase overall risk
by impairing the senses (e.g.
goggles that mist up).
• It may not be compatible with
other items that have to be
worn or used.
• People do not like wearing PPE.
• If it fails, it fails to danger (the
worker is exposed to risk).
TOPIC FOCUS
Collective Protection Over Personal Protection
Collective protective measures are those that protect the whole workplace and everyone who works there, as
opposed to personal protective measures, which protect single individuals.
These two approaches are behind the concepts of a safe place and a safe person:
• Safe place – the environment of the workplace, where the emphasis is on collective protection through
the correct design, selection and engineering of premises, plant, machinery, equipment, processes and
substances.
• Safe person – individual behaviour, where the emphasis is on the competence of workers who have
received adequate information, instruction and training and follow SSW.
Why a Hierarchy?
The controls options explained above are set out as a hierarchy: eliminating the hazard is the most preferred option
and PPE the least preferred. The reason for this relates directly back to the human factors we discussed earlier in this
element.
Workers do not behave in an ideal way in the workplace – they break rules knowingly and are subject to human
error. Administrative controls and PPE are very reliant on personal behaviour and therefore are likely to be the least
effective of all of the control options.
Worker wearing various types of PPE

3.4 Risk Assessment
ILO-OSH 2001 refers to the above hierarchy of preventive and protective measures, and also states that hazard
prevention and control procedures or arrangements established should:
(a) be adapted to the hazards and risks encountered by the organisation;
(b) be reviewed and modified if necessary on a regular basis;
(c) comply with national laws and regulations, and reflect good practice; and
(d) consider the current state of knowledge, including information or reports from organisations, such as labour
inspectorates, occupational safety and health services, and other services as appropriate.
Use of Guidance and Legal Standards
The numerical risk rating system (Risk = Likelihood × Severity) described earlier is very useful as a practical tool for
the day-to-day management of risk in a fast-changing workplace. It allows for a simple and consistent approach to
the management of risk and the decision-making process. However, the one thing that this system does not consider
is legal standards. If there are clear legal standards about the controls that should be applied to a particular hazard in
a workplace, then the use of a scoring system and risk prioritisation and timescales, etc. becomes largely redundant.
The only question that really matters is: are we doing what the law requires?
If there is no clear legal standard, or where the legal standard is open to interpretation, there may still be guidance
published by the authorities that clearly identifies the controls that are expected. Reference to the law, any semi-legal
codes of practice, and guidance published by enforcement agencies is therefore important in determining what the
precautions should be for a particular hazard in the workplace.
Residual, Acceptable and Tolerable Risk
Once control measures have been introduced and are taken into account, the current risk level can be estimated
using likelihood and severity.
The risk that remains once these new or existing controls have been taken into account is called the residual risk:
• If the residual risk is low then it might be considered acceptable – the existing controls are adequate. Nothing
more need be done. In effect, the risk assessment has confirmed that the current situation is acceptable.
• If the residual risk is high, a decision has to be made about whether this residual risk is tolerable or unacceptable:
– Tolerable implies that it is not acceptable but it can be tolerated for a short time while interim controls are
put into place.
– Unacceptable implies that the risk level is too high for work to be allowed to continue.
In the case of both tolerable and unacceptable risk, additional controls will need to be put in place to reduce the risk
down to an acceptable level. Once these controls have been implemented a new residual risk level is created.
Priorities and Timescales
A straightforward link can be made between the level of risk associated with a particular hazard and the prioritisation
of that hazard: the higher the risk, the higher the priority.
You might also assume that a high risk demands a short timescale for corrective action and a low risk can be allowed
to persist for a longer period of time, but the problem with this simple link is that an inspector might not accept that
a long timescale could be applied to a simple, low-cost remedy; it should be implemented immediately because it is
easy to do immediately.
So, priority and timescale are linked but they are not the same thing. Priority is the relative importance or urgency of
an issue and will usually be linked to the risk level. Timescale is the length of time given for corrective action and must
be decided based on the risk level, cost, practical difficulty, etc. of the control measure.

3.4Risk Assessment
Step 4 – Record Significant Findings and Implement
The significant findings of a risk assessment should be recorded to provide a
statement of the hazards in the workplace, the extent of the risks that they
present, and the action taken to control those risks.
There is no standard format for risk assessments, so different organisations
can adopt a format that is most appropriate to their circumstances. Typical
content would include:
• Identification of the activity/area assessed and of the significant hazards.
• Identification of groups at risk and those especially at risk.
• Evaluation of the risks and the adequacy of existing control measures.
• Action plans for implementing further precautions needed.
• Date of assessment and name of the competent person carrying out the assessment.
• Review date.
Step 5 – Review and Update
A risk assessment must be reviewed and amended as necessary if there is reason to suspect that it is no longer valid or
if there has been a significant change.
TOPIC FOCUS
A number of situations can trigger a review of a risk assessment:
• Significant change to something that the risk assessment relates to:
– Process.
– Substances.
– Equipment.
– Workplace environment.
– Personnel.
– Legal standards.
• There is reason to suspect that the assessment is not valid:
– Accident.
– Near miss.
– Ill health.
It is also good practice to review risk assessments on a regular basis. This is often done by determining a
frequency of review based on the level of risk associated with the activity in question. An annual review of risk
assessments is common practice in many workplaces.
A typical risk assessment form

3.4 Risk Assessment
Special Cases and Vulnerable Workers
There are times when a risk assessment has to focus on one person, or one specific group of workers, because they
are more vulnerable to particular hazards (or more at risk).
Young Persons
A young person is often defined by local law (e.g. in the UK a young person is anyone under the age of 18 years).
There are several reasons why a young person might be more vulnerable to risk in a workplace:
• Lack of experience in workplaces in general.
• Physical and, perhaps, mental immaturity.
• Poor perception of risk.
• Heavily influenced by peer group pressure.
• Eager to show a willingness to work.
• Less developed communication skills.
For these reasons, you often need to think more carefully about the work that a young person is doing. It may be
necessary to:
• Carry out risk assessments specifically with young persons in mind.
• Prohibit a young person from carrying out certain high-risk activities (e.g. operating complicated machinery).
• Restrict their work patterns and hours (no night-shift work or overtime).
• Train and supervise them more than other workers.
• Provide mentors to monitor and supervise young persons more closely than other workers and to provide clear
lines of communication.
• Provide specific health surveillance.
New and Expectant Mothers
Pregnant women and new mothers (while breastfeeding, or for the first six months after giving birth) are more at risk
from certain types of hazard. In most of these instances, the hazard presents a risk not only to the woman but also to
the baby. Many of these hazards can cause miscarriage, birth defects, or ill health in the baby. Consequently, new and
expectant mothers are often picked out by local law which requires that they be given special consideration through
the risk assessment process.

3.4Risk Assessment
TOPIC FOCUS
Hazards that present greater risk to pregnant women include:
• Certain hazardous chemicals (e.g. lead).
• Certain biological agents (e.g. the rubella virus).
• Manual handling, especially later in pregnancy.
• Extremes of temperature.
• Whole-body vibration.
• Ionising radiation.
• Night shift work.
• Stress.
• Violence.
In all cases where a woman reports that she is pregnant, a risk assessment should be carried out focusing on the work
that she is doing and the hazards that might increase risk to her and the child. It may then be necessary to:
• Change the type of work or the way that it is done.
• Change the hours of work.
• Suspend the woman from the workplace.
These options are usually subject to local statute law, and remember that there will usually be other general
employment and anti-discrimination legislation that should be considered, not just health and safety law.
MORE...
Further information on new and expectant mothers can be found at:
www.hse.gov.uk/mothers
Disabled Workers
People with disabilities may be at greater risk from particular hazards, depending on the nature and extent of their
disability. For example, a visually-impaired worker may be able to carry out a packaging operation at their workstation
without any risk to themselves or others, but they may find it very difficult to evacuate from the building during a
fire using an escape route that is unfamiliar to them. In this instance they may need some assistance in the form of an
‘evacuation buddy’ (assistant).
During the risk assessment process it may be necessary to:
• Identify certain health and fitness criteria for some jobs and then evaluate staff against these criteria. This may
result in those with a certain disability being excluded from doing these jobs (e.g. forklift-truck drivers should have
their eyesight checked before being allowed to drive).
• Identify workers with known disabilities and consider what the implications of their particular type and level of
disability might be.

3.4 Risk Assessment
Again, remember that there is usually other employment and anti-discrimination legislation that should be considered
at the same time as any relevant health and safety law.
MORE...
Further information on disability and health and safety can be found at:
www.hse.gov.uk/disability
Lone Workers
People who work entirely on their own for periods of time, or those who are not alone but are not with colleagues on
whom they can rely on for help, might be classified as lone workers. For example, a service engineer who spends four
hours alone in a plant room servicing machinery is a lone worker, but so is a healthcare worker who travels around in
the local community visiting elderly patients to provide care (even though they may be in sight of other people at all
times during their working day).
Lone workers are a group of workers who are especially vulnerable in certain instances:
• They may be more at risk of violence, particularly if the worker
is exposed to members of the public, has to travel out into the
community, or is involved in work that brings them into contact with
violent people (e.g. in prisons or mental health institutions).
• They may be more at risk if they are injured or fall ill. Certain types of
work involve a high risk of personal injury or ill health (e.g. confined
space entry). In these situations, lone working may be inappropriate
or additional precautions may be necessary to protect the individual.
We will discuss precautions that might be adopted to safeguard lone
workers in more detail later in this element.
The precautions that might be adopted to safeguard lone workers are covered in more detail in Element 5.

3.4Risk Assessment
STUDY QUESTIONS
11. Why is the distinction between hazards and risks so important to health and safety management?
12. What is the purpose of risk assessment?
13. What techniques are used for identifying hazards?
14. Identify two internal and two external sources of information about health and safety.
15. What are the five categories of health hazard?
16. What are the five steps involved in risk assessment?
17. Apart from office workers, what particular people or groups might require special consideration during a
risk assessment in an office environment?
18. What two factors are used to estimate risk?
19. What is residual risk?
20. What is the general hierarchy of control?
21. What conditions might trigger a risk assessment review?
22. What type of sign is represented by the following pictograms?
(a) (b) (c) (d)
23. When should PPE be used?

3.5 The Management of Change
The Management of Change
IN THIS SECTION...
• Various changes can have an impact on health and safety at work. This includes temporary works such as short-
term building projects and changes to work process, equipment and procedures.
• The control measures for the management of change include risk assessment; effective communication and co-
operation between those undertaking the work and those who might be affected; appointment of competent
people to manage and undertake the work; effective segregation of work areas; amendment to emergency
procedures where necessary and appropriate welfare provision for the workers.
The Impact of Change
Workplaces experience change routinely. Changes may be due to construction work (often referred to as temporary
works), change of process, change of equipment or change of working practices.
Temporary works include short-term building projects, building maintenance, renovation, demolition and excavation
works. Temporary works can be very minor, short-duration work, such as painting and decorating a small office, repair
of damage to coping stones on top of a brick wall or excavation of a shallow trench to give access to buried telephone
wires. They can also include major construction projects, such as the construction of a large extension to a
distribution depot, demolition of a derelict building on factory premises or major refurbishment works to both the
exterior and interior of a 100-year-old civic building.
The hazards of temporary works can present a risk to the workers and
others affected by the temporary works. These workers may be contractors
working for an external employer engaged to undertake the work (such as
a building company engaged by a client to undertake construction work).
They may be in-house employees (such as the employer’s own in-house
building maintenance team). The workers may be a mixture of in-house
employees working alongside external contractors.
Very importantly, the hazards of temporary works can also present risk to
others who are working in the workplace when the work is underway and
those who might be visiting or passing through or by the work area.
For example, external lamp cleaning and maintenance work undertaken
by external contractors at a leisure centre run by a local council could
potentially present risk to:
• The workers themselves.
• Leisure centre staff.
• Leisure centre customers (including children, the elderly and the disabled).
• Members of the public passing by outside the site.
The establishment of a temporary work site within an existing workplace can disrupt the ‘usual’ control measures
that will already exist within that workplace. Again, the disruption caused will depend very much on the nature of the
existing workplace and the nature of the temporary works. Examples would include:
• Disruption to the one-way system of an on-site vehicle traffic route caused by emergency drain repair works to
part of the traffic route.
Even minor temporary work
presents risk

3.5The Management of Change
• Isolation of part of an automatic fire detection system because of hot works in one part of a multi-storey building.
• Closure of a fire escape route because of refurbishment works to the corridor and stairway that forms a part of
the escape route.
Managing the Impact of Change
Risk Assessment
The temporary works or other change and its impact on the existing workplace must be fully risk assessed. This
assessment must include consideration of the hazards associated with the work and those created by the impact of
the work on the existing workplace. Proper consideration must be given to all of the people who might be affected by
the hazards with special consideration given to vulnerable groups such as children, the elderly, the disabled, etc.
It is the employer’s duty to carry out a suitable and sufficient risk assessment for the work activity. This duty would
therefore fall to any contractor engaged in the work activity but would also fall to any employer occupying a
workplace where the work was taking place. The risk assessment requirement is, in effect, a shared duty.
Communication and Co-operation
Effective communication and co-operation between the various parties undertaking the work and all those affected
by the work is essential. This must be achieved by proper planning of the temporary works or change. Information on
the hazards and risks present in the existing workplace and created by the temporary works must be exchanged. In
this way, the employer in control of the existing workplace can anticipate foreseeable risks to their employees created
by the works.
This communication and co-operation is best achieved by pre-work planning meetings of all of the parties involved.
Such meetings are best conducted at the works site in order to anticipate site-specific issues.
Appointment of Competent People
All of the people involved in temporary works or change must be competent. This includes not only the workers
involved in the work itself, but also those involved in the management of the work. ‘Competent’ means sufficient
training, skills, experience and knowledge (and perhaps other abilities such as attitude and physical ability) to be able
to carry out their work safely.
Segregation
The area where the temporary works or change is to take place must be effectively segregated from the existing
workplace. This should be accomplished by use of physical barriers and signage. Access points to the work site
must be controlled to prevent unauthorised access. Signage may need to be used at these access points to indicate
additional rules that may apply within the work area (such as use of PPE).
Segregation is necessary to prevent unauthorised people getting into the areas where the temporary works are taking
place. This might include employees of the workplace where the work is taking place, customers and members of the
public who want to pass through the work area. Segregation is also necessary to protect the worker engaging in the
work from other routine work activities taking place in their vicinity, such as workplace vehicle movements.

3.5 The Management of Change
Emergency Procedures
Consideration must be given to the emergency procedures that may have to be established because of the nature
of the temporary works or change. For example, work involving the use of cherry pickers (mobile elevating work
platform) may require the development of an emergency procedure in case a worker should become stranded in the
cradle of the machine. Inevitably, some emergency procedures will involve the existing workplace where the work is
taking place. For example, procedures for dealing with a chemical release might have to be adopted if a hazardous
chemical were used as a part of the work.
Consideration must also be given to existing emergency procedures that have to be modified as a consequence of the
impact of the temporary works. For example:
• Alternative fire detection and alarm procedures that are put in place because of the temporary isolation of part of
an automatic fire detection and alarm system during hot works.
• Alternative emergency escape routes that have to be designated because of the closure of an existing escape
route. This may require the use of temporary signage and emergency lighting.
Welfare Provision
Adequate welfare provision must be made for the workers engaged in the
temporary works or change. This will include issues such as access to:
• Drinking water.
• Changing rooms.
• Storage for clothing.
• Sanitary conveniences.
• Washing facilities.
• Rest and eating facilities.
Review
It is important that as the planned changes are introduced and implemented, there is a regular review process to
ensure that health and safety risks are controlled. This review should involve all of the relevant stakeholders and
forms an inherent part of the communication and co-operation process outlined above. It will also involve review and
perhaps update of the relevant risk assessments.
A review should also take place on completion of the changes. This can be useful for two main reasons:
• to address problems and opportunities presented by the change that has been made, and
• to highlight learning opportunities for the change management process so that future changes can be carried out
in a more effective way.
STUDY QUESTION
24. Identify five management controls that should be considered for the control of risks created by temporary
works.
(Suggested Answer is at the end.)

3.6Safe Systems of Work
Safe Systems of Work
IN THIS SECTION...
• A Safe System of Work (SSW) is a formal procedure based on a systematic examination of work in order to
identify the hazards. It defines safe methods of working that eliminate those hazards, or minimise the risks
associated with them.
• It is the responsibility of the employer to develop SSWs with the involvement of both competent persons and
employees who will be carrying out the work. These safe systems must be documented.
• SSWs are usually developed using the process of task analysis, which involves breaking work down into a series of
steps so that hazards can be identified and risk controlled at each step using technical, procedural and behavioural
controls. Once developed, safe systems must be implemented and monitored to ensure continued effectiveness.
Introduction to Safe Systems of Work
A Safe System of Work (SSW) is a formal procedure based on a systematic examination of work in order to identify
the hazards. It defines safe methods of working that eliminate those hazards, or minimise the risks associated with
them.
We can identify three key elements from this definition of a SSW:
• The SSW is formal – documented or recorded in some way.
• It results from a systematic examination of work in order to identify the hazards – it is the result of risk
assessment.
• It defines safe methods – it is the safe procedure or work instruction.
So, simply put, the employer should carry out a systematic risk assessment, identify the hazards and necessary
precautions and then formally record the safe way to carry out the task, taking this all into account.
TOPIC FOCUS
To be effective, the SSW must bring together people, equipment, materials and the environment in such a
way as to create a safe work method:
• People: Who is the SSW for? What level of competence or technical ability should they have? Are there
vulnerable persons involved? How many people are working on the task?
• Equipment: What plant or equipment will be worked on? What equipment will be used? What safety
equipment will be required? What are the hazards associated with the job and the equipment?
• Materials: What materials will be used or handled during the work? What are the hazards of the
materials? How will waste be disposed of?
• Environment: In what type of environment will the work take place (e.g. space, light and temperature)?
Might any of these environmental issues increase risk or need to be controlled?
It is the responsibility of the employer to ensure that SSWs are available for all work activities that create significant
risk, just as it is the responsibility of the employer to carry out risk assessment of all work activities. SSW become
particularly important when significant residual risk remains after control measures have been introduced into work
processes. They are also particularly important when the normal control measures present in the workplace are
removed, as often happens during maintenance work, cleaning or construction work.

