Unit IA Revision Notes

NEBOSH INTERNATIONAL DIPLOMA

IN OCCUPATIONAL HEALTH AND SAFETY

UNIT IA

REVISION NOTES

Module PIDAREV.1.1

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NEBOSH International Diploma Unit IA – Revision Notes

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NEBOSH INTERNATIONAL DIPLOMA IN OCCUPATIONAL HEALTH AND SAFETY

UNIT IA

REVISION NOTES

CONTENTS LIST OF TOPICS PAGE INTRODUCTION 1

SYLLABUS 1 EXAMINATION STRATEGY 3 LAST MINUTE PRACTICE 3

ELEMENT A1: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT 5 REASONS FOR MANAGING HEALTH AND SAFETY 5 INTRODUCTION TO HEALTH AND SAFETY MANAGEMENT 6 HEALTH AND SAFETY POLICIES 15 ROLE AND RESPONSIBILITIES OF THE HEALTH AND SAFETY PRACTITIONER/COMPETENT PERSON 17

ELEMENT A2: LOSS CAUSATION AND INCIDENT INVESTIGATION 19 LOSS CAUSATION AND ANALYSIS 19 REPORTING AND RECORDING OF LOSS EVENTS AND NEAR-MISSES 22 INVESTIGATION OF LOSS EVENTS 25

ELEMENT A3: IDENTIFYING HAZARDS, ASSESSING AND EVALUATING RISKS 30

HAZARD IDENTIFICATION 30 SOURCES OF INFORMATION 30 EVALUATION OF RISK 33 FAILURE TRACING METHODS 39

ELEMENT A4: RISK CONTROL AND EMERGENCY PLANNING 42 SYSTEMS FAILURES AND RELIABILITY 42 RISK CONTROL SYSTEMS AND METHODS 45 COST-BENEFIT ANALYSIS 48 WORKPLACE PRECAUTIONS 48 SAFE SYSTEMS OF WORK AND PERMITS-TO-WORK 50 EMERGENCY PLANNING 53

ELEMENT A5: ORGANISATIONAL FACTORS 56 INTERNAL AND EXTERNAL INFLUENCES 56 TYPES OF ORGANISATIONS 57 ORGANISATIONS AND HEALTH AND SAFETY MANAGEMENT 58 THIRD PARTY CONTROL 60 CONSULTATION WITH EMPLOYEES 63 PROVISION OF INFORMATION AND DEVELOPMENT OF INFORMATION SYSTEMS68 DESCRIPTION OF HEALTH AND SAFETY CULTURE AND CLIMATE 70 DESCRIPTION OF FACTORS AFFECTING HEALTH AND SAFETY CULTURE 73

ELEMENT A6: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT 77 HUMAN BEHAVIOUR 77 PERCEPTION OF RISK 82 MAJOR DISASTERS 86 IMPROVING INDIVIDUAL HUMAN RELIABILITY IN THE WORKPLACE 88 ORGANISATIONAL FACTORS 89 JOB FACTORS 92

ELEMENT A7: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT 95 COMPARATIVE GOVERNMENTAL AND SOCIO-LEGAL REGULATORY MODELS 95 ROLE AND LIMITATIONS OF THE INTERNATIONAL LABOUR ORGANISATION IN A GLOBAL HEALTH AND SAFETY SETTING 101 THE ROLE OF NON-GOVERNMENTAL BODIES AND SELF-REGULATION 106

ELEMENT A8: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT 112 PURPOSE OF PERFORMANCE MEASUREMENT 112 MONITORING SYSTEMS 115 MONITORING AND MEASUREMENT TECHNIQUES 116 PRESENTING AND COMMUNICATING FINDINGS 119

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INTRODUCTION The RRC study material provides a comprehensive set of reference notes, which amply covers the requirements of the NEBOSH International Diploma in Occupational Health and Safety. However, its strength is also its weakness in that there is too much material to retain in detail. Consequently your examination success strategy must be based on a revision programme that makes best use of this material but is focused on the requirements of the NEBOSH examinations. Many students simply rely on either trying to learn all the notes, which is almost impossible, or concentrating on likely topics, which seriously reduces your examination question choice, and therefore your chances of passing.

This revision guide has been prepared with the examinations in mind. It covers key points within the syllabus.

Important: This revision book is NOT intended to replace a proper course of learning.

The notes below give you guidance on using the syllabus as your best revision tool and also suggest tactics for maximising mark attainment from examination questions. There is no substitute for hard work, and the more study time you can spare the better, but the secret is to use this time effectively, as you will see below.

SYLLABUS Your secret to success is the Guide to the NEBOSH International Diploma in Occupational Health and Safety. The Guide sets out the structure of the Diploma (examinations and the assignment) and contains the syllabus. All the examination questions are taken from the syllabus and therefore, as you become more familiar with the syllabus, you will be less likely to be 'thrown' by a surprise question. Remember, however, that you will be expected to apply your knowledge to both familiar and unfamiliar situations and to be able to undertake critical analysis and evaluation of information presented in both quantitative and qualitative forms.

NEBOSH exam questions are set from the syllabus, not from the RRC notes, therefore an important revision technique is to map your notes against the syllabus. You will find that in general your RRC notes follow the syllabus quite closely, but this exercise is important to help you see 'the big picture' or 'the helicopter view', which you need in order to familiarise yourself with


the whole of the course material. It is all too easy, when studying one specific section of an element of the RRC text, to lose sight of where the material fits into the grand scheme of things, what practical use it is, or how the Health and Safety Practitioner might use it in real life. Constant reference back to the syllabus will put that topic in perspective and help you to see how it relates to the field of health and safety generally. It will also help you to cross-refer to other related topics, which you may have to do in more complex examination questions.

To gain this overview you must at least know the elements that make up each of the three main units and how they relate to the RRC material. Note that each element in the NEBOSH syllabus (e.g. Element 1: Principles of Health and Safety Management) contains the following two important sections:

Learning outcomes, which specify what you should be able to explain, appreciate, carry out, assess, etc. after having completed the element.

Content, which gives you the topics that you should be fully familiar with.

By using these sections of the syllabus you can test whether you possess the necessary skills, knowledge and understanding relevant to that element or whether you need to do more.

An effective revision technique is to look at the syllabus and randomly select a section within it. Now write down what you know about that topic. Initially this might be very little, in which case go back to your RRC notes and summarise the key issues that you need to know. Make a note of this topic and return to it a few weeks later and see how much more you can now remember. If you practise this regularly you will eventually cover all of the syllabus and in the process find that you understand and retain the material much more effectively. This is 'active revision' where you are testing your memory to see what you have learnt. It is far more effective than 'passive revision' where you simply read the RRC notes and usually switch off after 30 seconds with little recall of the material.

You will find it easier if you ensure that you understand the topic first, then fill in the knowledge requirements (the detail) later. Ask yourself searching questions on each topic such as: "What use is this?", "How would the Health and Safety Practitioner apply this in real life?", "What is the point of this topic?", until you feel that you thoroughly understand why the Health

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and Safety Practitioner needs to know this area. Once you have this level of understanding the knowledge (detail) will be much easier to retain, and in some cases you may simply be able to derive it from your own workplace experiences.

Your revision aim is to achieve this comprehensive overview of the syllabus. Once you have this then you are in a position to at least say something about each of the topic areas and thus tackle any question set on the syllabus content.

EXAMINATION STRATEGY The examination process may seem complex but success simply depends on averaging around half marks or more for each question. Marks are awarded for setting down ideas that are relevant to the requirements of the question, and convincing the examiner that you understand what you are talking about. If you have the knowledge and understanding derived from study of the syllabus as set out above, then this should not be a problem.

An important examination skill is carefully reading and analysing the question so that you are clear about what is required to answer it. The more you can study past examination questions, the more familiar you will become with the way they tend to be phrased and 'the shape' of the answer required.

A common failing in answering questions is to go into too much detail on specific topics and fail to address the wider issues. If you only deal with half of the relevant issues you can only achieve half of the marks. Try to give as broad an answer as you can, without stepping outside the subject matter of the question altogether. Ensure that you explain each issue in order to convince the examiner that you have this all-important understanding. Giving relevant workplace examples is a good way of doing this.

LAST MINUTE PRACTICE Finally, a useful way to combine syllabus study with examination practice is to attempt your own examination questions. By adding a question word, such as "explain" or "describe", in front of the syllabus topic areas you can produce a whole range of questions similar to many of those used in past papers. This is excellent examination practice because it serves as a

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valuable topic revision aid, while requiring you to set out your notes in the way that you would under examination conditions.

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ELEMENT A1: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT

REASONS FOR MANAGING HEALTH AND SAFETY We can identify three main reasons for the need to manage risk.

Moral

Moral reasons should be the prime reason for managing risk.

Based on the concept of an employer owing a duty to his employees to exercise reasonable care for their health and safety. Society expects every employer to demonstrate a correct attitude to health and safety to his workforce.

Legal

For example, the ILO Occupational Safety and Health Convention 1981.

Preventive - enforcement notices issued by enforcement inspectors.

Punitive - criminal courts impose fines and imprisonment for breaches of legal duties.

Compensatory - employees are able to sue in the civil courts for compensation.

Economic

Direct costs are calculable arising directly from the accident, e.g. repairs to equipment, fines, and legal fees. Indirect costs are consequential e.g. lost orders, business interruption.

Insurance costs – those covered by insurance, e.g.

Employers' liability insurance.

Public liability insurance.

Motor vehicle insurance.

Many of the costs cannot be insured against, e.g.:

Fines from criminal prosecutions.

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Effects on employee morale and the resulting reduction in productivity.

Bad publicity leading to loss of contracts and/or orders.

Some of these costs are of indeterminate value.

INTRODUCTION TO HEALTH AND SAFETY MANAGEMENT Definitions

Hazard - A hazard is something (an object or situation) with the potential to cause harm.

Risk - Risk is the likelihood that the harm from a particular hazard isrealised.

odology.

fits of Risk Management on a e

wards realising potential opportunities whilst managing adverse effects.

Danger - Danger is a liability or exposure to harm; a thing that causes peril.

Suitable and Sufficient

Set criteria have to be met, e.g.

A “Suitable and sufficient” risk assessment:

Adopts an appropriate meth

Adequately identifies risks.

Suitable controls identified.

Remains valid for a reasonable period of time.

Principles and BeneGlobal Perspectiv

Risk Management

The culture, processes and structures that are directed to

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Health and Safety Risks in Business

Health and safety management should not be seen as something separate from business.

Health and safety is largely concerned with pure risks (i.e. where there is only loss – such as disease, damage, injury).

Loss control is also concerned with pure risks but is wider in scope, additionally encompassing fire, security, environment and business recovery considerations.

Risk management is wider still and is concerned with speculative risks (i.e. where there could be loss or gain). It involves additional consideration of finance, insurance, brand/reputation, business continuity, etc.

Corporate governance is even wider and is concerned with holistic risk (i.e. looking at risks as a whole, taking account of the interaction/impact of different risks on the business as a whole). It adds to risk management by using management systems and incorporates such things as Corporate Social Responsibility (CSR) and Socially Responsible Investing (SRI).

Risk management involves:

Risk identification.

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Risk evaluation.

Risk elimination.

Monitoring.

Audit.

Review.

Risk management is useful to organisations. It enables them to:

Look at potential business impacts of foreseeable events.

Respond to changes in risk perception.

Formulate and carry out risk elimination/control.

Improve corporate governance.

Achieve business objectives in a more targeted/efficient way.

Retain/improve shareholder confidence.

Typical Organisational Models for Health and Safety Management

AS/NZS 4360 Risk Management, Standards Australia/Standards New Zealand, 1999

Considers risk to essentially be exposure to the consequences of uncertainty (or deviations from the plan).

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AS/NZS 4360: 2004 Risk Management Model

BSI – OHSAS 18001 Occupational Health and Management Systems: Specification. British Standards Institution, 1999

Occupational Health and Safety Assessment Series 18001 (OHSAS 18001): Health and Safety Management Model

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HSG65, Successful Health and Safety Management, HSE, 2000

The HSG65 Model

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

Model Health and Safety Management System (ILO-OSH-2001)

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ANSI/AIHA Z10-2005, American National Standard – Occupational Health and Safety Management Systems

American National Standard – Occupational Health and Safety Management Systems (ANSI/AIHA Z10-2005)

Key Typical Components of OHS Management Systems

Policy.

Organising.

Planning and Implementing.

Performance Review.

Audit.

Continual Improvement.

Quality Management and Environmental Management Systems

BS EN ISO 9000:2000 Series Quality Management Systems

BS EN ISO 14000 Series Environmental Management Systems

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Arguments For and Against Integration of Environmental, Health, Safety and Quality Management Systems

Arguments For Integration

More cost-effective.

Facilitate decision-making.

Avoidance of duplication.

Reduce the possibility of resolving problems at the expense of creating new difficulties in other disciplines.

Should involve timely overall system reviews where momentum in one element of an IMS may drive forward other elements.

A positive culture in one discipline may be carried over to others.

Arguments Against Integration

Integration may threaten the coherence and consistency of current arrangements.

Relevant specialists may continue to concentrate on the area of their core expertise.

Uncertainties regarding key terms may be made worse.

System requirements may vary. An IMS could introduce unreasonable bureaucracy.

Health, safety and environmental performance are underpinned by statute law, but quality management system requirements are largely determined by customer specification.

Regulators and single-topic auditors may have difficulty evaluating their part of the IMS.

A powerful, integrated team may reduce the ownership of the topics by line management.

A negative culture in one topic may unwittingly be carried over to others.

Effective Management of Health and Safety

Appropriate Allocation of Responsibilities.

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Setting and monitoring performance standards.

Feedback and Implementation of Corrective Action.

Common Health And Safety Management Systems In Global Organisations – Implementation, Benefits and Limitations

A formal occupational health and safety management system approach is increasingly favoured by regulators throughout the world, and may be legally required in some regions.

Modern goal-setting legislation implies the need for an occupational health and safety management system as a form of “self-regulation”.

Multi-national organisations favour a consistent, standardised approach throughout the organisation – just like the business management system (“globalisation”).

Possible cultural/social and legal barriers.

Possible resistance to change (adequacy of existing systems, bureaucracy, cost).