3.6 Safe Systems of Work
SSWs should be developed by people with the relevant knowledge, experience, training and skills to understand
the work under analysis. This implies that the people responsible for SSW development must be competent. In the
absence of competence, key hazards may be missed and key risk not addressed. This might result in a flawed SSW
that does not actually control the risk to an acceptable level.
Worker Involvement
The competent person must work closely with the workers who will be doing the work. The workers involved
should take an active part in all stages of both the development and review of SSWs. Their practical knowledge and
skills provide a valuable source of information about the nature of the risks, including unusual ones, and methods
of working. They can also contribute by assessing plans and written documentation, and provide feedback on the
effectiveness of the system in practice.
Involvement in this way enables workers to gain a deeper understanding of the hazards and risks, and of the way in
which the SSW will minimise those risks. This encourages ownership of, and commitment to, safe working methods
among workers. As management have involved and engaged the workforce (rather than simply enforcing a procedure
they have developed) this can help develop a positive health and safety culture.
Written Procedures
Documenting SSWs provides a precise reference for all workers, and ensures
consistency of method, especially as the procedure may be complex or
detailed – passing information via ‘word of mouth' is an unreliable method
of communication and prone to errors. It also provides a reference for
use in training and instruction in safe procedures and, as most procedures
will need to be consulted on more than one occasion, the creation of a
definitive document is a way of ensuring consistency whenever the process
is carried out.
SSWs may be recorded in the form of short notes, or perhaps manuals
detailing exactly what steps to take when carrying out more complex and
lengthy procedures, such as calibrating and setting up grinding wheels. SSW
documentation can be accompanied by checklists for employees to use
as aids to ensure that all the correct steps are taken, and to tick off details
before continuing with the next step or starting operations. Written SSWs
also establish a standard that can be audited, and provide the employer with a written record, which may be required
for legal reasons, such as in incident investigations or during enforcement action.
Technical, Procedural and Behavioural Controls
A SSW will involve all the elements of control that we identified earlier in the general hierarchy of controls:
• Technical controls – applied directly to the hazard in order to minimise the risk. This may involve fencing or
barriers of different kinds to isolate workers from the hazard as far as possible, or security devices built into
equipment to stop its operation if there is a fault.
• Procedural controls – 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 have to be taken. Often, procedures
will relate to the correct operation of technical controls.
• Behavioural controls – how the individual worker acts in relation to the hazard. They include general points of
good practice in the workplace (e.g. good housekeeping, and specific measures such as the use of PPE).
Checklists can be a useful part of a
SSW

3.6Safe Systems of Work
As we noted earlier in the section on risk assessment, technical controls are preferable to procedural ones, which, in
turn, are preferable to behavioural ones. This is because behavioural controls have a very heavy reliance on personal
behaviour whereas technical controls do not require people to do the right thing in the right circumstances all of the
time.
Developing a Safe System of Work
As a part of the planning process, SSWs are developed by task analysis prior to work commencing. Task analysis is the
process of breaking a job down into its component steps and then identifying the hazards associated with each step.
The safe working method can then be identified to deal with each hazard.
Task Analysis
Can you remember what the abbreviation SREDIM represents? We explained it earlier on when we discussed hazard
identification and task analysis.
• Select the task to be analysed.
• Record the steps or stages of the task.
• Evaluate the risks associated with each step.
• Develop the safe working method.
• Implement the safe working method.
• Monitor to ensure it is effective.
So, for example, a vehicle breakdown and recovery company might perform
task analysis on the job of changing the wheel on a customer’s car.
This analysis might identify the key steps of the task as:
• Step 1: Park breakdown vehicle.
• Step 2: Remove faulty wheel.
• Step 3: Fit spare wheel.
• Step 4: Leave.
The risks associated with each of these steps would then be evaluated. For
example, at Step 2, one of the risks identified might be movement of the
customer’s car after it has been raised up, causing it to collapse. Being struck
by passing traffic might be another risk. Essentially this is the risk assessment
process applied during the planning stage of a job.
Introducing Controls and Formulating Procedures
Once the risks have been evaluated, the appropriate safe working method can be developed. In our example, one
of the controls would be for the worker to check that the car’s handbrake has been firmly applied and that the
handbrake actually works. Another would be for the worker to wear high-visibility clothing at all times.
Implementing the SSW is often more problematic than developing the safe working method, because
implementation requires workers to adopt the new working procedures and use all the identified controls. We noted
earlier that people’s behaviour can be difficult to control. One way of overcoming or minimising this difficulty is to
consult with and involve workers in the development process so that they are able to raise objections and concerns at
an early stage; they then have some ownership of the new methods.
There may be many risks involved
with each step of a task

3.6 Safe Systems of Work
Instruction and Training
A key step in the implementation of any safe working method is the provision of information, instruction and training.
In some cases, if the workers have the competence to interpret and correctly follow new methods, simply informing
them of changes to existing methods will be sufficient. In other instances, detailed theoretical and practical training
will have to be provided to ensure that workers understand and can apply the safe working methods.
Monitoring
The last step of the task analysis process is monitoring; once the safe working method has been put into place it
should be checked periodically. This is to ensure that:
• The new safe working method is being correctly followed and applied. If it is not, then supervision must be
improved.
• The new method is, in fact, safe. If it is not, then it will have to be reviewed and amended accordingly.
TOPIC FOCUS
Factors to be considered when developing a SSW:
• What is the task being undertaken? Analysis can be provided through job safety analysis (the SREDIM
method mentioned earlier).
• What equipment and materials are required for the task? These will present their own hazards, which need
to be controlled.
• Who will be carrying out the work? How many people are working? What is their experience/knowledge
level? Are there vulnerable persons?
• What are the hazards associated with the job?
• What controls are recommended by the manufacturer?
• What emergency provision is in place?
• Are the control measures adequate or are additional controls needed?
• How will the system of work be monitored?
STUDY QUESTIONS
25. Define the phrase ‘safe system of work’.
26. How does involving workers in the development of SSWs contribute to strengthening the health and
safety culture?
27. What is the difference between technical, procedural and behavioural controls?
28. Why do instruction, training and supervision form a part of safe systems?

3.7Permit-to-Work Systems
Permit-to-Work Systems
IN THIS SECTION...
• Permit-to-work systems form part of a safe system of work to control high-risk work activities, such as hot work.
• A permit system formalises the control of high-risk work to ensure that all the risks have been identified, all the
precautions have been put in place and that appropriate information has been communicated to all relevant
parties.
• A permit to work usually has four main sections:
– Issue.
– Receipt.
– Clearance.
– Cancellation.
• Permit-to-work systems rely on the use of paper permits, but ultimately they only control risk properly when
correctly used.
• Permits to work are typically used to control hot work, work on live electrical systems, entry into confined spaces,
work at height and some forms of machinery maintenance work.
Definition
A Permit-To-Work (PTW) system is a formal, documented safety procedure,
forming part of a safe system of work, which ensures that all necessary
actions are taken before, during and after particularly high-risk work.
The high-risk nature of the work is the key feature that these types of work
have in common, which makes them subject to permit control. If the work
is not carried out in precisely the right way, then workers and others may be
killed. The aim of the permit system is to focus everybody’s attention on the
high-risk nature of the work to ensure that:
• The correct safety precautions are in place before, during and after the
work.
• All the people who need to know about the work do actually know
about it.
Work at height

3.7 Permit-to-Work Systems
TOPIC FOCUS
The sort of high-risk work that would normally be controlled by a permit system includes:
• Hot work (involving naked flames or creation of ignition sources).
• Work on high-voltage electrical systems.
• Confined space entry.
• Work on operational pipelines.
• Excavating near buried services.
• Maintenance work on large, complex machinery.
• Work at height.
Operation and Application
A PTW system is a management system that is supported by, and makes use of, permits, which are paper documents
(or electronic documents).
PTWs are formal documents specifying the work to be done, hazards, and the precautions to be taken. The permit
provides a clear written record, signed by a responsible manager or supervisor, that all foreseeable hazards have been
considered and all the necessary actions have been taken. It must be in the possession of the person in charge of the
work before work can commence.
TOPIC FOCUS
The general details to be included on a PTW reflect the operation of the permit system and can be
summarised as:
Issue
• Description of the work to be carried out (details of plant and location).
• The date and time of issue and the duration over which the permit will be open (remain valid).
• Assessment of hazards associated with the job.
• Controls required, such as isolations, PPE and emergency procedures.
• Signature of the authorised person issuing the permit.
Receipt
• Signature of the competent persons accepting the permit (the workers).
Clearance
• Signature of the competent persons stating that the area has been made safe (e.g. work completed) and
that they are leaving the area and isolations can be removed.
(Continued)

TOPIC FOCUS
Cancellation
• Signature of the authorised person stating that the isolations have been removed, the area has been
accepted back and that the equipment can be restarted.
Each permit will have a unique identification number so that copies of a permit can be traced back to their
specific source.
Permits are often triplicate-copy documents with a unique identification number for cross-reference purposes.
The operation of a permit often follows a sequence as indicated by the sections of a PTW in the following way:
• Issue
This section of the permit defines the work, identifies the hazards and determines the necessary safety
precautions.
An authorising manager must complete this section. This will require them to carry out a risk assessment of the
work in order to identify all the relevant hazards and precautions. The manager must be competent to do this.
The authorising manager must specify:
– The exact nature of the work.
– Where the work can take place.
– The names of each of the workers authorised to carry out the work.
– The date and time that work can start.
– The period of time the permit is valid for.
– The control measures that must be in place before, during and after the work.
– Any restrictions.
– Any other permits that may be relevant.
The authorising manager signs the permit to formally confirm that all necessary precautions have been taken and
that work can now start, providing the necessary precautions are adhered to. The manager’s name and signature,
along with the date and time, should be clear.
• Receipt
Here, the handover process to allow work to start is formalised.
The workers sign the permit to formally confirm that they understand all the hazards, risks and precautions and
that they will comply with all necessary control measures.
Names should appear clearly in capital letters with signatures, dates and times.
• Clearance/Return to Service
The workers sign this section of the permit to confirm that they have left the workplace in a safe condition, that
work is complete and that normal operations may resume.
• Cancellation
The authorising manager signs this section to accept the hand-back of the workplace from the workers. This also
has the effect of cancelling the permit so that no further work can take place under its authority.

• Extension
This section is included in some permit systems in case there is any overrun of the work. It allows the authorising
manager to grant an extension to the timescale of the permit.
Permits are often issued in triplicate:
• One copy is displayed in the area where the work is taking place.
• One copy stays with the authorising manager.
• One copy is displayed in a central location (often on a permit board) where other permits are also displayed for
clear communication.
Remember that a PTW is just a piece of paper; it does not ensure safety. What ensures safety is the management
system that it represents. In some cases, permits are treated simply as unnecessary paperwork – to be filled in because
someone at head office says so. This can encourage casual practices, such as authorising managers issuing permits
without actually checking that control measures have been put in place, which can lead to unfortunate consequences.
A good permit system is only as good as the persons using it. To work effectively:
• Only authorised persons should issue permits.
• Permit issuers must be familiar with the hazards of the workplace and the job to be carried out.
• Precautions must be checked before permits are authorised.
• Permits must never be amended.
• The permit must be treated with respect.
• All permit conditions must be adhered to.
• Staff must be trained and competent.
• The system must be monitored to ensure it is effective.
• The PTW system must be appropriate for the nature of the business (e.g. a bakery may require a less complex
system than an oil rig).
• Sufficient time must be allowed to ensure permits are issued correctly, and staff trained to understand this.
Contractors, for example, may become stressed if the process is time-consuming, but must understand that they
are required to adhere to the system.
Typical Uses of Permit Systems
Hot Work
Permit systems are commonly used to control hot work where naked
flames will be used (e.g. propane, butane or oxyacetylene torches) or
where a significant ignition source will be created (e.g. welding or grinding
operations).
Typical precautions for control of hot work:
• Flammable materials are removed from the work area.
• Items that cannot be removed are covered with fire-retardant blankets.
• Floor is swept clean.
• Wooden floor is damped down.
Cutting with an oxy-acetylene torch
requires a permit to work

• A suitable fire extinguisher is at hand.
• A ‘fire-watcher’ is present in the area.
• The work area is visited routinely after the work has finished to check the area for smouldering.
Fire safety is covered as a topic later in the course in Element 10.
Work on Electrical Systems
Work on non-live electrical systems is often subject to permit-to-work control in order to ensure that the electrical
system has been correctly de-energised and securely isolated. The high risk associated with working on, or near, live
electrical systems means that this type of work is also usually subject to permit control. In particular, permits are
usually required for any form of work (live or non-live) on, or near, high-voltage systems (e.g. >1000 V AC).
A permit system is used to ensure that:
• Working live is justified (i.e. it is not possible to work with the power off).
• All precautions are in place.
• The workers are competent to do the work.
Electrical safety is covered as a topic later in the course in Element 11.
Machinery Maintenance
Maintenance work often involves the removal or disabling of safeguards
and control systems. For large, complex industrial machinery, more than
one person may be involved in the work and they may be required to
work inside the machinery. This can generate high risk that might be best
controlled using a permit system.
A permit system is used to ensure that:
• Work is carefully planned, assessed and controlled.
• The nature of the work is communicated to those who need to know
about it.
• Power sources are isolated and locked off.
• Stored energy is released or secured.
• The workers are competent to do the work.
Working with machinery is covered as a topic later in the course in Element 9.
Confined Spaces
Entry into confined spaces can be extremely hazardous, so should almost always be under the control of a PTW
system. This will require a competent person to carry out a risk assessment and then develop a SSW, which identifies
all the necessary precautions for entry and the emergency arrangements that must be put in place.
Confined space entry is covered as a topic later in the course in Element 8.

Work at Height
Some work at height may be controlled under a permit to work. This could detail the area where work is permitted,
the method of access (ladder, stairs, etc.), safe access routes and fall prevention and fall arrest precautions to be taken.
Work at height is covered as a topic later in the course in Element 8.
STUDY QUESTIONS
29. What is a permit to work?
30. What are the four key sections of a typical permit?

3.8Emergency Procedures and First Aid
Emergency Procedures and First Aid
IN THIS SECTION...
• An organisation should develop emergency procedures to deal with foreseeable incidents such as fire, bomb
threat and chemical spill.
• These procedures should cover the internal arrangements for dealing with the foreseeable incidents, which will
include:
– The foreseeable emergencies.
– Procedures for raising the alarm.
– Procedures to follow.
– Provision of suitable equipment.
– Nomination of responsible staff.
– Provision of training and information.
– Drills and exercises.
– Contacting the emergency services.
• An employer must provide appropriate first-aid services for their employees. This will include first-aid equipment
and appropriately trained personnel. They must inform their workers of these arrangements.
• To determine what needs to be provided, an employer will have to undertake a first-aid needs assessment, which
should consider various factors, such as the hazards and risks inherent in the work, the number and work pattern
of workers, and the geographic location and spread of the workplace.
The Need for Emergency Procedures
Despite all the controls that can be introduced into an organisation, things can still go wrong. Accidents and incidents
do happen. When they do, it is critical that the organisation has emergency procedures that can be brought into
effect without delay, otherwise there may be a poor or inappropriate emergency response that makes things worse,
rather than better.
TOPIC FOCUS
An organisation has to develop procedures to deal with foreseeable incidents. Such incidents might include:
• Fire.
• Bomb threat.
• Spillage of a hazardous chemical.
• Release of a toxic gas.
• Outbreak of disease.
• Severe weather or flooding.
• Multiple casualty accident.
• Terrorist/security incident.
The foreseeable incidents will vary depending on many factors, such as the type of organisation and its
location.

3.8 Emergency Procedures and First Aid
Emergency Procedure Arrangements
Having identified the foreseeable incidents, the organisation should make
internal arrangements to deal with each of them, should they occur. These
arrangements should include:
• Foreseeable emergencies: an outline of the foreseeable emergencies
that might occur along with the circumstances in which they might
occur and their foreseeable outcomes. This will identify what the
emergencies are and why procedures need to be followed.
• Procedures for raising the alarm: workers needs to know how the
relevant alarms are raised for different types of emergency and any
escalation procedure that might apply. For example, manual call points
might be used to raise the alarm in the event of fire, but radio or
telephone notification to a control centre might be used in the event of
a security incident.
• Procedures to be followed: in the event of a fire, for example, normal
practice is for workers to exit the building using the signed escape routes and assemble at a designated place. In
the event of a bomb threat, the procedure is often the exact opposite: to go to a room inside the building, away
from windows and external walls.
• Provision of suitable equipment: if there is a chemical spill, for example, absorbent granules or booms might
be used to contain the spill and PPE used to prevent harm to those involved in the containment operation. In the
event of a release of toxic gas, respiratory protective equipment may be needed.
• Nomination of responsible staff: in a fire situation there is likely to be a need for fire wardens or marshals, who
walk through the building to check that everyone is aware of the fire evacuation. A fire team may also be required,
whose job will be to check the area where the fire is suspected to be.
• Dealing with the media: it is foreseeable that some emergencies will attract media attention. Procedures for
handling the media should be developed and nominated staff trained in media handling techniques (such as how
to answer questions from newspaper and radio reporters).
• Arrangements for contacting emergency services: while internal emergency arrangements must be made by
the organisation to deal with foreseeable incidents, these responses will normally also involve contacting external
emergency services for help. There should therefore be appropriate arrangements in place:
– Communication equipment (e.g. landline and mobile phones, satellite phones, or VHF radio). The more
remote the location, the more difficult communication becomes.
– Contact details (e.g. national and local emergency-service numbers). This may involve international medical
evacuation as well.
– Responsible individuals with the necessary information and knowledge nominated to make the call. In many
instances, the emergency services can provide a more effective response if they are given critical information
quickly.
Training and Testing
Workers will only know what to do when these various emergencies occur if they have been provided with
information and training. Any nominated individuals will require additional training in their roles in the emergency,
and in the safe handling of any equipment (e.g. PPE) that they might have to use. Members of the public may require
information on emergency procedures, which might be provided in the form of notices, or by means of public
address system announcements.
Clean up after oil spill

Emergency procedures should be practised to ensure that people are familiar with the actions they might be expected
to take. In this way, people’s responses become automatic. For example, fire evacuation drills should be conducted
routinely in all workplaces, and multiple casualty accident exercises should be practised if they are a foreseeable event.
First-Aid Requirements
An employer has a duty to provide appropriate first-aid services for their
employees. This is to allow an immediate emergency medical response to
foreseeable injuries that might occur in the workplace. Three elements must
be provided:
• Facilities – an appropriate location where first-aid treatment can be
given.
• Equipment – suitably stocked first-aid kits and other equipment as
necessary.
• Personnel – staff with appropriate training to deliver first-aid treatment.
The employer must notify staff of these first-aid arrangements and, in
particular, the identity of trained first-aid personnel.
Specific first aid at work requirements may differ between countries as they are often dictated by local legislation; the
next section is based on the UK legal requirements.
First-Aid Facilities
Suitable facilities should be provided where first-aid treatment can be given. As a minimum, this might consist of
a room that is used for other purposes but can be quickly converted into a treatment area. In a larger workplace, a
dedicated treatment room should be provided.
This room should be:
• Centrally located in an area that can be accessed by the emergency services.
• Clean and adequately heated, ventilated and lit.
• Provided with hand-wash facilities, a chair and a clinical waste bin, etc.
First-Aid Equipment
As a minimum, one fully stocked first-aid kit (box) might be provided for a small, low-risk workplace.
TOPIC FOCUS
The UK HSE provides suggestions on what should be included in a first-aid kit, for example:
• Large triangular bandages (preferably sterile).
• Sterile plasters (individually wrapped; appropriate to the type of work).
• Disposable gloves.
• Safety pins.
• Sterile eye pads.
• Large- and medium-size unmedicated wound dressings (sterile; individually wrapped).
First-aid training

In larger workplaces, multiple first-aid kits should be positioned at various
locations throughout the workplace, as well as:
• Eye-wash stations.
• Emergency showers.
• Blankets.
• Splints.
• Resuscitation equipment.
• Stretchers.
• Wheelchairs.
• Other equipment, as required.
First-Aid Personnel
Role of First Aiders
The essential role of first aiders is to keep the injured casualty alive until professional medical assistance can take over.
This is sometimes referred to as the three Ps:
• Preserve life.
• Prevent deterioration.
• Promote recovery.
First aiders also provide simple treatment for minor injuries that do not require professional treatment.
Types of First-Aid Personnel
Minimum provision would be a person available to take charge of the first-aid arrangements, which means looking
after the first-aid equipment and facilities and calling the emergency services when required. Such ‘Appointed
Persons’ should be available at all times while people are at work. Appointed persons are not necessary where there
are adequate numbers of first aiders.
Appointed persons do not need to be trained as first aiders, but it would be of benefit if they were trained to
Emergency First Aid at Work (EFAW) level. The number of appointed persons and/or emergency first aiders will
depend on a first aid needs assessment.
Where the needs assessment shows there is a higher level of risk, first aiders trained to the First Aid at Work (FAW)
standard should be appointed in numbers appropriate to the risk and numbers of workers.
EFAW and FAW personnel must have suitable training and hold a valid certificate of competence. EFAW courses are
usually one day duration. FAW courses usually run over three days. Requalification training for these courses usually
takes one and two days, respectively.
The HSE provides information to help employers select suitable first-aid training providers. The HSE also advises
that EFAW and FAW personnel should have annual refresher training to prevent ‘skills-fade’, although this is not
compulsory.
HSE guidance also states that the employer may decide to make provision for mental ill health by training some
workers to allow them to identify and provide support to someone suffering mental ill health (sometimes referred to
as ‘mental health first aid’).
Eye-wash station

Selecting Staff to be First Aiders
There are a number of factors that should be taken into account when selecting persons to fulfil the role of a first
aider at work. These include:
• Being reliable, having a gentle disposition and good communication skills.
• Awareness of their own limitations and limitations of the training.
• Having the aptitude and ability to absorb new knowledge and learn new skills.
• Having the ability to cope with stressful situations and accept responsibility.
• Physically fit enough to deal with the demanding nature of some aspects of first aid.
• Consideration of the need for first-aiders considering gender, ethnicity and religious convictions.
• The person’s normal duties should be such that they can leave their work immediately at any time to attend an
emergency.
First-Aid Coverage
An employer should undertake a first-aid needs assessment in order to determine what first-aid facilities, equipment
and trained personnel to provide.
There should be adequate first-aid cover on all shifts worked in the workplace, with weekend, morning, afternoon
and night shift work patterns all adequately provided for.
TOPIC FOCUS
Factors to consider when deciding first-aid provision and number of first aiders:
• General risk level of the workplace.
• Hazards present in the workplace.
• Accident history.
• Specific procedures required (e.g. some toxic materials have specific antidotes or first-aid protocols).
• Presence of vulnerable persons.
• Number of workers in the workplace.
• Work patterns and shift systems of workers.
• Geographic location of the workplace.
• Spread of the workplace.
The geographic location is an important issue to consider when determining first-aid provision. Workplaces within
easy reach of the emergency services can perhaps provide minimal cover, but workplaces in remote locations, which
the emergency services may take hours to reach, must have adequate facilities and skilled personnel available.

MORE…
Further information on first-aid at work is available from:
www.hse.gov.uk/firstaid
Leaflet INDG347(rev2), Basic advice on first aid at work, HSE, 2011, available at:
www.hse.gov.uk/pubns/indg347.pdf
STUDY QUESTIONS
31. What is the main objective of an emergency procedure?
32. Name three typical emergencies that may require the development of emergency procedures.
33. What factors might need to be considered when determining the first-aid facilities for a workplace?

Summary
Summary
This element has dealt with certain topics relating to the Organising section of a health and safety management
system.
• Defined health and safety culture (as the shared attitudes, values, beliefs and behaviours relating to health and
safety) and made a link between health and safety culture and health and safety performance.
• Outlined how health and safety culture might be assessed by looking at indicators such as accidents, ill health,
compliance and complaints.
• Looked in detail at some of the issues that must be dealt with in order to improve health and safety culture:
– Clear management commitment with visible leadership and appropriate disciplinary measures.
– Competent staff (training, knowledge, experience and skills).
– Communication of safety information in verbal, written or graphic form through the use of notice boards,
posters, etc.
– Consultation.
– Training at appropriate times (e.g. induction training for new staff).
• Discussed the three human factors that influence a worker’s behaviour: individual, job and organisational factors.
• Defined the terms ‘hazard’ (something with the potential to cause harm), ‘risk’ (the likelihood that a hazard
will cause harm in combination with the severity of outcome), and 'risk assessment’ (a formalised process of
identifying hazards, assessing the risk they generate and then either eliminating or controlling the risk).
• Identified the aim of risk assessment – to ensure that hazards are eliminated or risk is minimised by the correct
application of relevant standards.
• Explained the five-step approach to risk assessment:
– Identify the hazards.
– Identify the people who might be harmed and how.
– Evaluate the risk and decide on precautions.
– Record the significant findings and implement them.
– Review and update as necessary.
• Considered that hazards can generate risk to both safety and health and can be identified by various methods,
including task analysis, legislation, manufacturers’ information and incident data.
• Noted several of the internal and external sources of health and safety information that are available.
• Explained the general hierarchy of preventive and protective measures, which rely on the correct selection of
technical, procedural and behavioural controls.
• Defined ‘safe systems of work’ as formal procedures that define safe methods of working to eliminate or
minimise risk, and are based on a systematic examination of work equipment and processes to identify the
hazards involved.
• Identified the role of both competent persons and workers in developing and documenting these safe systems.
• Outlined the process of task analysis, where a task is broken down into a series of steps so that hazards can be
identified and risk controlled at each step. This safe working method must then be implemented and monitored.

Summary
• Outlined permit-to-work systems as a way of formalising the control of high-risk activities.
• Explained the Issue, Receipt, Clearance and Cancellation sections typical of a permit to work and outlined the use
of permits in the control of hot work, work on electrical systems, machinery maintenance, confined spaces and
work at height.
• Discussed why an organisation must develop emergency procedures to deal with foreseeable incidents, the
internal arrangements that might be made, and the arrangements for contacting the emergency services.
• Outlined the need for an employer to provide appropriate first-aid services for employees, to include first-aid
facilities, equipment and appropriately trained personnel.
• Considered the factors that must be assessed when deciding on adequate first-aid provision.

Exam Skills
Exam Skills ES
Exam Skills
QUESTION 1
(a) What is the meaning of the term ’perception’? (2 marks)
(b) Explain how workers’ perceptions of hazards in the workplace might be improved. (6 marks)
(Total: 8 marks)
Approaching Question 1
• Step 1 – the first step is to read the question carefully. This time you have been asked about the meaning in part
(a). Part (b) asks for an explanation, so more detail is required here, and perhaps an example or two to illustrate
your points.
(a) What is the meaning of the term ’perception’? (2 marks)
(b) Explain how workers’ perceptions of hazards in the workplace might be improved. (6 marks)
(Total: 8 marks)
• Step 3 – next, consider the marks available. As always for this type of question there are 8 marks available,
split here as 2 for part (a) and 6 for part (b). So, for part (b) you are probably looking to provide six pieces of
information, expressed as an explanation.
• Step 4 – read the question again to make sure you understand it and have a clear understanding of hazard
perception. (Re-read your notes if you need to.)
• Step 5 – the next stage is to develop a plan – you are now familiar with how to do this. The answer plan will take
the form of a bullet-pointed list that you need to develop into a full answer based on the key words that you have
highlighted.
HINTS AND TIPS
When you are defining ‘perception’, don’t necessarily think as a health and safety practitioner – what
definition would another member of staff use? (Perception isn’t just a health and safety term.)
would in the exam.

Exam Skills
Exam SkillsES
Perception:
• Brain interprets information from senses.
Improve:
• Increase visibility.
• Provide training.
• Minimise distractions.
(a) Perception can be defined as the way people interpret information they take in through their senses (e.g. hearing and sight).
Different people will perceive things in different ways.
(b) To improve hazard perception, a number of approaches can be used. Firstly, the hazards need to be apparent to the workers.
This can be achieved by making them easy to identify (e.g. by using signs to warn of hot surfaces and painting trip hazards
yellow). Hazards can also be made more obvious to workers through the use of training and awareness-raising sessions (e.g. to
introduce the idea that noise can be harmful to hearing). Hazards may also not be noticed as the senses are overloaded with
other information (e.g. a noisy workplace may prevent a worker hearing an approaching vehicle, so background noise levels
may be reduced to address this). Finally, there may be issues affecting the way in which information is absorbed by different
people – those with hearing or sight impairment may require additional steps to be taken to highlight hazards (e.g. tactile
flooring near to crossing points, or vibrating pagers to warn of the fire alarm). PPE can also impair the senses – so careful
selection of PPE that does not impair the senses will help.
• Many candidates will have lost marks for not providing the explanation required.
• Most candidates only considered training and awareness-raising and so would have limited their marks.

Exam Skills
Exam Skills ES
QUESTION 2
(a) Explain the meaning of the term ’risk’ AND give a workplace example. (3 marks)
(b) What are the key stages of a risk assessment? (5 marks)
(Total: 8 marks)
• Step 1 – the first step is to read the question carefully. This time you have been asked to explain the meaning in
part (a). Part (b) asks you to about the stages of a risk assessment.
(a) Explain the meaning of the term ’risk’ AND give a workplace example. (3 marks)
(b) What are the key stages of a risk assessment? (5 marks)
(Total: 8 marks)
• Step 3 – next, consider the marks available. As always for this type of question there are 8 marks available,
split this time as 3 for part (a) and 5 for part (b). It’s probable that you would gain 2 marks in part (a) for the
meaning of risk and 1 mark for a suitable example. For part (b), you should probably aim to provide five pieces of
information.
• Step 4 – read the question again to make sure you understand it and have a clear understanding of why we
should practise emergency procedures. (Re-read your notes if you need to.)
• Step 5 – the next stage is to develop a plan. The answer plan will take the form of a bullet-pointed list that you
need to develop into a full answer based on the key words that you have highlighted.
HINTS AND TIPS
In part (b) you are asked for the key stages of risk assessment, and the marks available suggest five pieces of
information are needed – this in itself is a big clue.
would in the exam.

Exam Skills
Exam SkillsES
Risk (meaning):
• Combining the likelihood of harm occurring and the potential severity of the harm.
• Example: faulty electrical equipment.
Risk assessment (key stages):
• Identify the hazards.
• Identify who could be harmed and how (including workers, visitors, contractors, vulnerable groups).
• Evaluate risk and decide on precautions.
• Record the significant findings and implement them.
• Review and update as necessary.
(a) Risk is determined by considering the likelihood of harm occurring and the potential severity of harm, damage or loss. For
example, if working with faulty, mains-powered electrical equipment, there is high probability that an electric shock could be
received, and the potential result is death.
(b) There are five steps to risk assessment:
2. Identify who could be harmed and how (including workers, visitors, contractors and vulnerable groups such as young
persons, new and expectant mothers, and the disabled).
3. Evaluate the risk (considering likelihood and severity of harm) and decide on precautions.
• Candidates often confuse hazard and risk. A hazard is something with the potential to cause harm. Electricity is a
hazard. The example above in part (a) shows how the knowledge that a hazard is present is used to assess the risk
(what could happen and how likely it is to happen).
• Candidates who are familiar with the recommended five steps to risk assessment approach would have no
problems with part (b), though many candidates seem not to understand this approach.

Unit IG1 – Element 4: Health and Safety Monitoring and Measuring© RRC International 4-1
Learning Objectives
should be able to:
1 Discuss common methods and indicators
used to monitor the effectiveness of
management systems.
2 Explain why and how incidents should be
investigated, recorded and reported.
3 Explain what an audit is and why and how
they are used to evaluate a management
system.
4 Explain why and how regular reviews of
health and safety performance are needed.
Element 4
Health and Safety Monitoring and Measuring

Unit IG1 – Element 4: Health and Safety Monitoring and Measuring © RRC International4-2
Contents
Active and Reactive Monitoring 4-3
Introduction to Active and Reactive Monitoring 4-3
Active Monitoring 4-4
Safety Inspections, Sampling and Tours 4-5
Arrangements for Active Monitoring 4-7
Reactive Monitoring 4-9
Investigating, Recording and Reporting Incidents 4-12
Introduction to Incident Investigation 4-12
Types of Incident 4-13
Basic Investigation Procedures 4-16
Recording and Reporting Requirements 4-21
Reporting of Events to External Agencies 4-23
Health and Safety Auditing 4-25
Introduction to Auditing 4-25
The Stages of an Audit 4-27
External and Internal Audits 4-29
Reviewing Health and Safety Performance 4-30
Purpose of Regular Reviews 4-30
Issues to be Considered in Reviews 4-31
Outputs from the Reviews 4-32
Summary 4-33
Exam Skills 4-34

4.1Active and Reactive Monitoring
Active and Reactive Monitoring
IN THIS SECTION...
• Active monitoring is about checking to ensure that standards are met and that the workplace is, in fact, safe and
free of health risks before any unwanted event takes place.
• Safety inspections, sampling and tours are three active monitoring methods that can be used to check
conformance to standards and that play an important role in ensuring that safety standards are acceptable in the
workplace.
• Active monitoring methods are often called leading indicators because they give an indication of the direction of
future health and safety performance.
• Various factors must be considered when setting up an active monitoring system, such as:
– Type of inspection, tour or sampling exercise.
– Frequency of active monitoring.
– Responsibilities for carrying it out.
– Competence and objectivity of the person doing the monitoring.
– Use of checklists.
– Action planning for problems found.
• Reactive monitoring is about measuring safety performance by reference to accidents, incidents, ill health and
other untoward events that have already occurred.
• Reactive monitoring usually makes use of statistics such as accident rates. These are often called lagging indicators
because they give an indication of the direction of past health and safety performance.
Introduction to Active and Reactive Monitoring
Health and safety performance should be monitored. This can be done
using various methods that fall into two broad categories:
• Active monitoring – checking to ensure that health and safety
standards are correct in the workplace before accidents, incidents, or ill
health are caused.
• Reactive monitoring – using accidents, incidents and ill health as
indicators of performance to highlight areas of concern.
In all workplaces both types of monitoring are useful.
Monitoring should be a line-management function, but remember that
senior management has responsibility for ensuring that effective health and
safety performance monitoring systems are in place.