The Influence of Corporate Responsibility and Business Ethics

“Corporate responsibility” (also called Corporate Social Responsibility) is where businesses take account of their social, economic and environmental impacts (all of which can affect their reputation and profitability). Impacts include:

Greater board-level leadership (directors).

Public reporting of health and safety performance (annual reports to shareholders).

Improved management control systems – (health and safety risks seen within the overall business risk management framework).

UN Global Compact

Businesses should support and respect the protection of internationally proclaimed human rights, (e.g. health and safety Management systems can help ensure legal compliance and consistent application of standards in different parts of the world (even where they have lower national

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standards). Investing in a positive health and safety culture can help retain staff, too.)

Businesses should uphold the freedom of association and the effective recognition of the right to collective bargaining. (e.g. Good health and safety management encourages consultation and participation at every level.)

The elimination of discrimination in respect of employment and occupation. (e.g. This could potentially occur in an occupational health and safety context – so the safety management system should help ensure that selection of an individual for a task is based on such things as suitability, competence and risk, rather than gender, age, physical capability. The safety management system should help adapt procedures, tasks and equipment to the individual by making reasonable adjustments.)

Greater environmental responsibility. (e.g. Even without specific environmental managment systems, a safety management system will necessarily have an impact on some environmental issues. For example, the identification and prevention/control of potential chemical spillage scenarios will have a positive benefit for the environment.)

The idea is that these principles should be embedded in all the activities of a business so that the organisation behaves with a social conscience.

Social Accountability 8000

Provide a safe and healthy work environment; take steps to prevent injuries; regular health and safety worker training; system to detect threats to health and safety; access to bathrooms and potable water.

Management Systems: Facilities seeking to gain and maintain certification must go beyond simple compliance to integrate the standard into their management systems and practices.

The Global Reporting Initiative (GRI)

A standard framework for reporting, and contains some specific occupational health and safety Reporting Performance Indicators. Specific items of note for disclosure in reporting are:

Management approach to occupational health and safety.

Goals and performance.

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Organisation responsibility (i.e. the organisational roles/structure assigned to dealing with it).

Training and awareness aspects.

Monitoring and follow-up (corrective actions, etc.).

Performance Indicators identified for disclosure on occupational health and safety include:

Percentage of total workforce represented in formal joint management-worker health and safety committees.

Rates of injury, occupational diseases, lost days, and absenteeism, and total number of work-related fatalities by region.

Education, training, counselling, prevention, and risk-control programs regarding serious diseases.

Health and safety topics covered in formal agreements with trade unions.

HEALTH AND SAFETY POLICIES The Role of the Health and Safety Policy

In Relation to a Health and Safety Management System

From a SMS point of view, the policy is just a statement of intent – a demonstration of commitment. It should:

State the overall health and safety objectives.

Express commitment to improving health and safety performance.

Be authorised by top management.

Commit the organisation to continual improvement and compliance with legislation

Be communicated to all employees and other interested parties

Be kept up to date by periodic review.

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As a Vehicle for the Communication of Health and Safety Information

Tells people about a company’s approach to managing health and safety.

Can be used in the induction of new employees.

Communicates the organisation’s commitment to health and safety.

Can be used to involve workforce representatives.

Can be used at regular briefing sessions.

Requirements for a Written Health and Safety Policy and for Recording Arrangements

May be a requirement of national legislation. It is required by the following standards:

ILO-OSH 2001 (which supports ILO conventions).

OHSAS 18001.

HSG65.

ANSI Z10.

The policy should be documented (paper or electronic) and authorised by top management.

General Components of a Health and Safety Policy Document

A health and safety policy document (as opposed to just a health and safety policy) is a commonly used vehicle within a company. Typically it will contain the following components:

Statement of intent – the policy itself (as discussed).

Organisation – who does what, who is responsible.

Arrangements – systems, standards, procedures, etc.

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ROLE AND RESPONSIBILITIES OF THE HEALTH AND SAFETY PRACTITIONER/COMPETENT PERSON Role of the Health and Safety Practitioner in the Safety Management System

Formulate and develop health and safety policies.

Promote a positive health and safety culture.

Secure the effective implementation of health and safety policy.

Planning for health and safety.

Decide priorities and establish adequate systems and performance standards.

Day-to-day implementation and monitoring of policy and plans including accident and incident investigation, reporting and analysis.

Review of performance and audit of the whole health and safety management system.

Health and safety practitioners need to:

Be properly trained and suitably qualified.

Maintain adequate information systems on topics including civil and criminal law, health and safety management and technical advances.

Interpret the law in the context of their own organisation.

Be involved in establishing organisational arrangements, systems and risk control standards relating to hardware and human performance, by advising line management on matters such as legal and technical standards.

Establish and maintain procedures for reporting, investigating, recording and analysing accidents and incidents.

Establish and maintain procedures, including monitoring and other means such as review and auditing, to ensure senior managers get a true picture of how well health and safety is being managed (where a benchmarking role may be especially valuable).

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Present their advice independently and effectively.

In terms of organisational structure/relationships, health and safety specialists must:

Support the provision of authoritative and independent advice.

Have a direct reporting line to directors on matters of policy and the authority to stop work if it contravenes agreed standards and puts people at risk of injury.

Have responsibility for professional standards and systems.

They must liaise with a range of bodies, such as:

Regulators.

Consultants/contractors.

Fire Department.

Insurance companies.

Equipment suppliers.

Public, etc.

Responsibility of Health and Safety Practitioners to Evaluate and Develop their Own Practice

Evaluate their own competence.

Identify development needs.

Bridge the gap in skills/experience, e.g. by undertaking training courses, self-study.

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ELEMENT A2: LOSS CAUSATION AND INCIDENT INVESTIGATION

LOSS CAUSATION AND ANALYSIS Domino and Multi-Causality Theories

Single Cause Domino Theory

Heinrich's Accident Sequence

− Ancestry and social environment.

− Fault of person.

− Unsafe act and/or mechanical or physical hazard.

− Accident.

− Injury.

If this sequence is interrupted by the elimination of one of the factors, then the injury cannot occur and the accident has been prevented.

Bird and Loftus Accident Sequence

− Lack of control by management.

− Basic causes (i.e. personal and job factors).

− Immediate causes (substandard practices, conditions or errors).

− Direct causes.

− Loss (negligible, minor, serious or catastrophic).

Multi-Causal Theories

There may be more than one cause of an accident, not only in sequence, but occurring at the same time.

A major disaster normally has multiple causes, with chains of events, and combinations of events.

The essential features of the multiple causation approach are shown in the following diagram.

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Cause a

Features of the Multiple Causation Approach

Cause b

Cause c

Cause d

UnsafeAct

Unsafe Condition

Accident Injury, Damage or Near-miss

Cause e

Cause f

Immediate, Underlying and Root Causes

Unsafe Acts

Active unsafe acts.

Passive unsafe acts.

Unsafe Conditions

Mechanical.

Physical.

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Accident Ratio Studies and Their Limitations

There is a relationship between the numbers of different types of accident as shown in the following accident triangle:

1

10

30

600

Serious or disabling injury

Minor injuries (first-aid injuries)

Damage accidents

Accidents with no damage – near-miss accidents

Accident Ratio Triangle

Calculating Injury Rates from Raw Data

Accident Frequency Rate

worked hours-man ofnumber Average100,000 injuries related-work ofNumber ×

Accident Incidence Rate

employed persons ofnumber Average1,000 injuries related-work ofNumber ×

Accident Severity Rate

worked hours-man ofnumber Total1,000 lost days ofnumber Total ×

Statistical and Epidemiological Analyses in the Identification of Patterns and Trends

Trend Analysis

− Plot the numbers of accidents or incidents against time.

− Different time periodicities may show the trend better than others.

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− In addition, it is possible to include a measure of severity, by plotting the number of days lost through sickness, or the costs of damage/repair.

Epidemiological Analysis

− Identifies patterns in data distribution.

− Used to identify problems which would not be apparent from single incidents.

Presenting and Interpreting Loss Event Data

Histograms - Type of bar chart used to illustrate a frequency distribution.

Pie Charts - Circular diagram, where the pie is divided into 'slices' representing the fractions into which the total of the variable is divided.

Cusum Charts - Type of control charts used to detect small changes which could be indicative of a process starting to go out of control.

s e.

t re

an.

Line Graphs - Show the relationship between two variables. Many graphs are needed to show all the values in a table of data. It is possible to plot a number of sets of values on one graph if one of the variables remainthe same for each. The slope of the graph shows the rate of chang

Normal Distribution - Used to calculate probabilities. Providing thathe values of the mean and standard deviation of a Normal distribution aknown, then it is possible to make predictions with the aid of standardised Normal tables.

Poisson Distribution - Used to compare actual values with an expected value in cases where there are isolated events (such as accidents) occurring over a time sp

REPORTING AND RECORDING OF LOSS EVENTS AND NEAR-MISSES Reporting Requirements and Procedures

Article 11(c) of the Occupational Safety and Health Convention (C155) requires:

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“…establishment and application of procedures for the notification of occupational accidents and diseases, by employers and, when appropriate, insurance institutions and others directly concerned, and the production of annual statistics on occupational accidents and diseases”.

Protocol (P155) and the accompanying ILO code of practice (Recording and Notification of Occupational Accidents and Diseases) define:

“occupational accident covers an occurrence arising out of, or in the course of, work which results in fatal or non-fatal injury.

…occupational disease covers any disease contracted as a result of an exposure to risk factors arising from work activity.

…dangerous occurrence covers a readily identifiable event as defined under national laws and regulations, with potential to cause an injury or disease to persons at work or to the public.

…commuting accident covers an accident resulting in death or personal injury occurring on the direct way between the place of work and residence”

National governments should ensure that employers:

Record and notify occupational accidents, suspected cases of occupational disease, dangerous occurrence and commuting accidents.

Minimum Notification Data should comprise:

− Enterprise, establishment, employer.

− Person injured and nature of injury/disease.

− Workplace, circumstances.

Inform employees about the recording system and notifications.

Maintain records and use them to help prevent recurrence.

Notifiable diseases should at least include the prescribed diseases listed under ILO Convention C122. Examples include:

Conditions due to physical agents and the physical demands of work.

Infectious or parasitic diseases.

Conditions due to substances.

Minimum recommended notification dataset:

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Enterprise/establishment/employer.

Injured/diseased person.

Additional information:

− Injury - fatal, non-fatal, nature.

− Location.

− Accident and its sequence.

− Name and nature of disease and causative agent; work giving rise to exposure; duration of exposure (to agent/process); date of diagnosis.

− Dangerous occurrence details – date, time, location, type, circumstances.

Internal Reporting and Recording Systems

Accident investigation forms are used to provide management with an objective tool for measuring and evaluating safety performance. The report form should include the following information:

Name and personal details of the person who had the accident.

Date, day and time of the accident.

Where the accident happened, i.e. department and specific location.

The actual occupation of the person involved.

The job being done at the time.

The nature of the injury or damage.

What inflicted the injury or damage.

Who had control of the cause of the injury or damage.

What actually happened.

What things caused the accident, i.e. physical conditions and acts of persons.

Immediate remedial action.

Recommendations to prevent the accident in future.

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Accident records used as a tool to help control the accidents that are causing the injuries and damage should give the following useful information:

The relative importance of the various injury and damage sources.

The conditions, processes, machines and activities that cause the injuries/damage.

The extent of repetition of each type of injury or accident in each operation.

Accident repeaters, i.e. those workers who tend to be repeatedly injured or are involved in more accidents.

How to prevent similar accidents in the future.

Any accident or injury report should at least require the person reporting an accident to say whether the cause was:

An unsuitable working environment.

Lack of a safe system of work.

Unsafe or inadequate equipment.

Lack of effective instruction or supervision.

Unsafe personal factors.

The use of the personal computer (PC) has revolutionised the storage and manipulation of accident data.

A database program can be used to store accident data in a set format, then retrieve and analyse it.

A spreadsheet program with many rows and columns, where a number or phrase can be put into each of the spaces can also produce graphs and other pictorial forms of information.

INVESTIGATION OF LOSS EVENTS HSE guide Investigating Accidents and Incidents, HSG245.

Step 1: Gathering the information.

Step 2: Analysing the information.

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Step 3: Identifying risk control measures.

Step 4: The action plan and its implementation.

Purposes of Accident Investigation

There are a number of purposes that can be identified for conducting an accident investigation.

Discovery of Underlying and Root Causes

Specific tools and methodologies may be used to help discover root causes, a common one being Root Cause Analysis (RCA). RCA seeks to systematically:

Find out why an incident occurred, establishing any causal relationships between the events.

Establish causes on the critical path i.e. which causes, if removed, would prevent recurrence of the loss.

Identify remedial solutions that would effectively prevent recurrence.

Prevention of Recurrence

Purpose of the investigation and report is to establish whether a recurrence can be prevented by the introduction of safeguards, procedures, training and information, or any combination of these.

Legal Liability

Someone usually has to be held accountable.

Data Gathering

It is only after all the facts have been obtained that you can begin to interpret the results.

Identification of Trends

A spate of similar minor accidents could bring to light a problem in an organisation, which may be procedural, practical, or human in origin. If not treated, minor accidents could become major, so the ability to spot trends is a major skill for safety practitioners.

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Investigation Procedures and Methodologies

Incident Report Forms

Should contain the following information:

A summary of what happened.

An introductory summary of events prior to the incident in question.

Root cause/immediate causes.

Information obtained during any investigation.

Details of witnesses.

Information about injury, ill-health or loss sustained.

Conclusions.

Recommendations.

Costings.

Support materials (photographs, diagrams to clarify).

The signature of the person or persons carrying out the investigation.

The date.

Step 1: Gathering of Relevant Information

The less time between the accident and the investigation, the better and more reliable the information available will be. Facts will be easier to determine and more details will be remembered by those involved, while the conditions are more likely to be closest to those immediately before the accident. Equipment required may include:

Photographic equipment.

Portable lights.

Sketchpad, pencils and measuring equipment.

Record-keeping equipment.

Sample collection equipment.

Tools for cleaning debris or spillages.

Portable gas/vapour detection equipment.

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The first priority is to help injured people. You may also need to notify and report the incident to your local regulator. For serious incidents, the site may need to be made safe but otherwise left undisturbed as a 'crime scene' pending an investigation by the police or a health and safety enforcement inspector.

There is also an orderly method of performing the investigation.

Look at the scene of the accident from a distance, noting:

− The extent and severity of the damage.

− Damage to surrounding property.

− Environmental conditions.

Survey the accident site(s) to see if there are any obvious dangerous physical conditions.

Take samples for subsequent laboratory investigation.

Where machinery or other equipment has been involved, it may be necessary to issue instructions prohibiting its use or repair until the investigation has been completed.

Interviewing Witnesses

Types of Witness

Victim.

Eyewitness.

People who can offer a variety of corroborative statements.

Put the person being questioned at ease.

Where possible, carry out interviews at the scene of the accident. Start all questions with either What, Where, When, How or Who.

The investigator should be looking for the witness's version of the accident.

Step 2: Analysis of Information

Assemble all your data or evidence.

Extract the information that is relevant.

Identify any gaps – and follow leads to fill those gaps.

28 © RRC Training


Discover the immediate, underlying and root causes by systematically working through the event.

Cause and Effect Diagrams

An analysis tool, sometimes called a ‘fishbone’ diagram. Also known as an Ishikawa diagram.

Step 3: Identify Control Measures

Identify all possible control measures and then select the ones which are most suitable. Is this an event waiting to happen elsewhere? Do you need similar controls there to prevent another occurrence?

Step 4: Plan and Implement

Setting timescales.

Allocation of specific actions to specific individuals.

Checking that the proposed actions have actually been implemented.

Involvement of Personnel in the Investigation Process

Managers

Ultimately make the decisions and allocate resources.

Supervisors

Likely to know most about the situation.

Best position to explain to their team.

Employees' Representatives

May have a legal right to investigate.

Safety Practitioner

In the case of serious accidents, the company safety practitioner should be in charge of the investigation.

Failure Tracing Methods Fault tree and event tree analysis can be useful tools.

© RRC Training 29


ELEMENT A3: IDENTIFYING HAZARDS, ASSESSING AND EVALUATING RISKS

HAZARD IDENTIFICATION Techniques that can be used to detect hazards.

fety), with the intention of

Checklists

es to be monitored.

coherent approach to the inspection process

ubstances.

.

ng done. Look for:

tential hazards – by observation and by questioning.

t have taken place.

NFORMATION

Classify industries according to risk.

Task Analysis

Used to analyse all aspects of a task (including saimproving efficiency.

Cover the key issu

Provide a

"4 Ps" structure:

− Premises.

− Plant and s

− Procedures

− People.

Observation

Observe the work bei

Actual and po

Less obvious 'invisible' hazards.

Behavioural aspects.

Incident Reports

Records of all accidents tha

SOURCES OF IUse of Incident Data and Rates

30 © RRC Training


Consider accident trends.

Use 'cause of injury' to determine hazards in a workplace.

ntrol measures.

various industries use formulae in Element

pean Safety Agency

M

Measure the effect of preventative/co

In making comparisons betweenA2: incidence rate, frequency rate and severity rate.

External Information Sources

National governmental enforcement agencies such as the UK’s HSE (www.hse.gov.uk), USA’s OSHA (www.osha.gov), Western Australia’s Worksafe (www.docep.wa.gov.au/WorkSafe/).

International bodies such as the Euro(osha.europa.eu); the International Labour Organisation and their “safework” site (www.ilo.org/safework); the World Health Organisation(www.who.int).

Professional bodies such as IOSH (www.iosh.org) and IIRS(www.iirsm.org).

Trade unions.

Insurance companies.

ation Sources

n, but other sources will be needed for isation is sufficiently large to give statistical

: What does the employer have a right to know?

e

Trade associations.

Internal Inform

Most relevant data for an organisatiocomparison, unless the organsignificance.

Accident reports.

Absence records.

Maintenance records will usually show damage incidents.

Problems in Obtaining Data Related to Health

Personal details

− If a person plays sport at the weekend, and is injured, hmight possibly try to pass off an injury as work-related.

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Is the danger recognised? Alcoholics may not know they are.

tion

m,

ealth problems, or those with drug, s.

urces

assessments.

ll.

ered may be much wider than your

s, remember:

initions for a LTA.

e staff.

Heavy smokers may have no wish to cut down or stop.

Effect on compensation: Employees are unlikely to give informafreely if it would reduce a possible claim.

Cause of death: Often it can only be established by a post-morteand the family may not wish for this.

Methods of Obtaining Data

Pre-employment health screening.

Regular health screening during employment.

Ethical issues.

Avoid employing people with halcohol or substance-abuse problem

Use and Limitations of Information So

Relevant to risk

The absence of accidents is not a very good indication that all is we

With low numbers of accidents it may be difficult to see trends.

Near-misses - better indicator.

External sources:

− Statistics based on a larger sample.

− More relevant.

− The type of industry covown situation.

When comparing data between organisation

− May use different def

− No indication of injury severity.

Figures may be for employees only and so be misleading for an organisation that makes wide use of contractors.

May not take full account of overtime or part-tim

32 © RRC Training


Culture differences – an injured worker might be brought back toon restricted or ‘light’ duties in order to avoid reco

work rding as a lost-time

agnitude is involved.

g the qualities.

can be represented by broad descriptive categories

mixture of the two

e advanced ill

,

nuclear installations and in the

accident.

EVALUATION OF RISK Types of Risk Assessment

Two basic categories:

Quantitative – measurement of m

Qualitative - involves describin

Likelihood and severity(e.g. high, medium, low).

In practice, there is also a third category which uses aand is called ‘semi-quantitative’. It typically uses scoring systems - based on hard evidence.

Risk assessment must be proportionate to the risk. As the scale and complexity of risk increase, you will move from using simple, qualitative to semi-quantitative to complicated quantitative techniques.

Quantitative risk assessment (QRA) attempts to calculate probabilities or frequencies of specific event scenarios. This is sometimes mandated by legislation, so that the results can be compared with criteria on what is considered an acceptable or a tolerable risk. They may ussimulation or modelling techniques to investigate possible accidents and wutilise plant component reliability data.

This type of risk assessment typically uses advanced systematic methodse.g. fault trees.

QRA is used in high hazard chemical andoffshore oil industry.

© RRC Training 33


Hazard Effects

Hazard Severity Rating System example:

Severity Description of Hazard

Negligible Hazard will not result in serious injury or illness, remote possibility of damage beyond minor first-aid case.

Marginal Hazard can cause illness, injury or equipment damage, but the results would not be expected to be serious.

Critical Hazard can result in serious illness, severe injury, property and equipment damage.

Catastrophic Imminent danger exists, hazard capable of causing death and illness on a wide scale.

Accident/Exposure Outcomes

Outcome depends on the particular circumstances at the time.

Persons and Numbers Exposed, Duration and Frequency of Exposure

Groups which are often noted as being more vulnerable in certain circumstances include: pregnant women, disabled people, young people.

The more people likely to be affected in a single event, the higher the risk is considered to be.

Frequent and long-term duration exposures may lead to higher risk of harm. For a number of agents (such as noise and hazardous chemicals) whose effects are related to total exposure 'dose'.

Task Analysis

Involves identification of the essential tasks, duties, skills, knowledge and abilities associated with doing a particular job. The stages of task analysis are:

Select the job/task and decide on the aim of the analysis.

34 © RRC Training


Collect data.

Record/describe the task.

Analyse the data.

Use the result to support the stated aim.

Data Sources

Job descriptions.

Training requirements.

Method study breakdowns.

Makers' instructions.

Legal requirements.

Official publications.

Accident registers.

Special Safety Aspects

In most jobs there are special safety procedures which are not part of the production process. Such procedures include:

Activities concerned with permit-to-work systems.

Reporting of unsafe conditions.

Specialist inspections.

Tests of safety features and emergency procedures.

Interaction

Consider interactions with other tasks and people in the vicinity. Examples include:

Machine repair.

Delivery of materials.

Removing finished articles.

Cleaning.

Inspection.

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Communication with others.

Hierarchical Task Analysis Also known as Hierarchical Task Decomposition. This is the simplest and most widely used form of task analysis. The methodology is the same as that for task analysis (i.e. select-collect-describe-analyse-use), except that at the “Describe” stage the task is broken down into smaller units or sub-tasks and these are arranged in the order in which they are performed – forming a hierarchy.

Job Safety Analysis Also known as Job Hazard Analysis. SREDIM principles: Select the job to be analysed.

Record the steps in the process.

Examine the component parts of the job.

Develop control measures.

Install the safe system.

Maintain the safe system.

Job Safety Instructions

Give a clear description of the way each step of the job is to be done.

Stress the 'do's' and 'don'ts' at each step, i.e. key points (particularly key safety points).

Job Safety Review

The primary objectives are to determine:

Whether any deviations from the original breakdown have been introduced, such as a change in materials or machinery, or an increase in production quantity.

Whether any amendments are required in the light of operating experience.

Acceptability/Tolerability of Risk

An acceptable risk is a risk which, although not negligible, is presumed not to require any further controls.

36 © RRC Training


A tolerable risk is a known risk, deliberately run on a regular basis that isn't negligible and cannot be ignored, but which should be kept under review and reduced further if and when it is possible.

Individual and Average Risk

Industrial rates usually give the average risk for particular industries. While this will give a comparable rate for different industries, there will always be individuals who are at greater risk.

Injury Risk

Time off work is not a good measure.

Risks to Members of the Public

To some extent employees can be regarded as having 'volunteered' to accept a particular level of risk. The risk to members of the public needs to be lower than this.

Risk Retention

With Knowledge

If we have made a correct assessment of both the probability and the severity of the loss then funds can be set aside for this purpose. It is worth considering for intermediate and infrequent losses.

Some events are not insurable. Most insurance policies operate an excess, where the first part of any loss is payable. There is also usually an upper limit to insurance cover. In each of these cases there is some element of risk retention with knowledge.

Without Knowledge

If we fail to consider a particular risk, then we can be retaining a risk without knowledge.

Categorisation and Prioritisation of Risk

One way of categorising risks is proposed by the UK’s HSE in their document HSG65:

High – "Where it is certain or near certain that harm will occur" (95% will certainly be affected).

Medium – "Where harm will often occur" (majority will be affected).

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Low – "Where harm will seldom occur" (95% will not be affected).

Prioritisation

Target resources to deal with those hazards that pose the greatest threat first.

Probability

This is the chance that a given event will take place. Sometimes it is only possible to make a subjective judgement as to whether the probability is negligible, low, moderate, high or definite.

Frequency

Usually it can be regarded as identical to probability, risk, or the time interval between expected loss-making events.

Severity

Extent of potential loss.

Relativistic and Probabilistic Methods of Risk Rating

“Relativistic” – looking at things in relative terms only. This is particularly useful where risks can’t be quantified with any degree of certainty. Risks can be rated by comparison of one industry with another.

Probabilistic rating is where risks are calculated (albeit for later comparison with limits of acceptability/tolerability); we are dealing with absolute probabilities/frequencies.

Quantified Risk Assessment

QRA enables designers, operators or regulators of industrial plant or equipment to estimate existing risks, identify ways of reducing them and calculate residual risk. The figures obtained are not precise but they do place a useful numerical value on the probability of engineering failure or a major event occurring. This helps in deciding whether the risk is acceptable or tolerable.

The final QRA results can be expressed either as individual risk or as societal risk.

38 © RRC Training


FAILURE TRACING METHODS Provide a systematic methodology for identification of hazards and, in some cases, calculation of failure probabilities, for more complex cases; they are used extensively in, for example, quantified risk assessment.

Hazard and Operability Studies (HAZOPS)

Designed for dealing with complicated systems, such as large chemical plants or a nuclear power station, where a small error or fault can have drastic consequences.

Studies are carried out by a multidisciplinary team who make a critical examination of a process to discover any potential hazards and operability problems.

The process is first fully described and then every part is questioned to discover all possible deviations from the intended design which might occur, and what their causes and consequences might be.

A number of 'guide words' are applied to the statement of intention, so that every possible deviation from the required intention is considered. The main guide words are:

NO or NOT

MORE

LESS

AS WELL AS

OTHER THAN

PART OF

REVERSE

There are slight differences between the method for a continuous process and a batch process.

For a continuous process, the working document is normally the flow diagram. Each pipe is examined in turn, checking flow, pressure, temperature and concentration, using a checklist of guide words. The study should also consider the situation during commissioning, start-up and shut-down.

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For a batch process, the flow diagram and the operating procedures would be vital documents.

Failure Mode and Effects Analysis (FMEA)

The purpose of the analysis is to identify the causes of failure of individual components in a system and explore the effects of these failures/malfunctions on the system as a whole. The methodology is as follows:

Break the system down into its component parts.

Identify how each component part could fail.

Identify all possible causes of that failure.

Identify the effects and extent of the failure on the system as a whole.

Assess the likelihood of failure.

Identify the means of detection of failure (alarms/sensors, etc.).

Allocate a risk priority code (based on severity and probability) or a risk priority number (based on severity, probability and detection).

Decide on controls needed to reduce the risk to an acceptable level.

Fault Tree Analysis

A logic diagram based on the principle of multi-causality, which traces all branches of events which could contribute to an accident or failure.

The AND gate indicates that, in order for the event to occur, there must be more than one condition present at the same time. The OR gate indicates that in this situation there are a number of ways in which the condition can occur.

The fault tree starts with a 'top event', such as a particular accident or other undesirable event and is developed from the top downwards to obtain all the possible primary cause events.

Event Tree Analysis

Starts with a primary event such as a power failure and works from the bottom up. It defines the events which flow from the primary event. Event trees are used to investigate the consequences of loss-making events in order to find ways of reducing, rather than preventing, losses. Stages in carrying out event tree analysis:

40 © RRC Training


1. Identify the primary event of concern.

2. Identify the controls that are assigned to deal with the primary event such as automatic safety systems, alarms on operator actions.

3. Construct the event tree beginning with the initiating event and proceeding through failures of the safety functions.

4. Establish the resulting accident sequences.

5. Identify the critical failures that need to be addressed.

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ELEMENT A4: RISK CONTROL AND EMERGENCY PLANNING

SYSTEMS FAILURES AND RELIABILITY Complex Failure Analysis

Holistic approach - looks at the behaviour of the total system rather than the workings of individual components.

Reductionist approach - divides the system into its components.

Differences Between Systemic and Systematic Analysis

Systematic analysis involves looking at something in a logical, orderly and sequential manner.