4.1 Active and Reactive Monitoring
Active Monitoring
Active monitoring is concerned with checking standards before an unwanted event occurs. The intention is to
identify:
• Conformance with standards, so that good performance is recognised and maintained.
• Non-conformance with standards, so that the reason for that non-conformance can be identified and corrective
action taken.
There are many different ways of actively monitoring health and safety performance (some of which we will outline in
the following sections). The various active monitoring methods are often called leading indicators.
Leading indicators are indicators that show the direction of travel before unwanted events (such as an accident) occur.
If leading indicators are moving in a positive direction, then the chance of having accidents is reduced. Conversely, if
leading indicators are moving in a negative direction, then the chance of having accidents is increased.
For example, if safety inspections are being correctly carried out and very few issues are being spotted during those
inspections (because the workplace is being well managed), then this is a leading indicator that is positive. It indicates
that health and safety standards are being met and so there should be a low chance of accidents happening. However,
if there is a decline in the number of inspections being carried out, or the inspections being done are not being
done properly, or there is an increase in the number of defects found, this is a leading indicator moving in a negative
direction. It indicates that health and safety standards are not being met and so there is an increasing chance of
accidents happening.
In many workplaces, active monitoring plays a crucial role in checking that the standards that should be met are, in
fact, met. It allows management to resolve problems before those problems become critical. It also allows workers
to see that checks are being carried out and perhaps get involved in the checking process. Worker and senior
management involvement in this helps to reinforce a positive health and safety culture.
Performance Standards
Active monitoring of health and safety requires identification of exactly what to monitor and what level of
performance is acceptable, i.e. the performance standard.
Performance standards can be concerned with the physical control of workplace hazards and conditions. For example,
there are standards that a scaffold structure should meet (i.e. conform to) with regards the work platform, toe boards
and guardrails in order for it to be considered safe (more on this topic later in the course in Element 8). This can then
be actively monitored (checked) by carrying out a routine inspection of the scaffold in order to ensure that it meets
the standard.
In this way active monitoring is concerned with checking the physical condition of the workplace and the way that
hazards are being controlled.
But you can also could actively monitor health and safety management activities to give a measure of conformance to
performance standards. For example:
• Number and quality of risk assessments covering work activities.
• Provision of health and safety training to schedule.
• Completion of consultative committee meetings to schedule.
• Completion of workplace inspections to schedule.
• Completion of safety-review meetings to schedule.

All of these health and safety management activities are likely to be taking place in the workplace, so it is possible
to assess whether they are happening or not. In most instances, you can also measure the degree to which they are
happening and sometimes even their quality. For example, a standard might be that when contractors start new work
on site there should be suitable and sufficient risk assessments to cover their work. The presence or absence of risk
assessments can be checked. The number of risk assessments can be measured to quantify conformance. The quality
of each risk assessment can be judged. In this way, a full picture of conformance can be built up.
HINTS AND TIPS
Note – risk assessments are not an active monitoring method, but measuring how many were carried out vs.
how many should be completed is. Similarly, training is not an active monitoring method, but measuring the
percentage of attendees who showed up for the planned training is. This is a subtle but important distinction.
Safety Inspections, Sampling and Tours
There are three slightly different methods of active monitoring that we
will cover in the course, each of which has a place in an active monitoring
regime. (Remember that the actual names given to these methods may vary
between workplaces.)
Safety Inspections
The term ‘safety inspection’ implies an examination of the workplace
and working conditions so that comparisons can be made to expected
performance standards (whether in-house or a statutory standard).
Examples include:
• The routine general workplace inspection to determine if general
standards of health and safety are acceptable, or if corrective action is
necessary (e.g. a quarterly housekeeping inspection in an office).
• The statutory inspection of an item by a competent person to fulfil a legal requirement (e.g. the annual thorough
examination of an item of lifting equipment).
• The periodic inspection of plant and machinery as part of a Planned Preventive Maintenance (PPM) programme
(e.g. a mechanic inspects the brakes on a lorry on a regular basis to ensure they are not excessively worn).
• The pre-use checks carried out by workers before they use certain items of plant and machinery (e.g. the start-up
checks carried out by a forklift-truck driver).
All these inspections can be repeated routinely to form an inspection regime, and can all be recorded to provide
evidence of inspection.
General Workplace Inspections
To focus on the first of these active monitoring methods, one popular way to actively monitor health and safety
performance is to carry out general workplace inspections. These inspections often focus on ‘the four Ps’:
• Plant – machinery, equipment and vehicles.
• Premises – the workplace and the working environment.
• People – working methods and behaviour.
• Procedures – safe systems of work, method statements, permits to work, etc.
Weekly inspection by a site
supervisor

An inspection might concentrate on one, several or all four of these areas. Systematic general workplace inspection
regimes usually exist in many different forms within different workplaces.
For example, in a distribution warehouse (depot) there might be:
• A daily inspection regime where forklift-truck drivers inspect their own vehicles at the start of each shift – plant.
• A weekly inspection regime where supervisors check that forklift trucks are being driven safely – people.
• A monthly inspection regime where the manager checks the entire warehouse for housekeeping – premises.
• A six-monthly inspection of each forklift truck by a competent mechanic to ensure the safety of the vehicle as a
part of the PPM – plant.
• An annual formal inspection of the storage racking to ensure structural integrity – premises.
If this series of inspections is in place then it is possible to monitor the degree to which each is being carried out
successfully. In this way, two different types of active monitoring are being carried out: one on the workplace directly
(the four Ps), and one on the safety management system.
Safety Sampling
This is the technique of monitoring conformance with a particular workplace standard by looking at a representative
sample only. If a big enough sample is collected, then there is a strong likelihood that the results of the sample will
reflect the results for the workplace as a whole.
For example, if the legal standard in a large office complex is that all 1,200 fire extinguishers must be inspected
annually by a competent engineer, then there are several ways to monitor this standard:
• Check the maintenance records to ensure each and every fire extinguisher has been signed off.
• Check all 1,200 fire extinguishers directly by inspecting every one to make sure it has the competent engineer’s
signature on it.
• Check a representative sample of, say, 50 extinguishers selected at random from various locations around the
complex.
The last method in this example is safety sampling. It provides better evidence of compliance to the standard than
simply checking the engineer’s maintenance records, since they may have signed extinguishers off without ever
inspecting any of them. It is also far less time-consuming and onerous than checking all 1,200 extinguishers directly.
Safety sampling as an active monitoring method does not guarantee 100% conformance to standard. Instead it
provides an assurance that the standard is being met, or gives an indication of where there are problems with
conformance.
Safety Tours
A safety tour is a high-profile inspection of a workplace carried out by a
group or team, including managers. The tour may be formal, but can also be
informal – a walk-around looking at points of interest (usually unscheduled).
The group carrying out the tour should include the manager of the area
being inspected and possibly a worker or worker representative, a health and
safety specialist, an occupational health specialist and perhaps an engineer.
Ideally the group would also include a senior manager (such as a senior
operations manager or director).

Unlike a safety inspection, which will often be conducted by one person and have a very narrow and specific focus,
a safety tour usually looks at any health and safety issue that come to light during the walk around. It is often
unconstrained and does not simply look at a narrow, predetermined topic or issue.
One of the key features of a safety tour is that the group interacts with workers as they go about their normal work
routines. This is a high-profile, visible event where management have the opportunity to interact with workers and
show their interest in, and commitment to, health and safety to the workforce. This can have a very significant impact
on raising the profile of specific health and safety problems found. Equally importantly it can have a powerful effect
on improving the health and safety culture as it provides an opportunity for managers to not only identify and discuss
problems and issues, but also recognise and praise good performance.
Arrangements for Active Monitoring
Certain factors must be considered before an active monitoring system is
introduced, including:
• The type of active monitoring – active monitoring is carried out for a
number of different reasons and different methods examine different
aspects of safety in the workplace. Is this:
– A general inspection of a workplace to ensure legal conformance
with a company standard?
– A sampling exercise to look at a specific type of item or equipment
(such a lifting accessories)?
– A high-profile safety tour of an entire department?
• The frequency of monitoring – likely to be determined by both the type of inspection and the level of risk.
For example, a general workplace inspection might be conducted in an office once a month, but once a week
in a workshop environment to reflect the higher risk. The frequency will also be affected by the practicalities of
doing the monitoring and the availability of people. Safety tours involving senior managers are often conducted
monthly for this reason.
• Allocation of responsibilities – those responsible for ensuring that the active monitoring take place should be
identified, as should the people who will be tasked with carrying it out.
• The competence and objectivity of the inspector – essential characteristics of whoever is conducting the
active monitoring; the person should have the necessary training, knowledge and experience. In some instances,
certification to a specific standard will be required. In other situations, all that is necessary is an understanding
of the workplace, health and safety principles, and a willingness to ask questions. An inspector also needs to be
impartial and objective in their approach, even when looking at an area that they are very familiar with. Training
may be required for those who will be conducting inspections.
• The use of checklists – these are valuable tools for use during the active monitoring process. Checklists ensure
that:
– All points are covered by the check.
– There is a consistency of approach to the process.
– There is a form of written record of the monitoring and its findings.
However, checklists do have their weaknesses, the most important being that an inspector might only deal with the
points on the checklist. They may ignore issues that exist in the workplace if they are not included on the checklist.

• Action planning for problems found – so that appropriate action is taken following the active monitoring to
resolve issues in a timely manner. An inspection system that identifies a problem or issue but then does not result
in action being taken is a flawed system. There must be clear identification of the:
– Corrective action required.
– Persons responsible for taking that action.
– Priorities/timescales.
The active monitoring system can be documented and formalised once procedures based on all these factors have
been agreed upon.
TOPIC FOCUS
Factors to take into account when determining the frequency of general workplace inspections:
• Statutory requirements may dictate an inspection frequency.
• The activities carried out and the level of risk.
• How well established the process is (e.g. new equipment may require more frequent monitoring).
• Risk assessments may suggest inspections as a control measure.
• Manufacturers may make recommendations in relation to inspection frequency and content.
• The presence of vulnerable workers (e.g. young and inexperienced people).
• Findings from previous inspections, which may suggest compliance concerns.
• Accident history and results of investigations.
• Enforcement authorities may recommend inspections.
• Whether workers have voiced concerns.
Example Inspection System
The head office of a bank introduces an inspection system to actively monitor general health and safety standards.
A set of formal arrangements is documented and included in the safety policy of the company. These arrangements
describe:
• The purpose of the inspection system – to monitor general health and safety standards.
• The frequency of the inspections – once a month for all areas.
• Competence of inspectors – the need for inspecting managers to attend a one-day course on the inspection
system.
• The persons responsible – managers of a particular level for ensuring that inspections are carried out, managers
of the next level down for actually doing the inspections.
• Inspection checklist – a generic checklist that is appropriate to all office areas, which may be tailored by the
inspector if necessary.
• Follow-up arrangements – an action plan table is created and included on the inspection checklist.

TOPIC FOCUS
Typical topic headings that might be included in a generic inspection checklist:
• Fire safety – including emergency escape routes, signs and extinguishers.
• Housekeeping – general tidiness and cleanliness.
• Environment issues – e.g. lighting, temperature, ventilation, noise.
• Traffic routes – safety of both vehicle and pedestrian routes.
• Chemical safety – appropriate use and storage of hazardous substances.
• Machinery safety – e.g. correct use of machine guards and interlocks.
• Electrical safety – e.g. portable electrical appliance safety.
• Welfare facilities – suitability and condition.
It is worth noting that students will be carrying out a workplace inspection in the second half of their studies to
identify hazards and corrective actions as part of the practical assessment.
Reactive Monitoring
Reactive monitoring uses incidents, ill health and other unwanted events
and situations as indicators of health and safety performance to highlight
areas of concern. By definition, this means ‘reacting’ after things have gone
wrong. This indicates two weaknesses with reactive monitoring:
• Things have already gone wrong; things are being put right after the
event rather than before.
• It measures failure, which can be a negative aspect to focus on.
Despite these weaknesses, reactive monitoring is a valid tool for an
organisation to use, as long as various forms of active monitoring are being
carried out as well. Reactive monitoring can be carried out by learning
lessons:
• From one individual event, such as an accident, dangerous occurrence, near miss or case of ill health.
• From data gathered from large numbers of the same types of event.
The first method involves event reporting, recording and investigation (see later in this element). The second method
is concerned with the collection and use of statistics.
HINTS AND TIPS
There is often some confusion about the categorisation of near-misses as active or reactive. While they are
responding before someone has been hurt, they are still ‘reactive’ as something unwanted has happened, it
just could have been a lot worse.

Reactive monitoring methods are often called lagging indicators, that is, indicators that show the direction of
travel after unwanted events (such as an accident) occur. If lagging indicators are moving in a positive direction then
the chance of accidents has reduced. Conversely, if lagging indicators are moving in a negative direction that is an
indication that the chance of accidents has increased.
For example, if the accident rate at a workplace reduces month-on-month over a period of time (because of various
safety improvements introduced in the workplace) then this is a lagging indicator that is moving in a positive
direction. It shows that the chance of accidents has reduced over recent time. However, if there was an increase in the
accident rate, this is a lagging indicator moving in a negative direction. It shows that performance is deteriorating and
there has been a loss of control.
Lagging indicators tell you information about what your performance was in the past. In contrast, leading indicators (as
outlined in the Active Monitoring section) tell you what your performance is likely to be in the future.
Statistics
Data can be collected and reported about a number of different unwanted
events, such as:
• Accidents.
• Dangerous occurrences.
• Near misses.
• Cases of ill health.
• Complaints from the workforce.
• The number and type of formal enforcement actions taken against the
organisation.
• The number and value of civil claims for compensation against the
organisation.
• Cost of accidents (e.g. damage repairs).
This data can then be analysed to see if there are any:
• Trends – consistent increases or decreases in the number of certain types of event over a period of time.
• Patterns – collections or hot-spots of certain types of event.
This analysis usually involves converting the raw data (i.e. the actual numbers) into an accident rate so that more
meaningful comparisons can be made.
One commonly used accident rate used to measure an organisation’s safety performance is the Lost-time Accident
Frequency Rate:
=
Number of lost-time accidents during a specific time period
× 100,000
Number of hours worked over the same period
(The answer is in units of ‘lost-time accidents per 100,000 hours worked’.)
The reason why a rate might be used rather than the actual numbers is because it allows for a more meaningful
comparison of accident statistics from one year to the next, even though the numbers of workers in the workplace
may have changed or there may be more work to do (and hence more hours worked).

STUDY QUESTIONS
1. Define reactive and active monitoring.
2. What do we mean by systematic active monitoring?
3. What types of information that might be used in reactive monitoring?
4. What is the purpose of workplace inspections?
5. What is the difference between a safety inspection and safety tour?
6. What role does senior management have in workplace inspections?
7. Why are checklists used in inspections?

4.2 Investigating, Recording and Reporting Incidents
Investigating, Recording and Reporting Incidents
IN THIS SECTION...
• Incidents should be investigated for several reasons, perhaps the most important of which is to discover the
causes so that corrective action can be taken to prevent similar incidents from happening again.
• Incidents can be categorised in terms of their outcome: near miss, accident (injury and/or damage), dangerous
occurrence and ill health.
• The level of investigation used should be determined by considering the foreseeable consequences of the
incident should it happen again, and not simply by looking at the actual outcome that occurred on this occasion.
• Basic incident investigation procedure is to:
– Gather factual information about the event.
– Analyse that information to draw conclusions about the immediate and root causes.
– Identify suitable control measure.
– Plan the remedial actions.
• Arrangements should be made for the internal reporting of all work-related incidents, and workers should be
encouraged to do so.
• Records of work-related injuries should be kept.
• Certain types of incident – such as fatalities, major injuries, occupational diseases and some dangerous
occurrences – have to be reported to external agencies.
Introduction to Incident Investigation
Unfortunately, in spite of an organisation’s best efforts, accidents do
happen. When they happen, it is important that the incident is reported,
recorded and investigated in an appropriate and timely manner.
There are many reasons for conducting investigations, but one of the most
important is that having happened once, an incident may happen again;
and when it happens again the outcome may be as bad as, or worse than,
it was the first time. It is therefore important to understand exactly why
the incident occurred so that corrective action can be taken to prevent a
recurrence. Often the only thing that separates a near-miss or a minor-injury
accident from a serious-injury accident is luck (or chance). The place where
one worker trips and stumbles on the steps one day, may be the place
where another worker will trip, fall and break their arm the next. It follows
that all incidents should be examined to determine the potential for serious harm, injury or loss. Where this potential
exists, a thorough investigation should be carried out to prevent that potential from becoming actual.
It is also likely that if near-miss events are rigorously reported there will be a far greater number of events to consider,
providing more data, which can help highlight the deficiencies in the safety management system.
This is not to say that all incidents should be thoroughly investigated in great depth and detail – that would be a waste
of time and effort in many cases – but that all incidents should be examined for potential so that a decision can be
made as to whether a more detailed and thorough investigation is required. This idea is sometimes formalised into an
organisation’s investigation procedures.

4.2Investigating, Recording and Reporting Incidents
TOPIC FOCUS
Reasons for investigating incidents:
• To identify the immediate and root causes – incidents are usually caused by unsafe acts and unsafe
conditions in the workplace, but these often arise from underlying, or root causes.
• To identify corrective action to prevent a recurrence – a key motivation behind incident investigations.
• To record the facts of the incident – people do not have perfect memories, and accident investigation
records document factual evidence for the future.
• For legal reasons – accident investigations are an implicit legal duty imposed on the employer, in addition
to the duty to report incidents.
• For claim management – if a claim for compensation is lodged against the employer, the insurance
company will examine the accident investigation report to help determine liability.
• For staff morale – non-investigation of accidents has a detrimental effect on morale and safety culture
because workers will assume that the organisation does not value their safety.
• To enable risk assessments to be reviewed and updated – an incident suggests a deficiency with the
risk assessment, which should be addressed.
• For disciplinary purposes – though blaming workers for incidents has a negative effect on safety culture
(see Element 3), there are occasions when an organisation has to discipline a worker because their
behaviour has fallen short of the acceptable standard.
• For data-gathering purposes – accident statistics can be used to identify trends and patterns; this relies
on the collection of good quality data.
Types of Incident
Incidents can be categorised according to their nature and outcome:
Accident
DEFINITION
ACCIDENT
An unplanned, unwanted event which leads to injury, damage or loss.
For example, a worker on the ground is struck on the head and killed by a brick dropped by another worker on a
5m-high scaffold; or, a lorry driver misjudges the turning circle of their vehicle and knocks over a barrier at the edge
of a site entrance, crushing the barrier beyond repair. Note that in both of these examples the acts are not carried out
deliberately. An accident is unplanned. Any deliberate attempt to cause injury or loss is therefore not an accident.
Accidents can be further subdivided into:
• Injury accidents – an unplanned, unwanted event which leads to personal injury of some sort.
• Damage-only accident – an unplanned, unwanted event which leads to damage to equipment or property.

Near Miss
DEFINITION
NEAR MISS
An unplanned, unwanted event that had the potential to lead to injury, damage or loss, but did not, in fact,
do so.
For example, a worker drops a brick from a 5m-high scaffold and it narrowly misses another worker standing on the
ground. No injury results and the brick is not even broken. The only thing that separates accidents and near misses is
the outcome of the event. An accident causes loss, a near miss does not.
Dangerous Occurrence
DEFINITION
DANGEROUS OCCURRENCE
A specified event that has to be reported to the relevant authority by statute law.
For example, under the UK’s Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013
(RIDDOR) certain types of event have to be reported to the relevant authority, even though no injury or ill health
may have resulted. For example, the failure of the load-bearing parts of a crane is a dangerous occurrence. No person
has to be injured by the failure, the failure itself is reportable. This topic is dealt with in more detail later in this
element.
Reporting of these dangerous occurrences to the relevant authorities is usually a requirement of law in most countries
and regions around the world.
Work-Related Ill Health
DEFINITION
WORK-RELATED ILL HEALTH
Diseases or medical conditions caused by a person’s work.
For example, dermatitis is a disease of the skin often caused by work
activities, especially when the handling of solvents, detergents or irritant
substances is involved.
Work-related ill health includes diseases and conditions related to exposure
to:
• Toxic substances (e.g. lead poisoning caused by exposure to lead fumes).
• Harmful biological agents (e.g. Legionnaires’ disease caused by exposure
to Legionella bacteria).
• Physical or ergonomic hazards (e.g. noise-induced hearing loss caused by
exposure to excessive noise).
Dermatitis

• Ergonomic hazards (e.g. upper limb disorder caused by repetitive handling).
• Psychological hazards (e.g. clinical depression caused by excessive pressure).
Ill health can result from a single incident. For example, it is possible to develop dermatitis as a result of a single
exposure to an irritant substance. However, many forms of ill health do not result from a single incident but from
ongoing or long-lasting working conditions or multiple exposures.
Level of Investigation
The amount of time, money and effort put into an incident investigation should be proportionate to the risk
associated with the incident should it happen again. This risk estimation must be made based on the foreseeable and
possible severity of harm or loss associated with the incident. It must not be based solely on the actual severity of
harm or loss associated with the incident this time.
So, for example, the effort put into investigating an accident that resulted in a worker breaking their arm should not
be determined simply by looking at the fact that the outcome was a broken arm (which is, of course, a serious injury).
The foreseeable and possible severity of harm associated with a repeat event must be taken into account. If a fatal
injury is a very likely outcome from this event (and the worker was lucky to escape with just a broken arm on this
occasion) then more time, money and effort must be dedicated to the investigation process.
Similarly, the effort put into investigating a near miss must be determined by the foreseeable possible harm or loss
if the event happens again. Not simply on the basis that the near miss did not cause any harm or loss. So a near miss
that might foreseeably result in a lost-time injury should be investigated with a proportionate level of investigation.
When determining what level of investigation to apply the risk associated with each incident can be estimated
in order to allocate appropriate resources. As we know from Element 3, risk can be estimated by considering the
likelihood of occurrence and foreseeable severity of harm or loss.
This can be used to determine whether an investigation should be:
• Minimal – immediate line manager and not excessive time or effort.
• Low – line manager perhaps with some support and more time and effort involved.
• Medium – middle manager with support and significant time and effort.
• High – senior management oversight with team based approach and significant time and effort.
MORE...
For more information on types of incident, refer to HSG245 at:
hse.gov.uk/pubns/hsg245.pdf
http://www.hse.gov.uk/pubns/h

Basic Investigation Procedures
When investigating an accident or other type of incident, there are some basic principles and procedures that can
be used:
• Step 1: Gather factual information about the event.
• Step 2: Analyse that information and draw conclusions about the immediate and root causes.
• Step 3: Identify suitable control measures.
• Step 4: Plan the remedial actions.
However, before the investigation can begin, there are two important issues that should be considered:
• Safety of the scene – is the area safe to approach? Is immediate action needed to eliminate danger even before
casualties are approached?
• Casualty care – any injured people will require first-aid treatment and may need hospitalisation. This is, of course,
a priority. It is also worth considering the welfare of uninjured bystanders who may be in shock.
Once immediate danger has been eliminated and casualties have been attended to, a decision has to be made about
the type or level of investigation as outlined above.
It may be useful for an organisation to develop a checklist to guide the investigator through the process and act as a
memory aide.
TOPIC FOCUS
Items that could be included on an accident investigation checklist:
• Personal details of the person involved.
• Time and location of the accident.
• Type and severity of the injury sustained.
• Whether the injured person had been given first aid, had returned to work or had been sent to hospital.
• Underlying medical condition of the injured person.
• Task being undertaken at the time of the accident.
• Working environment as far as weather, standard of lighting and visibility were concerned.
• Condition of the floor or ground.
• The type and condition of any personal protective equipment that was being worn.
• Details of the training and information received.
• Details of any relevant risk assessments that had been carried out.
• Any previous similar accidents that had occurred.

Step 1: Gathering Information
• Secure the scene as soon as possible to prevent it being altered.
• Collect witnesses’ details quickly, before they start to move away. In
some cases it may help to remove witnesses from the scene and ask
them to wait in a separate area. If there are many witnesses it may
be better to separate them from each other to prevent them from
conferring with each other and developing an ‘agreed’ story.
• Collect factual information from the scene and record it. This might be
done by means of:
– Photographs.
– Sketches.
– Measurements.
– Videos.
– Written descriptions of factors such as wind speed, temperature, etc.
– Physical evidence such as samples, or the equipment that has failed.
– Marking up existing site/location plans.
The investigator should come prepared with the appropriate equipment to record this information.
• Once the scene has been thoroughly examined, move on to the second source of information: witnesses.
Witnesses often provide crucial evidence about what occurred before, during and after incidents. They should be
interviewed carefully to make sure that good-quality evidence is gathered.
TOPIC FOCUS
Good witness interview technique requires that the interviewer should:
• Hold the interview in a quiet room or area free from distractions and interruptions.
• Introduce themselves and try to establish rapport with the witness using appropriate verbal and body
language.
• Explain the purpose of the interview (perhaps emphasising that the interview is not about blaming
people).
• Use open questions (such as those beginning with What, Why, Where, When, Who, How, etc.) that do
not put words into the witness’ mouth and do not allow them to answer with a ‘yes’ or ‘no’.
• Keep an open mind.
• Take notes so that the facts being discussed are not forgotten.
• Ask the witness to write and sign a statement to create a record of their testimony.
• Thank the witness for their help.
Accident investigator taking
measurements

• Once witnesses have been interviewed, move on to the third source of information: documentation. Various
documents may be examined during an accident investigation, such as:
– Company policies.
– Risk assessments.
– Training records.
– Safe systems of work.
– Permits to work.
– Maintenance records.
– Site plans, area layout plans.
– Previous accident reports.
– Sickness and absence records.
Step 2: Analysing Information
The purpose here is to draw conclusions about the immediate and root causes of the incident.
Immediate causes are the obvious causes that gave rise to the event itself. These will be the things that occurred at
the time and place of the accident. For example, a worker slips on a patch of oil spilt on the floor, injuring their back
as they fall backwards and hit the ground. The immediate cause of the back injury is hitting the ground, but there are
many contributors to this cause. It is common to think of these in terms of unsafe acts and unsafe conditions. So here,
for example, we might have the slippery oil (unsafe condition), and the worker walking through it (unsafe act).
Underlying or root causes are the things that lie behind the immediate causes. Often, root causes will be failures in
the management system, such as:
• Failure to adequately supervise workers.
• Failure to provide appropriate PPE.
• Failure to provide adequate training.
• Lack of maintenance.
• Inadequate checking or inspections.
• Failure to carry out proper risk assessments.
For example, with the slip we described above, the root causes might
be a poorly maintained machine that has leaked oil onto the floor, and a
poorly inspected and maintained workshop with broken light fittings and
inadequate lighting levels. Here, the worker might be blameless on the basis
that, given those conditions, the accident was bound to happen eventually.
Many of the accidents that happen in workplaces have one immediate
cause and one underlying or root cause. If that one root cause is identified
and dealt with, then the accident should not happen again. For example, if
a worker twists their ankle in a pothole in the pavement, then the obvious
solution is to fill the pothole in. It might also be worth asking how long the
pothole had been there. If it had been there for a long time, why was it not
spotted sooner? And if it had been spotted, why had it been left unrepaired
with no interim measure being taken to protect people?
There may be more than one cause
for an accident

These questions might identify an underlying cause, such as inadequate inspection and maintenance, or failure to put
interim measures in place while waiting for maintenance work to be carried out.
In contrast to this single-cause idea, some workplace accidents are complex and have multiple causes: there are
several immediate causes for the accident and each of these has underlying, or root causes. For example, a worker
might be struck by a load being carried by a forklift truck. Immediate causes for such an accident might be:
• Failure to secure the load on the pallet.
• Poor road positioning of the truck close to a pedestrian exit.
• Aggressive braking by the truck driver.
• An inattentive pedestrian stepping out in front of the truck.
On investigation, each of these immediate causes might have their own separate root causes, such as:
• No training for the driver, who is new to the workplace, has not worked with this type of load before and is
unaware of the load-securing technique required.
• Lack of segregation of pedestrian and traffic routes; no barriers and no markings to separate the two.
• Lack of proper driver induction into their new workplace so they are unaware of the layout and position of
pedestrian exits, etc.
• Poor maintenance of the truck.
• No refresher training for existing staff, meaning that experienced staff have become complacent.
If there are multiple causes for the accident, then it is important that each of these causes is identified during the
investigation – otherwise, incomplete remedial action will be taken and similar accidents may happen in the future.
Step 3: Identifying Suitable Control Measures
Once the immediate and underlying causes of the accident are known, appropriate control measures can be
identified. It is important that the correct control measures are established – otherwise, time, money and effort will
be wasted on inadequate and unnecessary measures that will not prevent similar occurrences in the future.
Control measures must be identified to remedy both the immediate and underlying causes. Immediate causes are
usually easy to identify – if there is a spill of oil on the floor, clean it up; if the guard is missing from the machine,
reattach it.
Underlying causes can be harder to determine because they reflect failure of the management system. However, it
is essential that the correct control measures to remedy the failure of the
management system are identified because this will help prevent similar
accidents occurring in similar circumstance across the entire organisation.
For example, if a worker slips on some oil that has leaked out of a vehicle in
the distribution depot, an employer may:
• Clean up the oil leaking out of the vehicle (the immediate cause),
but fail to deal with the underlying cause (lack of inspection and
maintenance). This could lead to more leaks, which in turn may lead to
more pedestrian slips (and perhaps vehicle skids).
• Clean up the oil leaking out of the vehicle and deal with the underlying
cause (by introducing a proper inspection and maintenance system).
In this instance, there is a good chance that most oil leaks will be
prevented in the future for all vehicles in the fleet at all locations.
Control measures mean accidents
are less likely to recur

Perhaps the most important questions to ask when identifying control measures are:
• If this action is taken, will it prevent the same accident from happening in exactly the same way at this location?
• If this action is taken, will it prevent other similar types of accident from happening in similar locations in the
future?
If the answer to both of these questions is ‘no’, then you need to identify other control measures.
Step 4: Planning the Remedial Actions
An incident investigation should lead to corrective action being taken, in just the same way as a workplace inspection
will. Remedial actions can be presented in an action plan:
Recommended Action Priority Timescale Responsible Person
Introduce induction
training for all new drivers
Medium 1 month Warehouse manager
When the action plan is being prepared, appropriate immediate and interim control measures must be given suitable
priorities and timescales.
Unsafe conditions must not be allowed to persist in the workplace. Dangerous practices and high-risk activities must
be dealt with immediately. This means that immediate action must be taken to remedy these circumstances when
they are discovered. Machinery and equipment may have to be taken out of action, certain work activities suspended,
and locations evacuated. These responses cannot be left until the investigation has been completed. They will have to
be implemented immediately to ensure safety while the investigation is in progress.
There may be interim control measures that can be introduced in the short-
to medium-term to allow work to proceed while longer-term solutions are
being worked out. For example, hearing protection might be introduced as
a short-term control measure until the maintenance of a piece of machinery
that is producing excessive noise has been completed. A perimeter guard
might be fitted around an overheating machine that would ordinarily be
protected with a fixed enclosed guard while new cooling units are sourced
and delivered.
Underlying causes will often demand significant time, money and effort to
remedy. It is essential, therefore, that the remedial actions that will have the
greatest impact are prioritised and timetabled first. There may be actions
that have to be taken (to address a management weakness, or to achieve
legal compliance) that will not be as effective in preventing future accidents.
These actions should still be taken, but with a lower priority.
Hearing protection could be a short-
term control measure

TOPIC FOCUS
The contents of a typical incident investigation report may include:
• Date and time of the incident.
• Location of the incident.
• Details of the injured person/persons involved (name, role, work history).
• Details of injury sustained.
• Description of the activity being carried out at the time.
• Drawings or photographs used to convey information on the scene.
• Details of witnesses and witness statements.
• Immediate and underlying/root causes of the incident.
• Assessment of any breaches of legislation.
• Recommended corrective action, with suggested costs, responsibilities and timescales.
• Estimation of the cost implications for the organisation.
Recording and Reporting Requirements
DEFINITIONS
REPORTING
The process of informing people that an incident has occurred – this can be internally within the organisation
or externally to enforcing authorities or insurers, etc.
RECORDING
The process of documenting the event.
Work-related incidents should be reported internally by workers to
management. The system put in place by an organisation to allow for this
should be described in the Arrangements section of the organisation’s
safety policy.
It is standard practice for workers to verbally report incidents to their
immediate line manager, followed by completion of an internal incident
report form. There are occasions when this simple verbal reporting
procedure is not appropriate, and a more complex reporting procedure
then has to be introduced. For example, a lone-working contractor visiting a
client’s premises may have to report their accident to the client as well as to
their immediate line manager.
Internal reporting to line manager

Internal Incident Reporting Systems
When establishing an incident-reporting policy, the organisation should be clear about the type of incident that has to
be reported by workers. It is usual to include a list of definitions in the policy so that workers understand the phrases
used. For example, if the organisation wants workers to report near-misses, it must specify this in the policy and be
clear about what the phrase ‘near-miss’ actually means.
Having established an incident-reporting policy, the organisation must encourage workers to report all relevant
incidents. Unfortunately, there are many reasons why workers do not report incidents.
TOPIC FOCUS
Barriers to reporting – reasons why workers might not report incidents:
• Unclear organisational policy on reporting incidents.
• No reporting system in place.
• Culture of not reporting incidents (perhaps due to peer group pressure).
• Overly complicated reporting procedures.
• Excessive paperwork.
• Takes too much time.
• Blame culture (where a worker feels that they may be treated detrimentally or disciplined for reporting
any accident or near miss that they were associated with).
• Belief that management does not take reports seriously.
• Concern over the impact on the company or departmental safety statistics (especially if this is linked to an
incentive scheme).
• Reluctance to receive first-aid treatment.
• Apathy.
The organisation should try to remove each of these barriers to ensure that every relevant incident is reported in a
timely manner. Most of these barriers can be dealt with by having a well-prepared, clearly-stated policy, adopting user-
friendly procedures and paperwork, and training staff in the procedures. An organisation can take disciplinary action
against workers who fail to report incidents if they have been given the training and means to do so.
If fatal or major injuries, high-cost events, high-profile incidents or environmental events occur, it will be necessary to
notify certain internal personnel immediately. Senior management, human resources, safety and/or environmental
management and worker representatives may all have to be notified. Action by these staff may then be required to
inform external parties as necessary (e.g. the family of the casualty, external authorities, insurance companies, public
relations advisers). These internal and external contact procedures, or escalation procedures, should be documented
in the incident reporting section of the safety policy.
Incident Recording
When a work-related incident is reported, a record is usually created of that event (in some instances the report is
filed in written form, so reporting and recording are one and the same thing).
As a minimum, organisations should keep a record of all work-related accidents that result in personal injury. This is
usually dictated by regional statute law and there is often a standard accident record form or book that should be
used. This record must then be kept by the organisation; the length of time that it has to be retained is usually also
subject to statute law.