Systemic analysis involves looking at a whole system.

Analytical Considerations of Systems and Subsystems Failures

The range of failure tracing methods that are based on treating the fault, failure or events systemically.

Hazard and Operability Studies (HAZOPS).

Failure Mode and Effects Analysis (FMEA).

Fault Tree Analysis.

Event Tree Analysis.

Application of System Failure Analysis

Flixborough

Key factors leading to the disaster included:

Lack of a proper design study for the modification with no reference to appropriate standards or safety testing, i.e. no application of system failure analysis to the plant.

Lack of competency in the management team to recognise the potential for failure, i.e. no analysis of the safety management system.

42 © RRC Training


Piper Alpha North Sea Oil Rig Explosion

Key factors leading to the disaster included:

Failure in the permit-to-work system, indicating no examination of this key subsystem.

Design failure, in that the rig containment wall was fire-resistant, but not blast-resistant. This was not identified by any systematic analysis.

Other rigs did not shut down and continued to feed into Piper Alpha, fuelling the fire. This shows that there was no analysis of the rig network as a system.

Assessment of System Reliability

Equipment Reliability

The overall reliability of equipment depends on both the reliability of all components and the way in which they are arranged:

If a single component has a reliability of R, putting two identical components in parallel will increase the overall reliability.

If components are added in series, the reliability of the system is reduced.

Parallel Systems

In a parallel system the failure of one component will not stop the system functioning.

A

B

Parallel System

R(S) = 1 − [(1 − R(A))(1 − R(B))]

Series Systems

In series, all components must function for the system to operate.

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A B

Series System

R(t) = R(A) × R(B)

Mixed Systems

R(A) = 0.95

R(B) = 0.99

R(C) = 0.999

R(D) = 0.60

R(E) = 0.93

R(F) = 0.90

Mixed System

Break down the overall system into component series and parallel systems and treat each separately.

Common Mode Failures

Failure of a number of items due to a common cause, e.g. loss of electricity supply.

Principles of Human Reliability Analysis

Think about a person who is driving an unfamiliar car. The driver knows how to drive (a licence confirms that, i.e. training and certification). The driver will identify where all the controls are and what they do (familiarisation) and set off. A problem may occur if the windscreen wipers and the indicator stalks are reversed as compared to the normal. Initially, indicating during driving will be correct, but at some point the windscreen wipers will operate instead of the indicators. A human error will have occurred in a situation where the driver has already demonstrated an understanding of the working of the indicator controls.

Hardware design can only go so far for improved reliability; there still exists the human input into the operation. We have only mentioned human

44 © RRC Training


reliability as basically 'unreliable'. The question we have to ask of this human input is: "How unreliable is it?" We then have to establish the answer to this question.

Humans do not work in the same way as machines. They are not good at carrying out repetitive tasks to a consistent standard, nor do two humans perform in the same way. The reliability of a human being cannot, therefore, be determined to the same accuracy as a machine, but action can be taken to make reasonable assessments of the type and frequency of error so that positive action can be taken to minimise the effects.

Methods of Improving System Reliability

Use of reliable components.

Parallel redundancy.

− Additional components can be added in parallel so that if one component fails, the other one will keep the system going.

Standby systems.

− Should part of the system or a component stop working, then an alternative system automatically steps in to continue operation.

Minimising failures to danger.

− Systems fail to safety.

Planned preventive maintenance.

− Means of detecting and dealing with problems before a breakdown occurs.

Minimising human error.

− Training and instruction.

− Man-machine interface is ergonomically suitable.

− Working environment is comfortable.

RISK CONTROL SYSTEMS AND METHODS Concepts and Their Limitations within a Health and Safety Management Programme

The topic of risk control can be split into loss control and risk financing.

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Loss control:

− Risk avoidance: eliminate.

− Risk reduction: control.

Risk financing:

− Risk retention: finance from funds within the organisation.

− Risk transfer: finance from funds outside the organisation.

Hazard Avoidance

Redesign of tasks.

Automation of process.

Use of specialist contractors.

Selection of Optimum Solution Based on Relevant Risk Data

Probability Severity Action

Definite

High Medium

Low

Eliminate Fund (cheaper than insurance) No action - operating expense

High

High Medium

Low

Eliminate or reduce probability or severity Reduce severity Retain as an operating expense

Medium

High Medium

Low

Reduce severity Reduce severity or transfer Retain as an operating expense

Low

High Medium

Low

Fund or insure Fund Retain as an operating expense

Remote

Catastrophic High

Medium Low

Insure, or fold company Fund, insure, or fold company Fund or retain as an expense No action

Relationship Between Probability and Severity

Important factors include:

Present state of technology.

46 © RRC Training


Public expectancy.

Legal requirements.

Economic state of the company.

Levels of insurance premiums.

Confidence of the company in the benefits of risk management and in the competence of the risk manager.

Human factors.

Risk Control Systems

Risk Control Systems (RCSs) form the basis for ensuring that adequate workplace precautions are provided and maintained.

Control of Inputs

RCSs:

− Minimise hazards and risks entering the organisation.

o Physical resources.

o Human resources.

o Information.

Control of Work Activities

RCSs:

− Contain risks associated with the business process.

o Premises.

o Plant and substances.

o Procedures.

o People.

Control of Outputs

RCSs:

− Prevent the export of risks off site or through the products and services generated by the business.

o Products and services.

o By-products.

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o Information.

COST-BENEFIT ANALYSIS Costs involved with accidents and losses.

Costs involved with accident prevention and risk reduction.

POSITIVE BENEFIT

COST OF

MAXIMUM BENEFIT

NEGATIVE BENEFIT

+

−

BE

NE

FIT

0 SAFETY

Cost-Benefit Graph

Risk Control Cost Decisions

Cost Areas

Organisational

Costs of staff, and the time involved.

Design

Engineering aspects.

Planning

Safe methods of work.

Operational

Costs of running and maintaining safety systems.

WORKPLACE PRECAUTIONS General Principles of Prevention

Avoid risks where possible.

48 © RRC Training


Evaluate the risks which cannot be avoided.

Combat the risks at source.

Adapt the work to the individual.

Adapt to technical progress.

Replace the dangerous with the non-dangerous or the less dangerous.

Develop a coherent overall prevention policy which covers technology, organisation of work, working conditions, social relationships and the influence of factors relating to the working environment.

This embodies the principles of risk management and requires the employer to look at all aspects of the health and safety management system rather than simply concentrating on basic workplace precautions.

Give collective protective measures priority over individual protective measures.

Give appropriate instructions to employees.

Categories of Control Measures

Technical - a technical or engineering solution.

Procedural - a procedural solution may mean a safe method of work.

Behavioural - a behavioural solution will involve education and training of operatives, putting up notices and signs, using protective equipment and generally making employees aware of the risks. You can view it as changing the 'safety culture' of the organisation.

General Hierarchy of Control Measures

In dealing with risks, we must establish an order of treatment. There are a number of different hierarchies. One such order of treatment is:

Elimination

Stop using the process, substance or equipment or use it in a different form.

Substitution

Replace a toxic chemical with one that is not dangerous or less dangerous. Use less noisy pumps.

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Engineered Controls

Redesign of process or equipment to eliminate release of the hazard so that everyone is protected, e.g. enclosure or isolation of the process or use of equipment to capture the hazard at source.

Administrative Controls

Design work procedures and work systems to limit exposure, e.g. limit work periods in hot environments.

PPE (as a last resort)

Respiratory protective equipment (RPE), gloves, etc. – only protects the individual.

Factors Affecting Choice of Control Measures

The chosen solution has to be reasonable in the circumstances: sacrifice (cost, time, effort) in comparison to the risk and the likely benefit.

Methods towards the top of the control hierarchy tend to be more effective but more expensive and take longer to implement (long-term). So, less effective measures may be adopted in the short-term. Methods low down in the hierarchy tend to be cheapest, implemented quickly to give some measure of risk reduction but their effectiveness may be short-lived.

SAFE SYSTEMS OF WORK AND PERMITS-TO-WORK

"A safe system of work is a formal procedure which results from systematic examination of a task in order to identify all the hazards. It defines safe methods to ensure that hazards are eliminated or risks minimised."

Legal Requirements

In some countries there is an explicit legal requirement to maintain systems of work that are safe.

Article 10 of the ILO Occupational Safety and Health Recommendation (R164) states the following obligation on employers:

to provide and maintain workplaces, machinery and equipment, and use work methods, which are as safe and without risk to health as is reasonably practicable

50 © RRC Training


Practical Requirements

Safe use of plant, equipment and tools through proper training and supervision.

Components of a Safe System of Work

A safe system of work constitutes the bringing together of materials, people, equipment and environment in such a way as to effect work activities in safety.

When is a Safe System Required?

A safe system of work is needed when hazards cannot be physically eliminated and some element of risk remains.

Developing and Implementing a Safe System of Work

Analyse the task – identifying the hazards and assessing the risks.

Introduce controls and formulate procedures.

Instruct and train people in the operation of the system.

Monitor and review the system.

The Use of Hazard/Task Analysis in the Development of Safe Systems of Work

The steps for Job Hazard Analysis (JHA) are often expressed as:

Select the task to be studied.

Record the steps in the process.

Examine the component parts of the task.

Develop the safe system.

Instal the safe system.

Maintain the safe system.

Preparation of Job Safety Instructions and Safe Operating Procedures

This involves writing out a set of instructions which must be followed. Who will need to use these instructions? There could be a need for diagrams rather than just words. The more operators and employee representatives are involved in the process, the more acceptable will be the end result.

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Analysis methods like JSA and HTA (Hierarchical Task Analysis) which break down a job into task-steps are perfect for creating a set of instructions or operating procedure for doing the job safely.

Permit-to-Work Systems

A safe system of work may require a permit-to-work system to be adopted as part of its overall systematic control of risk.

Permit-to-work systems are widely used in the following jobs:

Working in confined spaces.

Hot work on plant containing flammable dusts, liquids, gases or their residues.

Cutting into pipework containing hazardous substances.

Work on electrical equipment.

Permit-to-work systems try to ensure that formal action is taken by providing a written and signed statement to the effect that all the necessary actions have been taken. The permit must be in the possession of the person in charge of the operation before work can commence.

Essential Features of a Permit-to-Work System

Permits should:

Define the work to be done.

Say how to make the work area safe.

Identify any remaining hazards and the precautions to be taken.

Describe checks to be carried out before normal work can be resumed.

Name the person responsible for controlling the job.

The permit-to-work is always based on a formal document.

The document should be valid only for a limited period depending on the nature of the work and associated hazards.

All the methods to be used and precautions to be taken should be:

Carefully discussed and agreed beforehand.

Clearly stated on the permit.

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Basic Principles of Operation

Evaluate the Hazards

Plan the Precautions

Instruct the Supervisors and Others Who Will be Responsible for Carrying Out the Work

Issue the Permit

EMERGENCY PLANNING Need for Emergency Preparedness Within an Organisation

Personal Injury

Explosive Device - A system should be in place to evacuate the site should a suspect package be found or if a warning is received.

Fire - Consideration must be given to raising the alarm, escape routes from the site/building as well as the means for tackling a fire.

Loss of Containment - The emergency plan needs to include: raising the alarm, evacuation procedures (for the site and the surrounding areas, where necessary), limiting the extent of the 'spillage' (if it is safe to do so), informing other relevant parties, e.g. government departments and national agencies with responsibility for the environment, water resources, fire department, etc. and considering how the clean-up process may be undertaken.

International Requirements and Standards

ILO Occupational Safety and Health Recommendation R164 (Article 3: First Aid and Emergency Plans).

ILO Convention C161 Occupational Health Services (First aid/medical).

ILO Convention C174 Prevention of Major Industrial Accidents (1993).

ILO Code of Practice on the Prevention of Major Industrial Accidents, 1991 (especially Chapters 1-6).

Consequence Minimisation via Emergency Procedures

First-Aid/Medical.

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Fire Extinguishment.

Spill Containment.

Development of Emergency Plans

An emergency plan is a formal, written document designed to assist management with the control of specific hazards or incidents. It aims to minimise negative impacts on the organisation (such as injury, property damage, disruption to normal operations, poor public image and reputation) and aid rapid post-incident recovery.

Preparation of Emergency Plans for Major Emergency Scenarios

The on-site emergency plan is principally concerned with the control of the emergency using on-site resources; the employer has responsibility for producing it.

The purpose of the off-site emergency plan is for the protection of the public and the environment. The off-site plan is the responsibility of the authorities.

The two emergency plans should be complementary and need to be monitored and maintained on an ongoing basis.

On-Site

For simple installations, the plan may consist simply of raising the alarm, putting employees on standby and calling in the external emergency services. For more complex installations, far more will be needed, e.g.

Assessment of size/nature/likelihood of potential accidents.

Liaison with external agencies.

Procedures for raising the alarm and for communications.

Emergency Control Centre (ECC) - location and organisation.

Appointment of those with specific duties (incident controller, site main controller, first aiders, etc.).

On-site actions (including evacuation and roll-call) during emergency.

Off-Site

Off-site plans should contain details of:

54 © RRC Training


Organisation - command structures, warning systems, names of site main controller’s ECC, etc.

Communications - identify personnel involved, contact details.

Specialised emergency equipment - heavy lifting gear, etc.

Specialised knowledge – expertise that may be needed.

Nature of chemical risks on site.

Arrangements for obtaining weather information.

Humanitarian arrangements – transport, emergency feeding, evacuation, first-aid, etc.

Getting information to the public – dealing with media, local inhabitants.

Arrangements for collecting information on the developing emergency (to identify cause) and for reviewing the plan.

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ELEMENT A5: ORGANISATIONAL FACTORS

INTERNAL AND EXTERNAL INFLUENCES External Influences on Health and Safety within an Organisation

Enforcement Ag

encies

Contractors/Clients

The Organisation

Courts/Tribunals

Legislation

Trade UnionsPublic Opinion

Insurance Companies

Contracts

External Influences on the Organisation

Internal Influences on Health and Safety within an Organisation

Finance

Production Targets - The attainment of production goals subjects operatives to intense pressures which can lead to stress and an increase in incidents and accidents in the workplace.

Trade Unions - Trade union safety representatives are involved as members of safety committees and as such are actively involved in improving health and safety in the workplace.