TOPIC FOCUS
Typical contents of an internal accident record:
• Name and address of casualty.
• Location of accident.
• Details of treatment given.
• Details of any equipment or substances involved.
• Details of person completing the record.
• Date and time of accident.
• Details of injury.
• Description of event causing injury.
• Witnesses’ names and contact details.
• Signatures.
Separate forms can also take account of near misses and reports of ill health. These do not need to include standard
accident book data as there is no explicit legal requirement to keep a record of most near misses.
Organisations often have separate forms for the recording of accidents (as above) and the recording of accident
investigations. This is an important distinction to make; the accident record is the initial record of the basic facts
of the injury; the accident investigation report is the detailed examination of what caused that injury and why it
happened (immediate, underlying and root causes) as well as the corrective actions required to prevent recurrence.
These do not have to be recorded in the same document.
Reporting of Events to External Agencies
Most countries have statute law that requires certain types of event to be reported to relevant government appointed
agencies. All countries agree that fatal accidents must be reported, however the level of detail of other types of
event that need to be reported differs between countries.
Typical reportable events include:
• Accidents resulting in major injury (e.g. an amputation, such as loss of a
hand through contact with machine parts).
• Dangerous occurrences (e.g. the failure of an item of lifting
equipment, such as the structural failure of a passenger lift during use).
• Occupational diseases (e.g. mesothelioma, a form of cancer of the
lining of the lung, as might be contracted by someone exposed to
asbestos).
Other types of event often fall into this reporting regime, such as lost-time
injuries, where workers are unable to perform their normal duties for a
certain time period. Local statute law usually specifies how these reports are
made and the timescales for reporting.
Lung cancer can be caused by
working with asbestos

The International Labour Organization (ILO) has published several international standards on recommended
reporting procedures. The principal reference is the 2002 Protocol to the Occupational Safety and Health
Convention 1981 (P155); this greatly expands on the general reporting standards of Article 4 of the Occupational
Safety and Health Convention 1981 (C155). It is supported by Recommendation 194, which lists types of diseases
that should be reported to national governments.
MORE...
Further information on incident reporting to external authorities can be found at:
www.ilo.org
www.hse.gov.uk/riddor/report.htm
STUDY QUESTIONS
8. What is the main purpose of an accident investigation?
9. What are the four steps of the investigation process?
10. Identify the categories of staff who might be considered useful members of an internal accident
investigation team.
11. What types of record might be consulted during an accident investigation?
12. What are the two categories of immediate cause of accidents/incidents?
13. An employee has been hit by a reversing vehicle in a loading bay. What are the possible immediate causes
and root causes?
14. Who is usually initially responsible for reporting accidents and safety-related incidents?
15. What actions should be taken following a serious injury at work?

4.3Health and Safety Auditing
Health and Safety Auditing
IN THIS SECTION...
• Auditing is the systematic, objective, critical evaluation of an organisation’s health and safety management system.
• Preparations have to be made before an audit commences.
• During an audit, three different types of evidence will be sought: documents and records, interviews, and direct
observation in the workplace.
• Audit reports feed information back into the review process so that action can be taken for continual
improvement.
• Audits can either be conducted by external personnel or internal staff. There are strengths and weaknesses to
both types.
Introduction to Auditing
The UK’s Health and Safety Executive publication Managing for health and safety defines health and safety auditing as:
“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.”
DEFINITION
HEALTH AND SAFETY AUDITING
A shorter definition is:
Auditing is the systematic, objective, critical evaluation of an organisation’s health and safety management
system.
Health and safety audits share many common features with financial, quality and environmental management audits;
the basic principles are the same.
Auditing is a mechanism for verifying that an organisation’s safety
management system is in place and operating effectively. It is:
• Systematic – the audit follows a series of logical steps and stages and
follows a prepared plan.
• Objective – all findings are evidence-based.
• Critical – it highlights areas of non-compliance or non-conformance.
The intention of an audit is to provide critical feedback on the management
system so that appropriate follow-up action can be taken. The audit process
can, therefore, be viewed as rather negative, since it will tend to focus on
areas of weakness and non-conformance. In fact, some audits do not make
any mention of any positive aspects of the safety management system at
all; they focus entirely on the weaknesses. This is, however, inherent in the
purpose of the audit – to identify weaknesses so that they can be dealt with.
Audit – structured process of
collecting information

4.3 Health and Safety Auditing
On the positive side, auditing is a very effective way of enhancing organisational learning. It is an opportunity to
improve:
• The management system.
• The safety policy.
• The arrangements made for specific issues.
• Health and safety performance.
Auditing is, in effect, another form of active monitoring. A positive audit report (or a verification audit that results in
certification) provides an assurance that health and safety management system is robust and effective.
The Distinction Between Audits and Inspections
An audit focuses on management systems:
• It examines documents, such as the safety policy, arrangements, procedures, risk assessments, safe systems of
work, method statements, etc.
• It looks closely at records, such as those created to verify training, maintenance, inspections, statutory
examinations, etc.
• It verifies the standards that exist within the workplace by interview and direct observation.
An inspection is a simpler process of checking the workplace for uncontrolled hazards and addressing any that are
found.
It is important that the term ‘audit’ is used correctly; an audit is the thorough examination of the management
system, from the documents through to what is happening in practice in the workplace.
For example, we might inspect the fire extinguishers in a building to verify that they are where they should be,
correctly signed, labelled with an in-date inspection, tagged and pinned.
But we can audit the fire extinguisher management system for a site to verify that:
• There is an adequate policy on fire extinguishers.
• Annual extinguisher maintenance records are complete and up-to-date.
• Weekly extinguisher visual inspections are being done and recorded.
• Training records on extinguisher use are kept and are complete and up-to-date.
• Incident reports are created and kept of any event requiring the use of fire extinguishers.
• Workers appear to understand how to use fire extinguishers correctly.
• The fire extinguishers are in the correct location and are labelled, tagged and pinned as expected.
Most of this information can be gathered by looking at documents and records, but some if it has to be collected by
talking to people and direct observation in the workplace.

The Stages of an Audit
Different audits are run in slightly different ways. What follows is a fairly typical audit process.
Pre-Audit Preparations
Before the audit starts, the following should be defined:
• The scope of the audit – will it cover just health and safety, or environmental management as well?
• The area of the audit – one department? One whole site? All sites?
• The extent of the audit – fully comprehensive (which may take weeks), or more selective?
• Who will be required – auditors will need to be accompanied during their visit and will need access to managers
and workers for information-gathering, therefore those required for interviews should be notified in advance.
• Information-gathering – it is common practice for auditors to ask for copies of relevant documentation before
starting the audit so that they can prepare.
The organisation will have to ensure that the auditor is competent, i.e. that they have the relevant qualifications,
experience and knowledge to do the job well. This can apply to both internal and external auditors. If internal staff are
used as auditors, sufficient time and resources will have to be allocated so that they can be trained and developed in
that role.
All of these elements of the audit process require the allocation of sufficient management time and resources.
During the Audit
Auditors use three methods to gather factual information:
• Reference to paperwork – the documents and records that indicate
what should be happening and what has happened relevant to a
particular issue.
• Interviews – word-of-mouth evidence given by managers and workers.
• Direct observation – of the workplace, equipment, activities and
behaviour.
Auditors will sometimes seek to collect evidence so that their findings
cannot be refuted; this can be done by copying paperwork, taking
photographs and having a witness to corroborate word-of-mouth evidence.
An auditor’s favourite phrases are: ‘Show me’ and ‘Can you prove it?’

4.3 Health and Safety Auditing
TOPIC FOCUS
Typical information examined during an audit:
• Health and safety policy.
• Risk assessments and safe systems of work.
• Training records.
• Minutes of safety committee meetings.
• Maintenance records and details of failures.
• Records of health and safety monitoring activities (e.g. tours, inspections, surveys).
• Accident investigation reports and data, including near-miss information.
• Emergency arrangements.
• Inspection reports from insurance companies.
• Output from regulator visits (e.g. visit reports, enforcement actions).
• Records of worker complaints.
At the End of the Audit
Verbal feedback is usually provided at the end of an audit; for some audits, this will involve a presentation to the
management team. This verbal feedback will be followed by a written report. The report will make recommendations
for improvement and indicate priorities and timescales.
The verbal feedback and report are usually presented to senior management for action and/or praise, as required.
This is a demonstration of leadership and, in some cases, it is a requirement in the standards being audited. The
management team have the authority and resources to take action where required, and may also need to adjust the
organisational goals and objectives.
After the audit, the feedback and report may contain a number of findings that require action. These may be classified
according to their significance. For example, in the ISO systems, the feedback is prioritised as:
• Major non-conformance – a significant issue or breach, which requires urgent action. This could result in the
failure of the safety management system and/or result in injury. In ISO terms, a major non-conformance would
be grounds for refusing certification.
• Minor non-conformance – an issue that is less serious in nature and unlikely to result in injury or a breakdown
of the system. In ISO terms, a minor non-conformance would require corrective action, but certification would be
granted.
• Observations – an opinion given by the auditor, which the organisation could decide to act on.
It is essential that an audit is followed up with action to correct non-conformities. These corrective actions will usually
be checked during the next audit. In some auditing systems, this will be done through an interim follow-up visit or
audit that simply looks at the way that the previous audit recommendations have been addressed.

External and Internal Audits
Audits are often carried out by safety specialists from outside the organisation. They can also be done by in-house
staff. In many instances both types of audit are carried out at different frequencies by the organisation. There are
advantages and disadvantages to both types.
Advantages Disadvantages
External Audits
• Independent of any internal influence.
• Fresh pair of eyes.
• May have wider experience of different
types of workplace.
• Recommendations often carry more
weight.
• Expensive.
• Time consuming.
• May not understand the
business and make impractical
suggestions.
• May intimidate workers so get
incomplete evidence.
Internal Audits
• Less expensive.
• Auditors already know the business so
know what can be realistically achieved.
• Improves ownership of issues found.
• Builds competence internally.
• Auditors may not notice certain
issues.
• Auditors may not have good
knowledge of industry or legal
standards.
• Auditors may not possess
auditing skills so may need
training.
• Auditors are not independent
so may be subject to internal
influence.
STUDY QUESTIONS
16. Define the term ‘health and safety auditing’.
17. What are the differences between health and safety audits and workplace inspections?

4.4 Reviewing Health and Safety Performance
Reviewing Health and Safety Performance
IN THIS SECTION...
• Health and safety performance should be reviewed by managers at all levels within the organisation on a routine
basis to ensure that management systems are working effectively.
• Reviewing performance relies on data gathered from various sources, such as accident data, inspection reports,
absence data, safety tours and audits.
• Reviews enable action to be taken so that health and safety performance is continually improved.
Purpose of Regular Reviews
Reviewing health and safety performance is a key part of any health and
safety management system. The purpose of a review is to identify any key
areas that need to be addressed and should be carried out by managers at
all levels within the organisation on a routine basis. Each review is likely to
have a different focus and will be conducted at different planned intervals.
For example:
• A full review of safety management might be undertaken at the highest
level of the organisation (board of directors/senior management) on an
annual basis.
• The management team may meet every quarter to carry out a review to
ensure that performance remains on track (clearly, reviewing progress
only once a year is not enough!). This information will feed into the
annual review.
• A review of departmental performance might be conducted every
month, with the information in the departmental reviews being fed into the quarterly management team review.
The essence of the review process is to answer the questions:
• Are we on target?
• If not, why not?
• What do we have to change?
For example, if the board of directors set an objective for the organisation to achieve a 5% reduction in the lost-
time accident incidence rate within one year, and the board reviews performance at the end of that year and a 6%
reduction has been achieved, then clearly the organisation is on target (for this objective) and a new objective can be
set for the coming year, with the intention of achieving continual improvement.
Effective performance reviews provide information not only to the board of directors, summarising the health and
safety performance of the organisation, but also to the workers. This demonstration of commitment to continual
improvement can boost morale and help establish a positive health and safety culture.
Management teams should carry
out regular performance reviews.

4.4Reviewing Health and Safety Performance
TOPIC FOCUS
Reasons why an organisation should review its health and safety performance:
• To identify whether the organisation is on target. If not on target, why not?
• To continually improve. What do we have to change so that we continually improve? For example, are
there risks that aren’t being controlled adequately? What needs to be done about them?
• Because monitoring is an essential part of any management system.
• Because reviews are a required part of accreditation to a management system such as ISO 45001.
Records of routine performance review should be kept to demonstrate that these reviews are taking place. These
records can themselves be used as a performance indicator and form a data source for the review process.
Issues to be Considered in Reviews
Reviewing health and safety performance relies to a great extent on having good quality, reliable information about
current and past performance, which usually depends on data gathering. One of the first steps in the review process is
gathering this information and data.
There are a wide range of topics for consideration in the review, including:
• Legal compliance – the organisation must be aware of any legal compliance issues, and therefore the review
should recognise any areas of legal non-compliance.
• Accident and incident data – concerning injury accidents, property-damage accidents, lost-time accidents,
reportable events, etc., often taken from accident records and accident investigation reports, together with
the review of corrective and preventive actions arising from investigations, to ensure that these have been
implemented.
• Safety tours, sampling and inspections – information and data gathered from general workplace inspection
reports and statutory inspections may provide evidence of conformance or non-conformance to standards.
• Absence and sickness data – concerning work-related ill health; gathered from absence monitoring records or
perhaps the occupational health department (if one exists).
• Audit reports – findings of internal and external audits should be reviewed, which may present detailed and
comprehensive information on the safety management system and its effectiveness.
• Achievement of objectives – where specific targets have been set for the organisation as a whole or parts of the
organisation, achievement towards these targets can be measured.
• Enforcement action – such as reports from inspectors, enforcement notices and prosecutions.
• Previous management reviews – in particular, the completion of actions identified during those reviews.
• Legal and best practice developments – it is important that the organisation remains up-to-date with its legal
responsibilities and responds to any changes. There may also be technological or best practice changes that can
be taken into consideration to further improve the workplace.
• Other sources – such as:
– Quality assurance reports.
– Results of participation and consultation.
– Communications and complaints from external sources.
– Monitoring data/records/reports.

4.4 Reviewing Health and Safety Performance
These performance indicators can then be used to evaluate the performance of the organisation against the required
standards.
These standards might be:
• Legal standards established by legislation.
• Organisational standards that go above and beyond legal compliance.
Outputs from the Reviews
Various outputs will arise from the review process. Records of management reviews should be retained. There may
be retention durations set within standards, but, in any case, the reviews should be recorded in order to demonstrate
that an adequate review was carried out in accordance with legal requirements (e.g. in Britain, the Management of
Health and Safety at Work Regulations 1999). Records of reviews will often take the form of minutes of review
meetings and action plans showing that agreed actions have been completed.
Some organisations will also be required to report annually to shareholders on their health and safety performance
through the annual company report.
Finally, the review process should form part of the continual improvement process of the organisation. Strategic
targets are set by senior management – these targets are then channelled down through the organisation and
reviewed by line management at different levels:
• Senior management set strategic targets.
• Middle management review performance in the areas under their control and sets targets to bring their area in
line with the strategic targets.
• Junior management review performance and sets local targets that will collectively allow the strategic targets to
be achieved.
This means health and safety reviews, at all levels, must feed directly into action plans. These plans should identify the
actions to be taken by responsible persons by appropriate deadlines. In this way, continual improvement of health and
safety performance can be achieved.
STUDY QUESTIONS
18. Performance review is concerned with ensuring that incident investigations are properly concluded. True
or false?
19. What is the purpose of reviewing health and safety performance?
20. Who should take part in reviews of the occupational health and safety management system?
21. How often should reviews of the occupational health and safety management system take place?
22. What typical outputs from the management review need to be documented and maintained as a record of
the review process and as evidence of its effectiveness?

Summary
Summary
This element has dealt with active and reactive monitoring, investigating incidents and recording and reporting
incidents.
In particular, it has:
• Differentiated between active monitoring (checking to ensure that standards are met before any untoward event
takes place) and reactive monitoring (measuring safety performance by reference to data on accidents, incidents
and ill health that have already occurred).
• Outlined some active monitoring methods (inspections, sampling and tours) and explained the factors that must
be considered when setting up an active monitoring system.
• Considered the reasons for accident investigation, perhaps the most important of which is to discover the causes
so that corrective action can be taken to prevent similar incidents from happening again.
• Categorised incidents in terms of their outcome: near-miss, accident (injury and/or damage), dangerous
occurrence and ill health.
• Described a basic investigation procedure:
– Gather factual information about the event.
– Analyse that information to draw conclusions about the immediate and underlying/root causes.
– Identify suitable control measures.
– Plan remedial actions.
• Outlined the arrangements that should be made for the internal reporting of all work-related incidents and the
records of work-related injuries that should be kept.
• Defined the types of incident that have to be reported to external agencies, such as fatalities, major injuries,
occupational diseases and dangerous occurrences.
• Defined auditing as the systematic, objective, critical evaluation of an organisation’s health and safety
management system.
• Outlined the steps of an audit process, considered the types of information that might be used as evidence, and
identified the strengths and weaknesses of external and internal auditing.
• Outlined the part that health and safety performance review has to play in ensuring continual improvement.
• Identified the information sources that might be used in reviewing performance and the role that senior
management has in establishing priorities and resources.

Exam Skills
Exam SkillsES
Exam Skills
QUESTION 1
What are:
(a) FOUR active (proactive); and (4 marks)
(b) FOUR reactive; (4 marks)
means by which an organisation can monitor its health and safety performance?
(Total: 8 marks)
Think about the steps you would take to answer the question:
• Step 1 – as always, read the question carefully. This should be a relatively quick question to answer, as you just
have to identify active and reactive monitoring techniques.
What are:
(a) FOUR active (proactive); and (4 marks)
(b) FOUR reactive; (4 marks)
means by which an organisation can monitor its health and safety performance?
(Total: 8 marks)
• Step 3 – next, consider the marks available. The question specifically asks for FOUR active and FOUR reactive
techniques, so if you provide more than that only the first four will be marked!
• Step 4 – read the question again to make sure you understand the difference between active and reactive
monitoring. (Re-read your notes if you need to.)
• Step 5 – the next stage is to develop a plan – you are now familiar with how to do this.
The answer plan will take the form of a bullet-pointed list that you need to develop into a full answer based on
the key words that you have highlighted.
would in the exam.

Exam Skills
Exam Skills ES
Active (proactive):
• Safety tours.
• Safety inspections.
• Safety survey.
• Safety sampling.
Reactive:
• Accident reporting and accident data.
• Ill health/absence reporting/data.
• Incident reporting, including near misses.
• Complaints.
• Prosecutions and enforcement actions.
• Cost of claims.
• Property damage reports.
(a) Four active monitoring techniques could be:
– Safety tours carried out by managers to monitor safety standards and identify hazards.
– Safety inspections carried out by a safety representative.
– Survey to monitor noise levels by a specialist.
– Safety sampling exercise to check compliance with rules on the use of PPE.
(b) Four reactive monitoring techniques could be:
– Collecting accident and incident data and reports, and analysing trends.
– Analysing absence and sickness data.
– Reviewing complaints from employees.
– Calculating the cost of claims brought due to injuries, and analysing trends.
Some candidates could only provide accident data as a reactive measure when, in reality, there are lots of other
examples!

Exam Skills
Exam SkillsES
QUESTION 2
(a) Give the meaning of the term ‘health and safety audit’. (2 marks)
(b) List key areas that may be covered within a health and safety audit. (10 marks)
(c) Explain how the findings of a health and safety audit can be used to improve health and safety
performance. (8 marks)
(Total: 20 marks)
Think about the steps you would take to answer the question:
• Step 1 – the first step is to read the question carefully. Note that for part (a) of the question you are required to
give the meaning of a term, so you need to provide, without explaining, the meaning of ‘health and safety audit’.
Part (b) requires an outline, so you will need to pick out the most important features of a health and safety audit.
Part (c) requires you to explain how the findings from an audit can be used to improve performance, so you will
need to give a clear account of this process.
• Step 2 – now highlight the key words. In this case they might look like this:
(a) Give the meaning of the term ‘health and safety audit’. (2 marks)
(b) List key areas that may be covered within a health and safety audit. (10 marks)
(c) Explain how the findings of a health and safety audit can be used to improve health and safety
performance. (8 marks)
(Total: 20 marks)
• Step 3 – next, consider the marks available. In this question there are 20 marks available. In part (a) of the
question, you are asked to give the meaning of the term, which is worth 2 marks. So you should be able to
provide this meaning in one sentence. Part (b) is worth 10 marks, so you need to give at least 10 factors to gain all
the marks available. Part (c) is worth 8 marks, and since an ‘explanation’ of how findings can be used to improve
health and safety performance will take the form of sentences, you will need between four and six sentences.
• Step 4 – read the question again to make sure you understand it and have a clear understanding of audits. (Re-
read your notes if you need to.)
• Step 5 – the next stage is to develop a plan – there are various ways to do this. First, remind yourself that
this question is all about auditing: what an audit is, what it entails and how audits benefit the organisation. To
construct your sentence for part (a), list the elements in an audit and then write them into a sentence. For part
(b), list the key factors that the audit will cover so that you can construct your answer by placing each factor
into a sentence. Using examples to illustrate your answer will help convince the examiner that you understand
the requirement for this aspect of the audit. For part (c), you will need to list how the findings can benefit the
organisation – each bullet-pointed item on this list should have related subsections to give you the depth that is
needed to meet the requirements for an explanation. So, the answer plan will take the form of bullet-pointed lists
that you need to develop into a full answer.
The whole question should take around 25 minutes to plan and write up, perhaps with 5 minutes at the end to read
through and make any minor changes or additions.
would in the exam.

Exam Skills
Exam Skills ES
Part (a):
• Structured.
• Systematic.
• Critical.
• Independent.
• Information.
• Effectiveness.
• Reliability.
• Corrective actions.
Part (b):
• Health and Safety Policy.
• Allocation of roles and responsibilities.
• Specific hazard control.
• Fire safety.
• First aid.
• Contractors.
• Accident reporting.
• Consultation.
• Maintenance of records.
• Recommendations.
Part (c):
• Compliance vs. non-compliance and reasons for failure.
• Strengths and weaknesses, enabling benchmarking.
• Informing and enabling remedial action.
• Evidence of commitment to health and safety; communicate findings.
• Prioritising and resource allocation.
• Continual improvement.
When you have an answer plan that meets the requirements of the question, have a go at providing a full answer
under examination conditions. Give yourself 20 minutes to write the answer (this time-frame assumes you have spent
5 minutes on the answer plan). Your handwriting must be legible – if the examiner cannot read what is written then it
cannot be marked. You will not be penalised in the exam for poor grammar or spelling, as long as your answer is clear
and can be understood.

Exam Skills
Exam SkillsES
Remember, you can always contact your tutor if you have any queries or need any further guidance on how to answer
this question.
(a) A structured, systematic, critical review of independent information collected on the effectiveness and reliability of the
organisation’s health and safety management system and suggested corrective actions.
(b) The key areas to be covered by a health and safety audit would be the organisation’s Health and Safety Policy, ensuring that
one existed and that it was communicated to employees. The audit should check that roles and responsibilities for health and
safety have been allocated to individuals and that they understand their roles. The audit can review risk assessments to ensure
they are suitable and sufficient, they are current and actions identified on them completed. The audit should ensure that
specific hazards such as manual handling, work at height or the control of substances hazardous to health are appropriately
managed. Auditors can ensure that fire safety is properly managed with emergency procedures in place. Arrangements for
first aid can be audited to ensure provision is adequate, as well as auditing arrangements for the control of contractors.
Auditors may cover accident reporting both internally within the organisation and externally reporting to the authorities.
Auditors should review the arrangements for consultation within the organisation and ensure that consultation does take
place. Auditors can consult maintenance records of machinery to establish that guarding to machines is maintained, as well
as ensuring those machines with a statutory requirement for maintenance are maintained. Auditors should also provide
recommendations for improving the existing system.
(c) The findings from a health and safety audit may be used to distinguish areas of compliance with legislation from those areas
that do not meet the necessary standard to comply. The audit should also identify the reasons why non-compliance exists and
the nature of the non-compliance. The audit may also have distinguished areas of strength from areas of weakness in the
management of health and safety. This may facilitate benchmarking by management with other organisations to ensure they
are managing health and safety responsibilities in line with industry standards, and to assist management to direct often scarce
resources where they are most required. The findings from the audit can be communicated to staff to ensure that standards
are maintained or improved and to indicate that management is motivated to be proactive in the provision of a safe place of
work, keeping health and safety on the business agenda. An audit enables management to follow a programme of continual
improvement by focusing on eliminating deficiencies.
• Confusing an audit with an inspection.
• Giving the reasons for carrying out an audit rather than outlining the key areas an audit should cover.
• Providing insufficient detail to meet the requirements of the question.
• Being unable to explain how the findings from an audit can be used to improve health and safety performance.
• Not being well-prepared – you must read and re-read your course notes.

Unit IG1: Final Reminders© RRC International 1
Now that you have worked your way
through the course material, this section
contains some reminders to help you
prepare for your NEBOSH exam. It
summarises the advice on how to approach
your revision and the exam itself and has
some hints and tips.
Unit IG1
Final Reminders

Unit IG1: Final Reminders © RRC International2
Your NEBOSH Exam
The NEBOSH Certificate exam will consist of one question paper which contains one 20-mark question and ten
8-mark questions. You are allowed two hours in which to complete the question paper and you should answer all the
questions.
To pass the exam, you must obtain a minimum of 45% of the total marks available.
If your performance is less than the pass mark then you will be ‘referred’. This means you may resit the exam
provided you do so within five years of passing the IG2 practical assessment. You may resit as many times as you want
within that five-year timescale.
Be Prepared
It may be some time since you last took an exam. Remember, success in an exam depends mainly on:
• revision – you have to be able to remember, recall and apply the information contained in your course material;
and
• exam technique – you have to be able to understand the questions and write good answers in the time available.
Revision and exam technique are skills that can be learnt.
We looked at both of these skills in the Introduction to Unit IG1 so here is a summary of the ideas covered.
Remember the saying that ‘proper planning and preparation prevents a poor performance’. This was never truer than
in an exam.
Revision Tips
Using the RRC Course Material
To begin your revision, you should read through all of the topics multiple times. This might be done by skimming over
all of the content of Unit IG1 to get a feel for structure and topics, followed by a more thorough read-through that
jumps over the most difficult topic areas, then a detailed read where you attempt to crack the difficult topics.
Make notes that summarise important information from each element. You could use index cards to create a
portable, quick and easy revision aid. Or you could draw mind maps, make a poster that summarises a topic area or
make some audio recordings.
Remember that understanding the information, and being able to remember and recall it, are two different skills. As
you read the course material, you should understand it. In the exam, you
have to be able to remember, recall and apply it. To do this successfully,
most people have to go back over the material repeatedly.
Check your basic knowledge of the content of each element by reading the
element Summary. The Summary should help you recall the ideas contained
in the text. If it does not, then you may need to re-visit the appropriate
sections of the element.

Unit IG1: Final Reminders© RRC International 3
Using the Syllabus Guide
I recommend that you download a copy of the NEBOSH Guide to the course, which contains the syllabus from the
NEBOSH website. If a topic is in Elements 1–4 of the syllabus, then it is possible that there will be an exam question
on that topic.
Map your level of knowledge and recall against Elements 1–4 in the syllabus guide. Look at the content listed for each
element in the guide. Ask yourself the following question:
‘If there is a question in the exam about that topic, could I answer it?’
You can even score your current level of knowledge for each topic in Elements 1–4 of the syllabus guide and then use
your scores as an indication of your personal strengths and weaknesses. For example, if you scored yourself 5 out of 5
for a topic in Element 1, then obviously you don’t have much work to do on that subject as you approach the exam.
But if you scored yourself 2 out of 5 for a topic in Element 3 then you have identified an area of weakness. Having
identified your strengths and weaknesses in this way, you can use this information to decide on the topic areas that
you need to concentrate on as you revise for the exam.
You can also annotate or highlight sections of the text that you think are important.
Another way of using the syllabus guide is as an active revision aid:
• Pick a topic at random from any of the elements.
• Write down as many facts and ideas that you can recall that are relevant to that particular topic. Go back to your
course material and see what you missed, and fill in the missing areas.
The Exam
Success in the exam depends on achieving the pass mark across the entire paper – it doesn’t matter where the
marks come from – as long as you achieve an overall score of 45%. Marks are awarded for setting down ideas that
are relevant to the questions asked and demonstrating that you understand what you are talking about. If you have
studied your course material thoroughly then this should not be a problem.
One common mistake in answering questions is to go into too much detail on specific topics and failing to deal with
the wider issues. If you only cover half of the relevant issues, then you can only achieve half of the available marks.
Try to give as wide an answer as you can, without stepping outside the subject matter of the question altogether.
Make sure that you cover each issue in appropriate detail so that you can demonstrate that you have the relevant
knowledge. Giving relevant examples is a good way of doing this.
Before the Exam
You should:
• Know where the exam is taking place.
• Arrive in good time.
• Bring your exam entry voucher, which includes your candidate number, photographic proof of identity, pens,
pencils, ruler, etc. (Remember, these must be in a clear plastic bag or wallet.)
• Bring water to drink and sweets to suck, if you want to.

Unit IG1: Final Reminders © RRC International4
During the Exam
• Quickly read through the whole question paper before you begin, if that will help settle your nerves. Start with
the question of your choice. You do not have to answer the questions in the order that they are listed.
• Check the clock regularly as you write your answers. You should always know exactly how much time you have
spent and have left.
• As you start each question, read the question carefully.
• Pay particular attention to the keywords in the question to make sure you understand what the examiner is
looking for.
• Pay close attention to the number of marks available for each question or part of a question – this usually
indicates how many key pieces of information the examiner expects to see in your answer.
• Re-read the question to check and confirm your understanding.
• Plan your answer in the answer book by writing down key words and ideas as a list or mind map on the page. Do
not cross this plan out.
• Give examples wherever possible, based either on your own personal experience, or information that you have
read about. An example can be used to illustrate an idea and demonstrate that you understand what you are
saying.
• If you start to run out of time, write your answers in bullet-point or checklist style, rather than failing to answer
the questions at all.
• Keep your handwriting under control; if the examiner cannot read what you have written, then they cannot mark
it.
• You will not be penalised for poor grammar or spelling, as long as your answers are clear and can be understood.
However, you may lose marks if the examiner cannot make sense of the sentence that you have written.
Good luck!

Unit IG1: Suggested Answers to Study Questions© RRC International 1
No Peeking!
Once you have worked your way through
the Study Questions in this book, use
the Suggested Answers on the following
pages to find out what you got right (and
where you went wrong) to improve your
understanding.
Unit IG1

Unit IG1: Suggested Answers to Study Questions © RRC International2
1 Suggested Answers to Study Questions
Element 1: Why We Should Manage Workplace Health and
Safety
Question 1
(a) Health can be simply defined as the absence of physical and psychological disease.
(b) Safety is the absence of risk of serious personal injury or the state where the risk of harm has been eliminated or
reduced to an acceptable level.
(c) Welfare means access to basic facilities such as toilets, washing stations, drinking water, changing rooms and places
to prepare and/or eat food and drink.
Question 2
The three reasons why an organisation should manage health and safety are moral, financial and legal reasons.
Question 3
Insured costs (any three from the following): damage to plant, buildings and equipment; compensation paid to
workers; medical costs; legal costs arising from a claim for compensation.
Uninsured costs (any three from the following): production delays or downtime; loss of raw materials; accident
investigation time; criminal fines; sick pay for injured workers; overtime to make up for lost production; hiring and
training new employees; loss of customers, clients and contracts as a result of damage to business reputation.
Question 4
Any three from:
• To provide workplaces and work equipment, and use work methods, which are safe and pose no risk to health.
• To provide appropriate instructions and training.
• To provide necessary supervision.
• To put in place health and safety arrangements adapted to suit the size and nature of the undertaking.
• To provide any necessary personal protective clothing and equipment free of charge.
• To ensure that the hours of work do not adversely affect employees’ safety and health.
• To remove any activities causing extreme physical and mental fatigue.
• To stay up to date with knowledge in order to comply with the above.
Question 5
Any two from:
• Take reasonable care of their own safety and that of other people who might be affected by the things that they
do and the things that they fail to do.
• Comply with safety instructions and procedures.
• Use all safety equipment properly and not tamper with it.
• Report any situation which they believe could be a hazard and which they cannot themselves correct.
• Report any work-related accident or ill health.

Suggested Answers to Study Questions 1
Question 6
The consequences for an employer of non-compliance with health and safety responsibilities include:
• Enforcement action or prosecution through the criminal courts by the relevant authorities (enforcement agency).
These criminal actions are normally brought by the state.
• Compensation claims from any injured/ill people, perhaps resulting in action through the civil courts. Civil action
is normally started by the injured person themselves.
Question 7
An employer owes a duty to their own employees, other people (both workers and non-workers) who may be in
their workplace, other workers who may be carrying out work on their behalf outside of the workplace, and other
people who may be outside their workplace but affected by the work.
Question 8
The criteria to assess the suitability of a contractor may include:
• Their health and safety policy.
• Example risk assessments and method statements.
• The qualifications and training records of staff.
• Membership of professional organisations.
• Test and maintenance records for plant and equipment.
• References from other past/current clients.
• Accident history, such as RIDDOR-reportable accident rates.
• Enforcement action history.
• Proof of adequate resources.
• Insurance.
Question 9
In general terms, when a contractor is working in a client’s workplace, the client would be responsible for the
workplace and environment, and the contractor for the job that they are carrying out. Both parties would be
responsible for the health and safety of their own workers, but they would also be responsible for the health and
safety of other people who might be affected by their work. So, the contractor would be responsible for the safety of
the client’s employees if they were carrying out work that might injure the client’s employees; and the client might be
partly responsible for the safety of members of the public if they might be injured by the work that the contractors
were carrying out. In this way, the duties and responsibilities are shared by both the client and the contractor.