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TYPES OF ORGANISATIONS Formal and Informal

Formal - represented by the company organisation chart, the distribution of legitimate authority, written management rules and procedures, job descriptions, etc.

Informal - represented by individual and group behaviour.

Concept of the Organisation as a System

ENVIRONMENT

Production and marketing activities. Planning, organising and control. Research and development, etc.

People, information, finance, materials, etc.

ideas, wa

Products, services,

ste, etc.

INPUTS OUCONVERSION

TPUT

Open System Organisation

Organisational Structures and Functions

Organisation Charts

The pyramidal structures identify the formal levels of authority and responsibility within the organisation or department, with authority or control running from top to bottom.

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Role of Management

Line Management - Direct line of authority (from the Works Director to the Shop-Floor Operative).

Staff Relationship - 'Line' relationship between the employees and departments.

Functional Relationship - Certain members of staff have a company-wide remit to carry out activities 'across the board'.

ORGANISATIONS AND HEALTH AND SAFETY MANAGEMENT Organisational Requirements for the Management of Health and Safety

Control by managers who lead by example.

− Clear allocation of responsibilities for:

o Policy formulation and development.

o Planning and review of health and safety activities.

o Implementation of plans.

o Reporting on performance.

− Allocation of health and safety responsibilities to line managers with access to specialist advisers.

− Allocation of health and safety responsibilities to competent persons who are given time and resources to carry out those responsibilities.

− Ensuring accountability of persons allocated health and safety responsibilities.

− Setting those persons realistic targets and providing positive reinforcement.

− Providing adequate supervision, instruction and guidance.

− Providing a payment and reward system which avoids conflict between production targets and health and safety requirements.

Encouraging co-operation amongst employees and safety representatives by involving them in:

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− Policy formulation and development.

− Planning, implementing, measuring, auditing and reviewing performance.

− Arrangements at operational level in support of more formal participative measures.

Ensuring effective communication by means of:

− Visible behaviour.

− Written material.

− Face-to-face discussion.

Ensuring competence by means of:

− Recruitment.

− Selection.

− Placement.

− Transfer and training.

− Provision of adequate specialist advice.

Organisational Goals and Those of the Individual

Both the organisation and individuals have goals.

For the organisation to achieve these goals then the employees need to have their own goals and objectives to work towards the organisational goal.

Integration of Goals of the Organisation with the Needs of the Individual

Authority to enable the individual to carry out tasks can result in an increase in self-esteem and increases the possibility of the tasks being performed well.

Responsibility and the extent of what they can and cannot do.

Accountability, made clear to all individuals given health and safety responsibilities.

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THIRD PARTY CONTROL Identification of Third Parties

A third party is defined as: "someone other than the principals who are involved in a transaction".

Contractor

"One who is engaged to perform a certain task without direction from the person employing him."

Categories of Visitors

Lawful visitors – have either an explicit invitation or an implied right to enter e.g. customers, enforcement officers, passer-by making a reasonable enquiry of the occupier, etc.

Unlawful visitors – persons entering premises contrary to the law or for unlawful purposes.

Invited visitor – one to whom hospitality has been extended or who has been explicitly invited onto the premises.

Uninvited visitor – would not have had such an invitation extended to them. Note that “uninvited” does NOT necessarily mean unlawful.

Members of the public are those who do not fit into either of the above categories, nor are they employees.

Reasons for Ensuring Third Parties are Covered by Health and Safety Management Systems

ILO Occupational Safety and Health Convention C155 (Article 17) states:

Whenever two or more undertakings engage in activities simultaneously at one workplace, they shall collaborate in applying the requirements of this Convention.

This collaboration requirement is repeated in some of the sector-specific conventions such as C167 The Safety and Health in Construction Convention (Article 8).

Even if your country has not ratified the above ILO convention, you may have equivalent requirements.

There is a moral imperative which 'obliges' us to look after other people.

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Economic considerations are twofold. Accidents resulting from poor health and safety management result in huge financial losses to everyone concerned. Poor health and safety management is often itself caused by the serious lack of economic resources.

Basic Duties Owed To and By Third Parties

The concept of “duty of care to your neighbour”. This is a common principle in civil law, even without a specific contract between parties. It arises from the moral/ethical duty not to cause injury/damage through negligent (i.e. careless) acts/omissions.

Article 17 of C155 The ILO Occupational Safety and Health Convention.

Specific examples:

Designers, Manufacturers, Suppliers to Customers/Users in relation to machinery and dangerous substances for use at work.

For example, Article 12 of the ILO Safety and Health Convention (C155),

Occupiers of Premises/Land to Visitors

Many countries have established a common duty of care of an occupier to all lawful visitors (remember the earlier definition of lawful visitor). The duty is essentially to take reasonable care to see that the visitor will be reasonably safe in using the premises for the purposes for which they are invited or permitted by the occupier to be there.

Contractors to Clients (and Vice Versa)

It has long been held that professional people owe a duty of care to their clients, but under the “neighbour” concept, the reverse is also true. This implies co-ordination/collaboration of activities and exchange of essential information.

The ILO code of practice on Construction Safety and Health also identifies the responsibility of the client to ensure that contractors consider the cost of adequate health and safety provision for the construction project when tendering for the job.

There is also an implied duty (frequently enshrined in law) for clients to make reasonable “due diligence” efforts to ensure that the contractor that they engage is actually competent to do the job, and a reciprocal duty on the contractor (as on any employer/self-employed person) to ensure that his employees are competent to do the job.

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Internal Rules and Procedures Concerned with the Selection, Appointment and Control of Contractors

The Planning Stage

Define the task(s) that the contractor is required to carry out.

Identify foreseeable hazards and assess the risks from those hazards.

Introduce suitable control measures to eliminate or reduce those risks.

Lay down health and safety conditions specific to the tasks.

Involve the potential contractors in discussions concerning the health and safety requirements.

Choosing a Contractor

Determine what technical and safety competence is required by the contractor.

Ask the contractor to supply evidence of that competence.

Supply information regarding the job and the site, including site rules and emergency procedures.

Ask the contractor to provide a safety method statement outlining how they will carry out the job safely.

Contractors Working on Site

Introduce a signing in and out procedure.

Ensure the contractor provides a named site contact.

Carry out site induction training for all contractor employees.

Where necessary, control activities by using a permit-to-work system.

Checking on Performance

Are contractors working to agreed safety standards?

Have there been any incidents and were they reported?

Have there been any changes of circumstance, e.g. change of personnel?

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Review

Regularly review the procedures to ensure they remain up to date and effective.

Responsibilities for Control of Risk Associated with Contractors on Site

General duty to ensure that all reasonably practicable measures are taken by clients (i.e. those who engage contractors) and people in charge of premises to reduce the risk to contractors and vice versa.

Provision of Information Relating to Hazards and Risks to Third Parties

Contractors

Collaboration on health and safety matters contained within the Occupational Safety and Health Convention will necessarily involve exchange of relevant information (on hazards, risk assessments, method statements, procedures, etc.).

Visitors

It is common practice to give visitors to the workplace written information on emergency procedures.

General Public

Notices and warnings on perimeter fences, gates, etc.

Major hazard installations are required to inform the local population of the hazards arising from site activities and the action to take in the case of major incident.

CONSULTATION WITH EMPLOYEES Role of Consultation Within the Workplace

“Workers can contribute to prevention of industrial accidents by spotting and warning about potential hazards and giving notice of imminent dangers.

Involving employees educates and motivates them to co-operate in the promotion of safety.

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Ideas and experiences of workers are regarded as a useful contribution to safety improvement.

People have a right to be involved in decisions that affect their working life, particularly their health and wellbeing.

Co-operation between the two sides of industry, essential to improve working conditions, should be based on an equal partnership.”

The ILO Occupational Safety and Health Convention 1981 (C155), Article 20, states:

“Co-operation between management and workers and/or their representatives within the undertaking shall be an essential element of organisational and other measures taken.”

Formal Consultation – Functions of Employee Representatives and Safety Committees.

Article 19(a)-(e) of the ILO Safety and Health Convention:

“There shall be arrangements at the level of the undertaking under which:

Workers, in the course of performing their work, co-operate in the fulfilment by their employer of the obligations placed upon him;

Representatives of workers in the undertaking co-operate with the employer…;

Representatives of workers in an undertaking are given adequate information on measures taken by the employer to secure occupational safety and health and may consult their representative organisations about such information provided they do not disclose commercial secrets;

Workers and their representatives in the undertaking are given appropriate training in occupational safety and health;

Workers or their representatives and, as the case may be, their representative organisations in an undertaking, in accordance with national law and practice, are enabled to enquire into, and are consulted by the employer on, all aspects of occupational safety and health associated with their work”

Employee Representatives

Article 20 of the Convention involves the appointment of:

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Workers’ safety delegates (often called “safety representatives”).

Workers’ safety and health committees and/or joint safety and health committees.

Representatives should have the following functions, rights and entitlements:

Be given adequate information on health and safety matters.

Consulted (when major health and safety measures or changes to work with health and safety implications are planned).

Protection from dismissal/prejudicial treatment.

Be able to contribute to the health and safety decision-making process/negotiations.

Access to all parts of the workplace, workers, labour inspectors and health and safety specialists (as required).

Allowed reasonable time (paid) and given training to perform their functions.

The main role of representatives is to work proactively to prevent worker exposure to occupational hazards. Typical activities include:

Workplace observations and inspections.

Examination of records.

Listening to complaints.

Reading information.

Asking members represented what they think.

Health and Safety Committees

Union Committees

According to the ILO training guide, the role of the local union committee is to:

Respond to worker concerns.

Initiate action on the hazards it recognises.

Educate union members in health and safety.

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Help represent workers’ health and safety grievances to management.

Typical activities of such committees would include:

Regular meetings to discuss issues brought to its attention by members, suggest possible solutions and progress reports on issues being tackled.

Developing health and safety training programmes.

Researching specific health and safety issues to aid negotiations with management.

Accompanying government inspectors on workplace inspections.

Joint Labour-Management Committees

These involve management as well as workers. Typical activities of these committees would include:

Promoting health and safety in the workplace (including providing training).

Monitoring the workplace for hazards and legal compliance (including inspections).

Agreeing the health and safety policy and its implementation.

Working with management to resolve health and safety problems/complaints.

Involvement in planning proposed changes that may impact on health and safety.

Keeping union members informed about planned actions.

Informal Consultation

Discussion Groups and Safety Circles

Consist of a group of individuals, often, volunteers, who meet informally to discuss safety problems in their immediate working environment.

Departmental Meetings

Normally attended by shop-floor representatives, supervisory and management staff who will meet frequently, often once a week, to discuss general matters affecting their department.

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Role of the Health and Safety Professional in the Consultative Process

Provision of authoritative and independent advice.

Responsibility for professional standards and systems.

Liaise with a wide range of outside bodies and individuals.

Behavioural Aspects Associated with Consultation

Peer Group Pressures

The safety representative is a worker's representative and not part of the management team. Neither is he necessarily "a competent person".

His role is primarily a policing one in which he monitors the safety performance of management and, because of peer group pressure, he may see himself in a conflicting, rather than co-operative, role.

Potential Areas of Conflict

Management may take the view that their opinions are correct simply because they are management and know better.

Development of Positive Consultative Processes

Consultation means to discuss (with others) a given agenda and to give or receive information or advice about that agenda prior to taking any action or arriving at decisions about possible courses of action. Positive consultation is based on a willingness on both sides - employer and employee - to consider problems together, to make use of each other's knowledge and expertise, and to apply that collective wisdom to the problem in hand. Consultation is particularly necessary on such matters as:

The introduction of any new measure at a workplace which may substantially affect health and safety.

Arrangements for appointing competent persons to assist the employer with health and safety and for implementing procedures relating to serious and imminent danger.

Any health and safety information that the employer is required to provide.

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The planning and organisation of health and safety training, and health and safety implications of the introduction, or planned introduction, of any new technology.

Contributions of Employee Representatives/Safety Committee Members

Employee representatives:

Will have a basic health and safety knowledge (legislation, guarding, noise, etc.).

Need to be active in promoting and encouraging a health and safety culture amongst their colleagues:

Safety committee members:

Will have some health and safety knowledge (but probably less than the representative).

Are likely to have a more reactive role than that of the representative (discussing reactive data such as accident reports/investigations).

The safety committee has an important role in following up problems which have not been satisfactorily resolved by safety representative intervention.

PROVISION OF INFORMATION AND DEVELOPMENT OF INFORMATION SYSTEMS Legal Requirements and Practical Arrangements for Providing Health and Safety Information

ILO Occupational Health and Safety Convention C155

Article 19(c) – employers to provide health and safety information to worker representatives.

ILO Protocol of 2002 to the Occupational Health and Safety Convention P155

Articles 3(a)(ii) and 4(a)(ii) – provision of information to employees regarding accident reporting systems and notified accidents.

ILO Occupational Health and Safety Recommendation R164

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Article 12(2) – provision of health and safety information to safety representatives/committees, etc.

Article 14 – information on health and safety policy/organisation/arrangements brought to attention of employees.

ILO Communications Within the Undertaking Recommendation R129

Article 2(2) – dissemination of information.

ILO Safety and Health in Construction Convention C167

Article 33 – provision of information to workers on health and safety hazards

ILO Prevention of Major Industrial Accidents Convention C174

Article 9 - provision of information to authorities on potential accidents, etc.

Article 16 - information to the local public from competent authority on action to take in case of major accident.

Development of a Health and Safety Management Information System Within the Workplace

The collection of information from external sources.

The documentation of policy, organisation statements, performance standards, rules and procedures.

Provision of systems for cascading information to users, including the use of posters, bulletins, newspapers, etc.

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Information Sources

EXTERNAL INFORMATION SOURCES

INTERNAL INFORMATION SOURCES

Legislation, codes of practice and guidance

National and international Standards

Manufacturers' instructions

Guidance from safety and professional bodies e.g. ILO, WHO, IOSH

Guidance from industrial bodies

Health and Safety Policy document

Compliance data

Cost data

Risk assessments

Monitoring results: • Noise

• Dust

• Lighting

• Atmospheric, etc.

Job descriptions

Job safety analyses

Results of inspections/audits

Accident and ill-health reports/statistics

Training records Management system performance data

DESCRIPTION OF HEALTH AND SAFETY CULTURE AND CLIMATE Definition

There are many definitions for health and safety culture:

"A system of shared values and beliefs about the importance of health and safety in the workplace."