Suggested Answers to Study Questions2
Element 2: Health and Safety Management Systems and
Policy
Question 1
The elements of ISO 45001 are:
• Context of the organisation (framework).
• Leadership and worker participation (framework).
• Planning (Plan).
• Support (Do).
• Operation (Do).
• Performance evaluation (Check).
• Improvement (Act).
Question 2
The role of ‘evaluation’ in the ILO OSH-2001 OHSMS is to ensure that the organisational arrangements, health and
safety standards and operational systems and measures are working effectively and, where they are not, to provide
the information required to revise them.
Question 3
The health and safety policy of two organisations, both undertaking similar work, might be different because the
policy is a reflection of the particular circumstances of each organisation; so any variations in size, nature and
organisation of operations, etc. will mean that the health and safety policies will also vary. It may also be the case that
senior managers have very different visions for the health and safety performance of their organisations.
Question 4
The three key parts of a health and safety policy are the General Statement of Intent (or Statement of General
Policy), the Organisation section (or Organisational Roles and Responsibilities), and the Arrangements section.
Question 5
The person at the very top of the organisation, such as the managing director or chief executive officer, should sign
the policy statement, indicating the organisation’s commitment at the highest level.
Question 6
All workers have certain health and safety responsibilities; they must act responsibly and safely at all times, and do
everything they can to prevent injury to themselves and to others (such as fellow workers, visitors and members of
the public) and co-operate with their employer.
Question 7
A safety organisation chart shows the hierarchy of roles and responsibilities for health and safety within the
organisation and the lines of accountability between them. It should show the position of health and safety
practitioners and other competent people who advise the organisation. It should also show any committees or staff
forums with a health and safety remit.

Question 8
The circumstances that might give rise to reviews, either of general policy or specific aspects of it, include:
• Changes in the structure of the organisation, and/or changes in key personnel.
• A change in buildings, workplace or worksite.
• When work arrangements change, or new processes are introduced.
• When indicated by a safety audit or a risk assessment.
• Following enforcement action or as the result of the findings from accident investigations.
• Following a change in legislation.
• If consultation with employees or their representatives highlights deficiencies.
• If requested by a third party.

Element 3: Managing Risk – Understanding People and
Processes
Question 1
Your definition should cover the main points given in the element:
• safety culture is the shared attitudes, values, beliefs and behaviours relating to health and safety; or
• safety culture is the way that all the people within an organisation think and feel about health and safety and how
this translates into behaviour.
It can be positive or negative.
Question 2
A worker’s peers exert influence over their behaviour through peer group pressure. This is the process by which social
groups form in the workplace, group behaviour is established (‘norms’), and then social pressure is exerted to force
individuals to comply with the group behaviour. There will usually be one or more group leaders who influence the
group to a very high degree.
Question 3
Written communication
• Permanent record.
• Can be referred back to.
• Can be written carefully, avoiding
jargon.
• Widely distributed with ease.
• Indirect.
• Impersonal.
• Immediate feedback not available.
• Language/literacy issues may exist.
Verbal communication
• Personal and direct.
• Immediate feedback.
• Allows exchange of views.
• Language barriers.
• May not be heard.
• Information may be missed.
• No written record.
Question 4
Graphic symbols (such as the pictogram showing a person moving through a fire escape door and an arrow to show
the direction of travel found on an emergency escape route sign) are used to communicate simple but essential
health and safety information to people. They are used because they do not require the person to read text and they
therefore avoid literacy or language barriers.
Question 5
Workers can be involved in the improvement of workplace health and safety by:
• Encouraging their participation in safety committees and other safety meetings.
• Asking for their suggestions for improvements (perhaps using a suggestions box or similar scheme).
• Involving them in the selection of PPE and other equipment.

• Providing them with hazard-spotting and defect-reporting systems.
• Encouraging their participation in safety tours and inspections, audits, risk assessments, accident investigations
and the development of procedures and safe systems of work.
• Involving them in the presentation of safety training, and the supervision/mentoring of new employees,
particularly young persons.
• Including them in the design or selection of safety posters.
Question 6
The first priority in induction training should be to set out what to do in the event of a fire or other major incidents,
and the general instructions and procedures to be followed for safe movement around the workplace. These are the
priorities. The induction training can then move on to other topics.
Question 7
There are various times when training should be provided, including:
• When people change their job, where new rules and procedures need to be followed.
• When there are significant changes to work equipment, substances or activities.
• Refresher training.
• After an accident, or near miss.
• When the law or standards change.
Question 8
The organisational factors, the job factors and the individual factors. Collectively these are the three ‘human factors’
that influence safety-related behaviour.
Question 9
The key job factors that can impact on safety-related behaviour include (any four from):
• The task being done and how well or badly it has been designed.
• Workload such as number of tasks and deadlines.
• The environment in which work takes place and how comfortable or uncomfortable this is.
• The design and functionality of displays and controls that a worker has to use in order to do the job.
• The suitability of any procedures that the worker has been provided with.
Question 10
Workers might not perceive risk at work because of: the influence of illness; personal inexperience; poor quality
education and training; drugs and alcohol; fatigue; stress; interference from PPE that has to be worn; or interference
form the workplace environment (such as high noise levels).
Question 11
The distinction is important because hazards will always exist in the workplace and, usually, it is not possible to
eliminate them. Risk can be controlled and reduced. This is a central principle of health and safety management.

Question 12
The purpose of risk assessment is to eliminate hazards, or reduce risk to an acceptable level so as to prevent personal
injury and ill health, to achieve legal compliance, and to reduce the costs associated with losses.
Question 13
The techniques used for identifying hazards include task analysis, examination of legislative requirements and
associated guidance, examination of manufacturers’ information and analysis of incident data.
Question 14
Internal data sources include: accident records; medical records; absence records; risk assessments; maintenance
reports; joint inspections with safety representatives; audits, surveys, sampling and tours; safety committee meeting
minutes.
External data sources include: national legislation (e.g. regulations); safety data sheets from manufacturers and
suppliers; enforcing authority publications such as Codes of Practice and Guidance Notes; manufacturers’/suppliers’
maintenance manuals; national/international standards (BS, BS-EN and ISO standards); information from local safety
groups; information from trade associations; information from journals and magazines.
Question 15
The five categories of health hazard are: physical, chemical, biological, ergonomic and psychological.
Question 16
The five steps involved in risk assessment are:
2. Decide who might be harmed and how.
3. Evaluate the risks and decide on precautions.
4. Record the findings and implement them.
5. Review the assessment and update, if necessary.
Question 17
Apart from office workers, people or groups who might require special consideration during a risk assessment in an
office environment include maintenance staff, cleaners, contractors, visitors, young workers, lone workers, new and
expectant mothers, and disabled staff.
Question 18
The two factors used to estimate risk level are the likelihood of harm occurring and the severity of the likely harm.
Question 19
Residual risk is the level of risk remaining after the application of safety precautions.

Question 20
The general hierarchy of control is:
• Elimination.
• Substitution.
• Engineering controls.
• Administrative controls.
• Personal protective equipment.
Question 21
Things that might trigger the review of a risk assessment include: changes in legislation; a significant change in work
practices and processes; installation of new machinery and equipment; new information becoming available on the
hazards/risks; recurring accidents or patterns of ill health; enforcement action; results of monitoring/auditing; or
employment of a category of personnel (e.g. disabled) not previously taken into account.
Question 22
The type of sign represented by each pictogram:
(a) Mandatory action – must put litter in bins.
(b) Prohibition – not drinking water.
(c) Safe condition – drinking water.
(d) Warning – radiation hazard.
Question 23
Personal protective equipment should be used when it has not been possible to eliminate the hazard or reduce risk to
acceptable levels by the use of engineering controls, working methods or administrative controls. PPE is a last resort.
Question 24
Five management controls that should be considered for the control of risks created by temporary works are:
• Risk assessment.
• Communication and co-operation.
• Appointment of competent persons.
• Emergency arrangements.
• Welfare provision.
Question 25
A safe system of work is a formal procedure that results from a systematic examination of the tasks of a work process,
in order to identify all the hazards and define methods of working that eliminate those hazards, or minimise the risks
associated with them.

Question 26
Involving workers in the development of safe systems of work contributes to strengthening the safety culture because
it enables them to gain a deeper understanding of hazards and risks, and of the way in which safe systems of work will
minimise those risks. It also encourages ownership of key controls by the employees involved in their development. It
is an example of worker engagement which is a fundamental building block of a positive health and safety culture.
Question 27
Technical controls are those that are applied directly to the hazard itself in order to minimise the risk. Procedural
controls define the way in which work should be carried out in relation to the hazard. Behavioural controls define how
the individual operator, or groups of workers, must act in relation to the hazard.
Question 28
Instruction, training and supervision form a part of safe systems because only people who have been given
appropriate training and instruction will understand the SSW and consequently should be allowed to undertake the
work. Supervision is necessary to ensure that staff follow their instructions and training and correctly apply the SSW.
Question 29
Permits to work are formal documents specifying the work to be done, the hazards, and the precautions to be taken.
Work can only start when safe procedures have been defined and put into place. The permit provides a clear written
record, signed by a responsible manager or supervisor, that all foreseeable hazards have been considered and all the
necessary actions have been taken. It should be in the possession of the person in charge of the work before that
work can begin.
Question 30
The four key sections of a typical permit are:
• Issue.
• Receipt.
• Clearance/return to service.
• Cancellation.
Question 31
The main objective of an emergency procedure is to ensure the safety and health of staff and others who might be
affected by the emergency. In some instances, minimising other losses associated with the emergency will also be a
priority. Preventing an escalation of the emergency may also be important.
Question 32
Typical emergencies that may require the development of emergency procedures include fire or explosion; bomb
threat; spillage of a hazardous substance; release of a toxic gas; outbreak of disease; severe weather or flooding;
multiple casualty accident; or a terrorist/security incident.

Question 33
The factors that might need to be considered when determining the first-aid facilities for a workplace are:
• The physical size of the organisation.
• Number of employees.
• Distribution of the workforce (e.g. number of buildings on a site, number of floors, etc.).
• The type of business and what hazards are inherent in it (an office is different from a foundry).
• Remoteness of the site from emergency medical services.
• Provision for non-employees, e.g. shoppers, schoolchildren.
• Needs of specific groups of employees (e.g. trainees, young workers, disabled persons).
• Cover for first aiders during annual leave.
• Shift patterns.
• Peripatetic employees.

Question 1
Reactive monitoring is where accidents, near misses and other unwanted events are used to identify trends and
patterns in accident history. Active monitoring is where existing conditions are checked to identify and correct sub-
standard matters before any sort of incident occurs.
Question 2
Systematic active monitoring involves the planned, regular examination of conditions in the workplace as a matter of
routine.
Question 3
Lots of types of information can be used for reactive monitoring such as numbers of:
• Accidents.
• Dangerous occurrences.
• Near misses.
• Cases of ill health.
• Complaints from the workforce.
• Formal enforcement actions taken against the organisation.
• Civil claims for compensation against the organisation.
• Cost of accidents, e.g. damage repairs.
Question 4
The purpose of workplace inspections is to ensure that the control measures are operating effectively and that they
are appropriate to current conditions in the workplace.
Question 5
Safety inspections are routine examinations of workplace conditions carried out by a competent person(s) (e.g. the
weekly inspection of a workshop by the workshop supervisor). Safety tours are high-profile walk-abouts carried out
by a team of people, including senior managers, with the intention of interacting with workers and discussing their
health and safety concerns and issues.
Question 6
Senior management has responsibility for ensuring that effective workplace inspection regimes are in place and
are operated effectively. This will include receiving reports and overseeing/agreeing action. In addition, the visible
involvement of senior managers in safety tours is to be encouraged for the commitment it demonstrates towards
safety and the effect on the promotion of a positive health and safety culture.
Question 7
Checklists help ensure a consistent, systematic and comprehensive approach to checking all the safety elements to be
covered during an inspection.

Question 8
The main purpose of an accident investigation is to find the cause, with the intention of preventing a recurrence.
Question 9
Four steps of the investigation process:
1. Gather factual information about the event.
2. Analyse that information and draw conclusions about the immediate and root causes.
3. Identify suitable control measures.
4. Plan the remedial actions.
Question 10
The categories of staff who may be useful in an internal investigation might include the immediate line manager
(of the injured person, or of the area where the accident took place), a member of senior management, a worker
representative, a safety officer/practitioner, an engineer, and technical expert, if relevant.
Question 11
The types of records to be consulted during an accident investigation might include:
• Inspection and maintenance records.
• Safe systems of work, or permits to work.
• Environmental measurements.
• Medical records.
• General and specific safety reports and analyses that relate to the circumstances.
• Training and other personnel records.
• Minutes of safety committee meetings.
Question 12
The two categories of immediate cause of accidents/incidents are unsafe acts and unsafe conditions.
Question 13
An employee has been hit by a reversing vehicle in a loading bay:
Immediate Causes Root Causes
• Mechanical failure (faulty brakes).
• Driver failed to see pedestrian.
• Pedestrian not wearing high-visibility jacket.
• Driver’s vision restricted by goods.
• Human error on part of driver or pedestrian.
• Inadequate maintenance procedures.
• Inadequate lighting or driving in poor weather conditions.
• No rule about high-visibility jackets, or not enforced.
• Lack of housekeeping arrangements.
• Lack of banksman/signaller.
• Lack of training and awareness.

Question 14
The person usually initially responsible for reporting accidents and safety-related incidents is the worker involved
or, if they are not able to, a colleague. In some circumstances it might be the first aider who gave treatment or the
immediate line manager. Company policy will dictate which option is best.
Question 15
Following a serious injury at work, the following actions should be taken:
• Make the area safe (in some circumstances, this might need to be done first so there is no risk to those giving
assistance).
• Ensure casualty is treated with first aid, and then further medical treatment if necessary.
• Isolate the scene so evidence is not disturbed.
• Inform the victim’s next of kin.
• Notify enforcing authority, if relevant.
• Arrange any necessary counselling or support.
• Set up investigation team:
– Collect evidence, including photographs, measurements, etc.
– Take statements from witnesses.
– Determine immediate and root causes.
– Report findings, making recommendations to prevent recurrence.
• Inform safety representatives, and issue internal information.
• Advise insurers.
• Implement recommendations, revise work procedures and risk assessments.
• Monitor situation and review as necessary.
Question 16
Health and safety auditing is the structured process of collecting independent information on the efficiency,
effectiveness and reliability of the total health and safety management system and drawing up plans for any corrective
action necessary. Or, alternatively, the systematic, objective, critical evaluation of an organisation's health and safety
management system.

Question 17
Differences Between Audits and Workplace Inspections
Audit Workplace Inspection
• Has the aim of assessing the health and safety
management system of an organisation.
• A long process involving the examination of the
entire management system.
• Based primarily on review of documentary
evidence, backed up by some observations and
interviews of personnel at all levels.
• Long, comprehensive report that records areas
of concern and weaknesses in the management
system.
• Detailed planning required; requires considerable
resources.
• Typically done annually.
• Aims to improve systems at a high level, with the
ultimate effect of improvements cascading down to
operating level. Is a strategic tool, addressing long-
term progress.
• Has the aim of assessing the use and effectiveness
of control measures.
• A relatively short process looking at practices in
part of the workplace.
• Primarily based on observations, perhaps involving
very limited scrutiny of paperwork and interview of
operators.
• Short report identifying key corrective actions
required.
• Only limited planning, and main resource required
is the inspectors’ time.
• Usually done on a daily, weekly, monthly, or
quarterly frequency.
• Focuses on activities and equipment at operational
level, though remedial actions may address system
faults.
Question 18
True, performance review is concerned with ensuring that incident investigations are properly concluded – but it
is concerned with more than just this one aspect of reactive monitoring. It encompasses the review of all forms of
health and safety performance and, where there are deficiencies, taking corrective action.
Question 19
The purpose of reviewing health and safety performance is to ensure that the organisational arrangements, health
and safety standards and operational systems and measures are working effectively and, where they are not, to
identify the corrective actions needed.
Question 20
Senior management should review the operation of the occupational health and safety management system to
ensure that it is being fully implemented and that it remains suitable for achieving the organisation’s policy and
objectives.
Reviews should be instigated by senior managers but also involve managers, supervisors and occupational health
and safety specialists. It may also be appropriate to involve safety representatives or representatives of employee
workplace safety in the review process, particularly if the health and safety committee is the forum where part of the
review takes place.

Question 21
The frequency at which reviews should take place will depend on various factors such as the level of risk inherent
in the workplace and the rate of change taking place there. Typical review frequencies for a medium risk, slowly
changing workplace might be:
• Monthly at a local level – involving local management and supervisors.
• Three-monthly at a divisional/departmental level – involving middle management levels.
• Annually across sites or the organisation as a whole – at board level.
Question 22
Typical outputs from the management review that need to be documented and maintained as a record of the review
process and as evidence of its effectiveness include:
• Minutes of the review.
• Documented revisions to the health and safety policy and health and safety objectives.
• Specific corrective actions for individual managers with target dates for completion.
• Specific improvement actions with assigned responsibilities and target dates for completion.
• Date for review of corrective action.
• Areas of emphasis to be reflected in the planning of future management system audits.

NEBOSH Unit IG1

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NEBOSH Unit IG1