"An attitude to safety which pervades the whole organisation from top to bottom and has become a norm of behaviour for every member of staff from the board of directors down to the newest juniors."

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A health and safety climate is defined as "the tangible outputs or indicators of an organisation's Health and Safety Culture as perceived by individuals or work groups at a point in time".

Impact of Organisational Cultural Factors on Individual Behaviour

We are all influenced to some degree by things that we see and hear. What are likely to influence our behaviour when it comes to safety?

Managers and Supervisors

Work Colleagues

Training

Job Design

Work Equipment

Influence of Organisational Structures

Organisational Role Culture

Describe the way in which individuals behave in organisations.

Bureaucratic Role Culture

The power of the individual derives from the office or position he holds within the organisation.

There are set procedures and rules which must be followed and which ultimately give rise to a predictable and secure culture.

This type of culture thrives well in times of stability but does not, however, deal well with periods of rapid change.

Flexible Federal Role Culture

Organisations run by persuasion and consent. Flexible cultures try to avoid the 'them and us' image of managers and workers and instead use the concepts of team leader or staff co-ordinator.

Indicators of Culture

The registration of visitors.

The presence of warning notices throughout the premises.

The wearing of PPE.

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Good or bad staff relationships.

Accident figures.

Statements made by employees, e.g. "That's not my responsibility" (negative culture).

Correlation Between Health and Safety Culture and Climate and Health and Safety Performance

Factors associated with good safety performance:

Effective communication.

Learning organisation.

Health and safety focus.

Committed resources.

Participation.

Management visibility.

Balance of productivity and safety.

High quality training.

Job satisfaction.

A significant proportion of older, more experienced and socially stable workers.

Subjective and Objective Nature of Culture and Climate

The culture refers to objective characteristics that can be observed or inferred by an outside observer, e.g. a respect for tradition or service to customers.

The climate is more subjective. E.g. do individuals feel like a valued member of the organisation?

Measurement of the Culture and Climate

Attitude Surveys

Survey questionnaires containing statements which require responses indicating agreement or disagreement.

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When carried out regularly, attitude surveys can identify trends and it is then possible to quantify how attitudes are changing.

Prompt Lists

These are similar to attitude surveys except that prompt lists are used with predetermined answers.

Findings of Incident Investigations

Where carelessness is found to be the widespread cause of accidents/incidents then this may be an indicator of poor safety culture.

Effectiveness of Communication

Successful communication is measured by feedback which enables the sender to test whether the receiver has fully understood the communicated message.

Evidence of Commitment by Personnel at All Levels in the Organisation

Visible commitment can be demonstrated by management:

Being seen and involved with the work and correcting deficiencies.

Providing sufficient resources to carry out jobs safely.

Ensuring that all personnel are competent.

Enforcing the company safety rules - introducing safe systems of work.

Matching their actions to their words.

DESCRIPTION OF FACTORS AFFECTING HEALTH AND SAFETY CULTURE Factors that May Promote a Positive Health and Safety Culture or Climate

Management Commitment and Leadership

'Lead by example'.

High Business Profile to Health and Safety

A positive health and safety culture can be promoted by including safety in all business documents and meetings.

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Provision of Information

About health and safety matters (posters, leaflets or in staff newsletters).

Involvement and Consultation

Involve staff members in:

Risk assessments.

Workplace inspections.

Accident investigations.

Safety committee meetings.

Consult with employees on:

The introduction of any measures which may substantially affect their health and safety.

The arrangements for appointing or nominating competent persons.

Any health and safety information to be provided to employees.

The planning and organisation of any health and safety training.

Health and safety consequences of introducing new technology.

Training

To ensure that people have the right skills to carry out their job safely.

Promotion of Ownership

Involvement and consultation.

Setting and Meeting Targets

Setting targets:

Can have a positive effect on a safety culture.

Should encourage people to work together in order to achieve the target.

Factors that May Promote a Negative Health and Safety Culture or Climate

Organisational Change

This can:

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Leave individuals worrying about job security and their position in the organisation.

Cause mistrust of management and suspicion of any alterations to role or environment.

Lack of Confidence in Organisation's Objectives and Methods

If productivity appears to take precedence over safety, the worker perception will be that the company is untrustworthy, with little commitment to safety, leading to a subsequent deterioration in the safety culture.

Uncertainty

Can lead to dissatisfaction, lack of interest in the job and generally poor attitudes towards the company and colleagues.

Management Decisions that Prejudice Mutual Trust or Lead to 'Mixed Signals' Regarding Commitment

Can cause unrest and distrust in an organisation.

Effecting Change

Planning and Communication

Start at the top of the organisation but encourage participation at all levels with clear objectives as to what is to be achieved by the proposed change.

The Need for a Gradualist (Step-by-Step) Approach

Advantages - changes are phased in over a period of time, ensuring that there is time for adaptation and modification and for the change to become part of the established culture.

Disadvantage – the changes take a relatively long time to implement.

Action to Promote Change

Direct

Positive action is carried out with the sole objective of effecting change (a steering group and a working party).

Indirect

This brings about change but is not necessarily the primary reason for carrying out the action, e.g.: risk assessments and training.

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Problems and Pitfalls

Changing Culture Too Rapidly

Employees may feel vulnerable, insecure, confused and angry.

Adopting Too Broad an Approach

It is important that everyone is clear about the changes that will occur.

Absence of Trust in Communications

Inconsistent management behaviour can bring about mistrust and uncertainty, leading to a complete breakdown in relations between management and workforce.

Resistance to Change

Set patterns of thought and behaviour can be difficult to overcome when change occurs.

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HUMAN BEHAVIOUR Basic Concepts

Psychology - study of the human personality.

Sociology - study of the history and nature of human society.

Anthropology - study of the whole science of man; human physiology and psychology; the study of man as an animal.

Complexity of Human Behaviour

Human Instincts

Self-assertion.

Acquisitive tendency.

Aggressive impulse.

Gregarious instinct.

Constructive instinct.

Mental Levels

Conscious level.

Subconscious level.

Unconscious level.

Key Theories of Human Motivation

F. W. Taylor – Improvement of Industrial Efficiency

Principles developed by Taylor:

Develop a science for each element of a person's work.

Scientifically select, train and develop the worker.

Co-operate with the workers to ensure that the work is done in accordance with the principles of the science which has been developed.

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Ensure that there is equal division of work and responsibility between the management and the worker.

Mayo (Hawthorne Experiments)

Working in a small, harmonious group can have a significant effect on productivity.

Having a chance to air grievances seems to be beneficial to working relationships.

Maslow (Hierarchy of Needs)

Task needs

Self-Actualisation

Esteem

Social

Safety

or Security

Biological

Maslow's Hierarchy of Needs

Contemporary Theory (Complex)

D. C. McClelland

Need for affiliation.

Need for power.

Need to achieve.

Herzberg's Two-Factor Theory

Hygiene factors.

Motivators.

Douglas McGregor

Theory X - people do not really like responsibility, and they only take it as a means of getting more money.

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Theory Y - people are self-motivated to work and perform best with a minimum of supervision and control.

HSG48 Model

Errors

Actions or decisions not intended and that involve a deviation from an accepted standard.

Errors can be split into:

Skill-based errors:

− Slips – failure in carrying out the actions of a task.

− Lapses – forgetting to carry out an action.

Mistakes – do the wrong thing believing it to be right:

− Rule-based.

− Knowledge-based.

Violations

Deliberate deviation from a rule or procedure.

There are three types of violation: routine, situational and exceptional.

Routine – normal way of working.

− Cutting corners to save time and/or energy – may be due to various reasons, e.g. awkward working posture, etc.

− Perception that rules are too restrictive or no longer apply.

− Lack of enforcement of the rule.

− New workers starting a job where routine violations are the norm and not realising that this is not the correct way of working.

Situational – rules are broken due to pressures from the job.

Exceptional – rarely happens and only occurs when something has gone wrong.

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Individual Decision-Making Processes

Decision Types

Peter Drucker

Tactical/strategic.

Organisational/personal.

Basic/routine.

H. A. Simon

Programmed decisions.

Unprogrammed decisions.

Process Operator Skill

Assessing the operator's skills.

Specific control skills:

− Sensing.

− Perceiving.

− Prediction.

− Familiarity with controls.

− Decision.

Skill-Based Decisions

Perceptual motor skills.

Complex Skills

Sensing or obtaining information.

Deciding what should be done.

Taking appropriate action.

On- and Off-Line Processing

On-line processing – decisions which have to be made as a work process is in operation.

Off-line processing – decisions which can be made after consideration of a number of alternatives.

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Knowledge-, Rule- and Skill-Based Behaviour (Rasmussen)

Skill-based behaviour - person is carrying out an operation in automatic mode. Errors occur if there are any problems such as machine variation or any environmental changes.

Rule-based behaviour - operator is multi-skilled and has available a wide selection of well-tried routines which can be used to complete the task.

Knowledge-based behaviour - person has to cope with unknown situations, where there are no tried rules or routines. Errors occur when some condition is not correctly considered or when the resulting effect was not expected.

Psychological, Sociological and Anthropological Factors Contributing to Individual Differences

Psychological Factors

Differences in personality, attitudes and motivation.

Sociological and Anthropological Factors

The establishment of behavioural norms and resultant peer group pressure on individuals to comply with these norms.

Human Behaviour - Influences

Personality - Integrated and dynamic organisation of the physical, mental, moral and social qualities of the individual.

Attitude - View of the world and approach to the situation.

Aptitude - Talent or the appropriateness of actions.

Motivation - Tendency of an individual to take action to achieve a particular goal.

Behaviour Patterns Resulting from Ancestry and Social Background

Effects of Ancestry

Personality is a fixed quantity.

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Social Background

In other words, factors we learn by association.

Effects on Behaviour at Work of Experience, Intelligence, Education and Training

Experience

With increasing experience we would expect an employee to become more competent.

Intelligence

Low intelligence: routine, production-line type of employment will be very taxing.

High intelligence: routine, production-line type of employment will be boring in the extreme.

Education and Training

Training is used to motivate and change the behaviour of the people involved in workplace activities to eliminate or reduce the human failings which result in accident behaviour.

PERCEPTION OF RISK Human Sensory Receptors

Sight.

Hearing.

Taste.

Smell.

Touch.

Sensory Defects and Basic Screening Techniques

Sensory defects increase with age and failing health.

Some people need spectacles and hearing aids, and you should have a general idea of why this could be so. The safety practitioner probably needs to be more concerned about those who don't know that they have sensory defects or try to forget about it.

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Individuals have the ability to screen out things that they are not interested in.

Process of Perception of Danger

Signals from the sensory receptors.

Expected information from the memory.

These two signals combine to give us a 'picture' of the situation of hazard, which is then processed by the brain. To take, or not to take, action.

Perceptual Set

A 'mindset'.

We perceive not only the problem, but also the answer and set about solving the problem as we have perceived it.

Further evidence may become available which shows that our original perception was faulty, but we fail to see alternative causes and solutions.

Perceptual Distortion

The perception of hazard is distorted (work rates, physical effort, bonus payments).

Errors in Perception Caused by Physical Stressors

Fatigue, overwork, overtime, stresses from the workplace, and stresses from home and outside activities.

Perception and the Assessment of Risk

Problems in the perception of a situation will cause errors in perception of risk.

Perception and the Limitations of Human Performance

Limitations in knowledge, strength, physical and mental ability.

Filtering and Selectivity as Factors for Perception

The filter mechanism only allows vital elements to be passed on.

We continuously screen out items that are not of immediate interest.

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Process of filtering and selectivity can present a danger by concentrating on a particular topic and missing a vital signal which should have warned of danger.

Perception and Sensory Inputs

The Hale and Hale Model

Perception is based on:

Information from the senses (physical defects of sight or hearing can affect the presented information).

Expected information (fatigue, stress or drugs can alter the expected information).

Possible actions.

Cost/benefit decision.

Action will affect the situation and so produce a feedback loop.

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Individual Behaviour in the Face of Danger

The Hale and Glendon Model The Hale and Glendon Model

SYSTEM MODE

Inpu Processing Outputt

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LEVEL OF FUNCTIONING No No

Knowledge

Tests for danger known & carried out? es

Need for actionrecognised?

(Labelled as danger) es

Responsibilityaccepted or allocated?

NoYY

Y Yeses

No Hazardseeking initiated?

Plan made &carried out?

No

No

Rules Obviouswarning?

Y

Yes

es

NoProcedureknown & chosen?

No

Yes

Skills Programmed orinsistent danger

signals?

es

NoResponse in

programme & carried out?

Y

Yes

Danger unaffected

(Increasing

Behaviour in the Face of Danger Model Behaviour in the Face of Danger Model

Static Decreasing)

Danger brought (or stays) under control

OBJECTIVE DANGER

SYST

EM B

OU

ND

AR

Y


(Reproduced from Individual Behaviour in the Control of Danger by A. R. Hale and A. I. Glendon (1987) with kind permission from Elsevier Science –

NL, Sara Burgerhartstaat 25, 1055 KV Amsterdam, The Netherlands)

MAJOR DISASTERS Contribution of Human Error to Major Disasters

Seveso (near Milan, Italy), 1976

Factors contributing to the accident:

The legislative environment – well-intentioned law regarding weekend plant shutdowns that did not allow management discretion to complete a batch process.

The process was stopped at an unusual stage (never before stopped at this stage).

No systematic hazard analysis, such as HAZOP, had been carried out on the process – the potential consequences would almost certainly have been picked up if a HAZOP had been conducted.

Inadequate reaction/process control: no cooling or stirring when the process was stopped for the weekend; inadequate sensors for measuring critical process parameters; lack of automatic systems; no catch-pot system to intercept toxic by-products - instead they were vented directly to atmosphere when the bursting disc failed during overpressure.

No emergency response plan; indeed no safety management system.

Chernobyl (Ukraine), 1986

Factors that led to the accident:

The reactor design was flawed – there are inherently safer designs. There was also no trip system to prevent running at low outputs. There was an automatic shut-down system to insert all the control rods to shut down the reactor but this had been disabled.

Basic safety rules were not clearly stated (there should have been an instruction to forbid running at low output levels) and normal safety rules were not followed during the experiment. (It was important to keep the reactor output above a minimum of 20%, as below this it

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could become unstable. In the experiment, it went down to around 6% output.) Also, at least 30 control rods should always have been in place as a minimum – instead, all but six were removed. Protective systems were disabled – the automatic trip which would have shut down the reactor under fault conditions was isolated.

Poor safety culture – turning a blind eye to rule breaking, lack of proper authorisation of the experiments (at the appropriate management level), lack of inspection/regulation; culture of “sloppiness”.

Lack of proper planning of the experiment – in particular, consideration of how things might go wrong and their potential consequences.

Poor understanding of the consequences of their actions by the operators (e.g. they did not understand the importance of keeping a minimum number of control rods in place to control the reactor).

Three Mile Island (USA), 1979

Factors that led to the accident:

Operators were under considerable stress – many alarms were going. They had incorrectly diagnosed what they thought was the problem and stuck to a course of action, despite apparently overwhelming evidence to the contrary.

Operator training was inadequate. Operators of complex plant cannot just be given a series of instructions to follow. Things are bound to go wrong outside of this. They also need to understand the principles of the process, be trained in diagnosing problems (both foreseen and unforeseen) and in the use of diagnostic aids.

The crucial indicator (of the status of the pressure relief valve) was wrong. This did not look at the status of the relief valve directly – it should have done.

Bhopal (India), 1984

Factors that contributed to the accident:

The large inventory of the intermediate. This was unnecessary. It was not a raw material nor a product but an intermediate. It should

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not have been stockpiled but instead used in the next stage of the process as it was produced or at least kept to a minimum.

The plant was located next to a sizable population. A shanty town (temporary housing) had been allowed to grow up very close to the plant. This should not have been allowed - either by planning legislation or by Union Carbide buying and fencing off the surrounding land.

Protective systems were not kept in working order. Even if they had been working they are likely to have been inadequate to control a thermal runaway of this magnitude (but would certainly have reduced the effects).

No systematic study (such as HAZOP) undertaken to identify any suggested contamination routes (it is well known that water and MIC react together violently) and therefore implement measures to eliminate the likelihood of this happening.

Process parameter instrumentation was poorly maintained and unreliable - led to early signs of pressure/temperature increase being ignored.

There is some suggestion that managers and operators at the plant had insufficient experience and knowledge. The plant was a joint venture – part owned by Union Carbide and part owned locally.

Poor emergency planning.

IMPROVING INDIVIDUAL HUMAN RELIABILITY IN THE WORKPLACE Motivation and Reinforcement

Workplace Incentive Schemes

Provoke employees to work harder in order to receive a payment or benefit.

Reward Schemes

Reward given for improvement or a target reached.

Job Satisfaction

Factors which lead to job satisfaction (motivators).

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Factors which lead to an absence of dissatisfaction (hygiene factors).

Appraisal Schemes

Way of finding out what problems exist within a workplace and, give the opportunity for improvement.

Provide a measure of the safety culture.

More importantly, allow the employee to comment on progress and to voice opinions.

Importance of Interview and Selection

To get only those workers who will conform to safety standards.

On-the-Job Training

Provides trainees with experience which is a combination of work-based knowledge and the development of skills.

Off-the-Job Training

Lectures.

Seminars.

Programmed instruction.

ORGANISATIONAL FACTORS Effect of Organisational Factors on the Probability of Human Error

Inadequacies in Policy

Inefficient co-ordination of responsibilities.

Poor management of health and safety.

Information

Should be accurate and timely.

Design

To ensure a system works effectively.

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Implementation

Everyone involved must understand what their role is and how this integrates into the system.

Influence of Formal and Informal Groups Within an Organisation

Formal Groups

Formal organisations are established to achieve set goals, aims and objectives. They have clearly defined rules, structures and channels of communication. Examples of formal organisation are businesses, governments and international concerns.

Informal Groups

Within any organisation there is a 'grapevine'. This is usually very effective in passing gossip and information. Since the source is difficult to trace, the information might not be totally reliable. Superimpose on the formal organisational structure an informal structure of communication links and functional working groups. These cross all the barriers of management status and can be based on:

Family relationships.

Out-of-work activities.

Experience or expertise.

Peer Group Pressures and Norms

The word 'peer' means someone of the same level or rank as yourself.

Group Formation

People join groups with a similar outlook.

A lot of work situations involve group work or committees and discussion groups.

Group Reaction

The group tends to create rules, and arranges for division of labour.

In small groups, individuals can exert more influence.

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Group Development

Groups develop 'pecking orders' in terms of the amount of speech and influence permitted. Dominant individuals struggle for status and an order develops.

Group Control

A group will:

Establish standards of acceptable behaviour or group 'norms'.

Detect deviations from this standard.

Have power to demand conformity.

Types of Organisational Communication

Vertical

Vertical communication may flow upwards or downwards although the amount of communication downwards tends to exceed that going upwards.

Horizontal

Information is channelled horizontally, both within a department and between departments.

Inward

Outward

Procedures for Resolving Conflict and Introducing Change

Conflict can occur because of:

Personality clashes.

Poor communication.

Conflicting interests.

Lack of leadership and control.

Approaches to conflict:

Unitary approach – the common aims of the organisation generate team spirit, company loyalty, and good working conditions.

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Pluralist approach – the organisation is made up of various groups whose interests and goals may differ. Balance the various groups and bring causes of conflict into the open with bargaining.

Workplace Representation on Safety Committees

Items likely to be discussed at a safety committee meeting include Reports from safety representatives.

JOB FACTORS Effects of Patterns of Employment, Payment Systems and Shift Work

Short-term contracts may cause stress due to the lack of job security.

Permanent contracts may lead to complacency in the workforce.

Piecemeal workers are paid by performance and speed is of the essence, because the faster they work the more they get paid.

Shift workers may experience negative effects on their health.

Application of Task Analysis

A means of breaking down a task into each individual step.

By breaking the task down into each step, the cause of the injury may become apparent and it may identify a better way of completing the task.

Influence of Process and Equipment Design on Human Reliability

Grouping of displays.

Consistency in displays.

Relative positioning of control devices and displays.

Working space and environment.

Layout of controls, displays and seating for convenience of operation.

The Employee and the Workstation as a System

ENVIRONMENT

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Fumes/Gases Heat/Cold Glare/Darkness Vibration Noise

MAN

MACHINE

Display Bells Switches Dials Buzzers Knobs

Counters Hooters Levers Gauges Lights Pedals

Ergonomic Fit

Elementary Physiology and Anthropometry

Anthropometry - study of human measurements, such as shape, size, and range of joint movements.

Machine must be designed for the person.

Physiology - study of the calorific requirements of work (how much energy is needed).

A person must not be expected to do more than the human body is capable of.

Degradation of Human Performance Resulting from Poorly Designed Workstations

Unnatural posture.

Leaning forwards, causing neck and lower back problems.

Repetitive motions, requiring the operator to exert force or use some unnatural motion, can lead to upper limb disorders.

Ergonomically-Designed Control Systems – Examples of Applications

Production Process Control Panels

Operate the panel from a safe place.

Reach all the dials and switches easily.

Emergency controls clearly identifiable and easy to operate.

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Operator able to see the production area.

Crane Cab Controls

Controls in the cab within easy reach and permit ease and delicacy of control.

Driver has a satisfactory view of operations below.

Driver protected from the external environment.

Aircraft Cockpit

Interface easily with all the controls.

Controls/displays fitted in a logical way.

Safety-critical switches cannot be inadvertently operated.

Emergency controls clearly identifiable, easy to use and situated in a suitable location.

Pilot must be able to adjust position to obtain the best field of vision.

CNC Lathe

Operator can access the key pad or keyboard easily and can use keys comfortably.

Operator can adjust operating position.

Relationship Between Physical Stressors and Human Reliability

Physical stressors:

− Extremes of heat, humidity, noise, vibration, poor lighting, restricted workspace.

Has a negative effect and means that errors are more likely to occur.

Effects of Fatigue and Stress on Human Reliability

Stress can affect performance and an individual's ability to make decisions and work effectively.

Fatigue can lead to poorer performance on tasks requiring attention, decision-making or high levels of skill.

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COMPARATIVE GOVERNMENTAL AND SOCIO-LEGAL REGULATORY MODELS The Role, Function and Limitations of Legislation

Examples of legislation include:

Health and Safety at Work, etc. Act 1974 (United Kingdom)

Occupational Safety and Health Act 1970 (USA)

Work Environment Act 1977 (Sweden)

By defining minimum acceptable standards, legislation at least partly forces organisations to adopt good practice.

Legislation may be introduced that leads to criminal and/or civil consequences. A crime is an offence against the state and the consequence of a criminal action is the prosecution of the offender, which may lead to punishment, perhaps a fine or a prison sentence. In contrast, a civil action is concerned with an individual who has suffered some loss, such as being injured following a workplace accident. The aim is for the claimant (the one who has suffered the loss) to seek (usually) financial compensation from the defendant as a result of the wrongdoing.

There are, however, limitations to the legislative approach. There is little incentive for organisations to go beyond the minimum legal requirements.

If a government introduces legislation then there is a requirement for the legislation to be enforced. In addition, there must also be procedures for prosecution and punishment.

The Nature, Benefits and Limitations of ‘Goal-Setting’ and ‘Prescriptive’ Legal Models

Nature

Goal-setting legislation - sets an objective but leaves it to the dutyholder to decide on the best way of achieving the defined goal.

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Prescriptive legislation - defines the standard to be achieved in far more explicit terms.

Benefits and Limitations

Prescriptive legislation has clearly defined requirements. It is more easily understood by the dutyholder and enforced by the regulator and it provides a uniform standard.

However, inflexible circumstances may lead to an excessively high or low standard and it does not take account of the circumstances of the dutyholder.

Goal-setting legislation allows more flexibility in compliance because it is related to the actual risk present in the individual workplace.

However, it is difficult to enforce because what is “adequate” or “reasonably practicable” is much more subjective.

Legal Hierarchy of State and Federal Laws

A federal government is formed when a group of political units, such as states or provinces, merge together.

One of the difficulties in federal systems is to ensure uniform standards and regulation throughout the country. If each state can set their own standards then this will inevitably lead to inconsistencies.

In the USA, the Occupational Safety and Health Act 1970 was enacted at federal rather than state level and so the USA does not have significant problems with harmonisation of standards.

There have been many attempts to harmonise occupational health and safety standards in Australia.

Within Europe there have been moves to harmonise standards in different countries.

It is, however, recognised that there are a number of different legal systems within the EU. The EU issues directives which are “binding as to the result achieved upon each member state to which it is addressed, but shall leave to the national authorities the choice of form and methods”. This allows each member state to introduce its own legislation as long as it achieves the broad objectives contained within the directive.

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Loss Events in Terms of Failures in the Duty of Care to Protect Individuals and the Compensatory Mechanisms that May be Available to Them

There are a number of mechanisms that have evolved to provide compensation to the injured worker or to his or her dependants. Some require the person making the claim to prove that their accident or ill health was a result of the fault of another, such as their employer. This invariably means having to resort to litigation in the courts. Others do not require proof of fault (no fault liability).

Compensatory Schemes

No-Fault Compensation Scheme

There are two main categories:

Employers’ Schemes - Operated by insurance companies who are paid premiums by employers, and in many jurisdictions this is compulsory. USA and Australia.

Social Insurance Schemes - These schemes are administered by government and funded by compulsory contributions made by employers, employees or both, with possible further contributions made from general taxation. UK operates an Industrial Injuries Disablement Benefit Scheme. This is funded by National Insurance contributions.

Fault Compensation Scheme

Employers’ Liability

Most jurisdictions (including the USA, Australia and the UK) have legislation that makes an employer liable for injury or illness to a worker as a result of their occupation. This requires the injured employee (or dependants following a fatal outcome) to bring a civil action against the employer and the need to establish fault on the part of the employer or one of his or her employees. Virtually all cases are brought under the tort of negligence and the tort of breach of statutory duty.

For breach of statutory duty the claimant has to prove:

The statute places the obligation on the defendant.

The statutory duty was owed to that claimant.

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The injury was of a type contemplated by the statute.

The defendant was in breach of that duty.

The breach of statutory duty caused the injury.

For negligence the claimant must prove:

The defendant owed the claimant a duty of care; it is well established that an employer owes a duty of care to their employees and so if the defendant is an employer this element is unlikely to be contested.

The defendant was in breach of that duty - most negligence cases hinge on this point. The important point to note is that the standard required of the defendant is an objective one, i.e. it depends on the standard of care which would have been adopted by the reasonable man in the circumstances.

The claimant suffered damage as a result of the breach.

The harm was foreseeable.

Damages

Economic - represent actual monetary loss.

Non-economic - represent pain, suffering, and loss of companionship or amenity.

Damages may also be categorised as compensatory and punitive.

Compensatory Damages

Special Damages - relate to known expenditure up until the trial. They include:

− Loss of earnings due to the accident or ill health before the trial.

− Legal costs.

− Medical costs to date.

General Damages - include future expenditure and issues which cannot be precisely quantified. They include:

− Pain and suffering before and after the trial.

− Loss of quality of life.

− Reduced likelihood of being able to secure suitable employment.

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Punitive Damages

These are awarded to punish, to signify disapproval and to deter the defendant and others from carrying out similar conduct to that which harmed the claimant. Usually only awarded when the conduct of the defendant was particularly oppressive or where the defendant made a profit from the behaviour.

Mechanisms Used to Enforce Health and Safety Legislation

Typical Role and Function of Enforcement Agencies

It is necessary to have a government body that is responsible for regulating health and safety at work.

UK - the Health and Safety Executive (HSE).

USA - the Occupational Safety and Health Administration (OSHA).

The UK system will be used to illustrate the model.

Inspection and Investigation

Inspectors have extensive powers to carry out their duties.

Inspectors have a number of ways of encouraging dutyholders to comply with legal requirements. They provide advice and often refer to the vast amount of guidance literature that has been published by the HSE and other bodies.

Improvement Notices

An inspector can issue an improvement notice if he is of the opinion that a person:

− Is contravening one or more relevant statutory provisions; or

− Has contravened one of the provisions and it is likely that the contravention will continue or be repeated.

Prohibition Notices

An inspector can issue a prohibition notice if he is of the opinion that activities are being carried out, or are likely to be carried out, which involve a risk of serious personal injury.

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Criminal Action

The ultimate sanction is to prosecute. The usual penalty is a fine.

Corporate Probation

This is a feature of the USA and Canadian jurisdictions but is a relatively new provision in the UK.

Corporate probation is a supervision order imposed by the court on a company that has been convicted of a criminal offence. The order requires the directors and senior managers to alter the way occupational health and safety is managed so that the likelihood of similar accidents or ill health occurring is reduced. This might, for example, require the company to introduce new procedures or ensure employees are fully trained.

Adverse Publicity Orders

These are a feature of a number of jurisdictions including the USA, Australia and more recently the UK. They require the convicted organisation to publicise at their own expense the wrongdoing that led to the conviction. It is effectively “naming and shaming”.

Laws of Contract

Definition of Contract

An exchange of promises, i.e. an agreement between two or more parties which is enforceable in a court of law.

Business contracts are usually communicated and accepted in writing because it is much easier to prove that it has been created.

Principles of Typical Laws of Contract

If a contract is formed, then the parties who formed the contract are legally bound by the terms of the contract. This is called the binding nature of a contract. If, subsequently, one of the parties defaults on the contract then this would constitute a breach of contract. If the person who has caused the breach does not provide a remedy then the person who has suffered a loss as a result of the breach can bring a court action.

When an employer engages an employee a contract of employment is established. One of the implied terms of such a contract is that the employer will take reasonable care to ensure the health and safety of the

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employee. Similarly the employee is required to carry out his or her work with reasonable care and skill.

When articles and substances are manufactured then there may be a series of contracts established between the producer (or manufacturer) and the consumer (or end user).

It is commonplace for employers to engage contractors for short-term work, particularly in the construction industry.

ROLE AND LIMITATIONS OF THE INTERNATIONAL LABOUR ORGANISATION IN A GLOBAL HEALTH AND SAFETY SETTING Role and Status of Ratified International Conventions, Recommendations, Codes of Practice in Relation to Health and Safety

United Nations

The United Nations (UN) is an international organisation whose aims are to facilitate co-operation in international law, international security, economic development, social progress and human rights.

International Court of Justice

The International Court of Justice is the principal judicial organisation of the United Nations (UN).

The Court’s role is to resolve, in accordance with international law, legal disputes submitted to it by states and to give opinions on legal questions referred to it.

Office of the United Nations High Commissioner for Human Rights

The High Commissioner for Human Rights is the principal human rights official of the United Nations.

In respect of occupational health and safety, issues such as slavery, discrimination against women and the rights of migrant workers are of particular relevance.

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International Labour Organisation (ILO)

ILO Role and International Labour Conference

The International Labour Organisation (ILO) is an agency of the UN which is devoted to advancing opportunities for women and men to obtain decent and productive work in conditions of freedom, equity, security and human dignity. Its main aims are to promote rights at work, encourage decent employment opportunities, enhance social protection and strengthen dialogue in handling work-related issues.

The ILO is the only “tripartite” United Nations agency in that it brings together representatives of governments, employers and workers to jointly shape policies and programmes. The ILO is the global body responsible for drawing up and overseeing international labour standards. The ILO has more than 180 ILO Conventions and 190 Recommendations covering all aspects of the world of work. Nearly half of all ILO standards are concerned with health and safety matters.

ILO Conventions

The adoption of a convention by the International Labour Conference allows governments to ratify it, and when a specified number of governments have done so the convention becomes a treaty in international law. All adopted ILO conventions are considered international labour standards irrespective of how many governments have ratified them.

Ratification of a convention imposes a legal obligation to apply its provisions. However, it is voluntary for a country to ratify a convention. If a convention has not been ratified by member states then it has the same legal force as recommendations.

International Labour Conference Provisional Record 20A

Convention Concerning the Promotional Framework for Occupational Safety and Health, ILO, Geneva, 2006

(1) Each Member shall establish, maintain, progressively develop and periodically review a national system for occupational safety and health, in consultation with the most representative organisations of employers and workers.

(2) The national system for occupational safety and health shall include among others:

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(a) Laws and regulations, collective agreements where appropriate, and any other relevant instruments on occupational safety and health;

(b) an authority or body, or authorities or bodies, responsible for occupational safety and health, designated in accordance with national law and practice;

(c) mechanisms for ensuring compliance with national laws and regulations, including systems of inspection; and

(d) arrangements to promote, at the level of the undertaking, co-operation between management, workers and their representatives as an essential element of workplace-related prevention measures.

(3) The national system for occupational safety and health shall include, where appropriate:

(a) a national tripartite advisory body, or bodies, addressing occupational safety and health issues;

(b) information and advisory services on occupational safety and health;

(c) the provision of occupational safety and health training;

(d) occupational health services in accordance with national law and practice;

(e) research on occupational safety and health;

(f) a mechanism for the collection and analysis of data on occupational injuries and diseases, taking into account relevant ILO instruments;

(g) provisions for collaboration with relevant insurance or social security schemes covering occupational injuries and diseases; and

(h) support mechanisms for a progressive improvement of occupational safety and health conditions in micro-enterprises, in small and medium-sized enterprises and in the informal economy.

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ILO Recommendations

Recommendations are non-binding guidelines so are not ratified by member countries and do not have the binding force of conventions. Along with conventions, recommendations are drawn up by representatives of governments, employers and workers and are adopted at the ILO's annual International Labour Conference. One example is the Occupational Safety and Health Recommendation R164 1981.

ILO Codes of Practice

ILO Codes of Practice contain practical recommendations intended for all those with a responsibility for occupational safety and health in both the public and private sectors. Codes of Practice are not legally binding instruments and are not intended to replace the provisions of national laws or regulations, or accepted standards. They aim to serve as practical guides.

An example is the Code of Practice on Safety and Health in the Iron and Steel Industry (2005).

The member states of the ILO meet at the International Labour Conference, held every year. Each member state is represented by a delegation consisting of two government delegates, an employer delegate, a worker delegate, and their respective advisers. Every delegate has the same rights, and all can express themselves freely and vote as they wish.

Roles and Responsibilities of ‘National Governments’, ‘Enterprises’ and ‘Workers’ as Given in the Publication R164 Occupational Safety and Health Recommendation 1981

Key provisions:

National governments:

Issue or approve regulations, codes of practice on occupational safety and health and the working environment.

Review legislative enactments.

Undertake or promote studies and research.

Provide information and advice.

Provide specific measures to prevent catastrophes.

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Secure good liaison with the International Labour Occupational Safety and Health Hazard Alert System.

Provide appropriate measures for handicapped workers.

Enterprises:

To provide and maintain workplaces, machinery and equipment, and use work methods, which are as safe and without risk to health as is reasonably practicable.

To give necessary instructions and training.

To provide adequate supervision.

To institute organisational arrangements regarding occupational safety and health.

To provide, without any cost to the worker, adequate personal protective clothing and equipment.

To ensure that work organisation, particularly with respect to hours of work and rest breaks, does not adversely affect occupational safety and health.

To take all reasonably practicable measures with a view to eliminating excessive physical and mental fatigue.

To undertake studies and research or otherwise keep abreast of the scientific and technical knowledge.

Workers should:

Take reasonable care for their own safety and that of other persons who may be affected by their acts or omissions at work.

Comply with instructions given for their own safety and health and those of others and with safety and health procedures.

Use safety devices and protective equipment correctly and do not render them inoperative.

Report forthwith to their immediate supervisor any situation which they have reason to believe could present a hazard and which they cannot themselves correct.

Report any accident or injury to health which arises in the course of or in connection with work.

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How International Conventions Can be Used as a Basis for Setting National Systems of Health and Safety Legislation

In the UK the body responsible for establishing and enforcing health and safety standards is the Health and Safety Executive. It is committed to bringing conventions and recommendations before Parliament.

THE ROLE OF NON-GOVERNMENTAL BODIES AND SELF-REGULATION Relevant Influential Parties

Employer Bodies

These represent the interests of employers. In the UK the main body is the Confederation for British Industry (CBI). The CBI helps create and sustain the conditions in which businesses in the United Kingdom can compete and prosper for the benefit of all.

The CBI is the main lobbying organisation for UK business on national and international issues. It works with the UK government, international legislators and policymakers to help UK businesses compete more effectively.

Trade Associations

Trade associations are formed from a membership of companies who operate in a particular area of commerce and exist for their benefit. They can promote common interests and improvements in quality, health, safety, environmental and technical standards through the publication of guidelines, information notes, codes of practice, and regular briefing notes on technical issues and regulatory developments. Sharing of good practice can be facilitated.

Trade Unions

A trades union is an organisation of workers who have formed together to achieve common goals in key areas such as wages, hours, and working conditions.

In the UK, unions may appoint safety representatives from amongst the workers who may investigate accidents, conduct inspections and sit on a safety committee.

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Professional Groups

In the UK, the Institution of Occupational Safety and Health (IOSH) is the largest body for health and safety professionals. It is an independent, not-for-profit organisation that sets professional standards, supports and develops members and provides authoritative advice and guidance on health and safety issues. IOSH has increased its international presence in more recent years. It has local branches not only in the UK but also in the Middle East, Hong Kong and the Caribbean. IOSH is formally recognised by the ILO as an international non-governmental organisation.

Pressure Groups

A pressure group can be described as an organised group of people who have a common interest but unlike a political party do not put up candidates for election. However, they seek to influence government policy or legislation. They can also be described as ‘interest groups’, ‘lobby groups’ or ‘protest groups’.

Public

Individual members of the public can have little influence on the regulation of health and safety unless they can influence others and so form a body of opinion (e.g. a pressure group) that cannot be ignored.

The Importance of the Media in a Global Economy

In terms of occupational health and safety, here are some of the ways in which the media is used:

Making health and safety guidance easily accessible with minimal cost. Agencies such as OSHA (USA) and the HSE (UK) produce guidance for all categories of dutyholders in all types of employment. This is available in hard copy and more commonly in electronic format that can be downloaded. This allows dutyholders who have limited expertise to access relevant information and so comply with legal requirements.

Publicising good and bad health and safety performance, e.g TV and radio may publicise major accidents, prosecutions and public inquiries. Major disasters may be publicly discussed not only in the country in which they occurred but internationally, e.g. the Chernobyl disaster. Incidents with lesser consequences may be publicised within the area in which they occurred. Such publicity increases the awareness of

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occupational health and safety issues and reminds dutyholders of the possible consequences of failing to pay attention to these issues.

Assisting in educating members of the professional body and promoting good health and safety standards by publishing professional journals (e.g. Institution of Occupational safety and Health (UK)).

Enabling anyone with an Internet connection access to a huge range of information (good and bad) which would otherwise be much less accessible.

The media can be used to help change attitudes to occupational health and safety; examples of this include:

Making the public, and in particular dutyholders, aware of enforcement action such as prosecutions, convictions and civil actions, through the newspapers, TV/radio and the Internet.

Enforcement bodies making information on good health and safety practice easily accessible to dutyholders.

Companies publicising good health and safety performance to promote their services and to secure a competitive advantage by being seen as good employers.

Adverse Publicity Orders (see above) are a sanction that the courts may impose against organisations that fail to comply with legal requirements. They will have an adverse effect on the perceived reputation of the organisation.

The Benefits of Schemes Which Promote Co-Operation on Health and Safety Between Different Companies

In the UK a number of schemes have been established to encourage larger organisations to help smaller businesses and contractors with health and safety expertise. Small businesses do not have access to the same health and safety expertise, so if a large organisation can provide advice to a smaller one, then the smaller business will benefit and the larger organisation will be able to demonstrate its public responsibility.

Schemes have also been established between organisations of similar size. They might involve sharing expertise and equipment such as a noise meter. It is much less costly to share such resources and all members of the scheme will benefit.

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Supplier auditing is the process by which an organisation establishes that its existing and new suppliers meet their requirements. In the context of health and safety this would include ensuring that the quality of the products and services it supplies meets legal requirements and other standards. For example, this may include the company sending an auditor to a manufacturer of machines to ensure that it has adopted safe working practices and that the machines are constructed from suitable materials and meet designated safety standards.

Effects on Business of Adverse Stakeholder Reaction to Health and Safety Concerns

Following any adverse health and safety incident, such as an accident or case of occupational ill-health, there will be financial implications for the organisation.

Some of the losses can be relatively easily quantified, but there will be a range of indirect costs whose effect cannot easily be determined. One such effect is on the stakeholders of an organisation and include:

Employees who rely on the organisation for employment.

Other businesses including suppliers and contractors who trade with the organisation.

Businesses that benefit indirectly from the presence of an organisation, e.g. local shops.

Shareholders who own the organisation and wish to see their investment yield a satisfactory financial return.

Perrier Mineral Water Incident, 1990

It was declared that it was due to a bottle of cleaning fluid and was limited to the US. A few days later the real cause was shown to be failure to replace charcoal filters that were used to remove impurities. The misinformation provided by the company in the early days of the incident that led to the image that the water was unsafe.

The inconsistency in the messages provided by the company had a significant financial impact on the business.

Piper Alpha Disaster 1988

The initial explosion was caused by a failure to manage a maintenance operation. However, failings in design, communication and a lack of

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emergency preparedness caused the small explosion to escalate into much larger gas explosions that led to the loss of 167 lives and the rig.

This led to the owners of the rig, Occidental Petroleum, withdrawing their interests from the North Sea. The offshore industry’s image in general was damaged and resulted in the UK economy losing revenue.

The Origins and Meaning of ‘Self Regulation’

Self regulation is the process whereby an organisation monitors its own adherence to health and safety standards, rather than having an outside agency, such as a governmental body, monitoring and enforcing them. The benefit to the organisation is that it can set and maintain its own standards without external interference.

Self regulation of health and safety within a legal framework was one of the recommendations of the Robens Committee, which was established in 1970 in the UK to "review the provision made for the safety and health of persons in the course of their employment and to consider whether any changes are needed”.

The Robens report identified that the existing system relied too much on regulation by external government bodies with too little reliance on organisations establishing their own standards. A key recommendation in the report was that those who create the risks of occupational accidents and ill health should be responsible for regulating them. Future legislation should establish conditions for creating more effective self regulation rather than relying on more negative regulation by enforcement bodies.

The UK agency the Health and Safety Executive defined self regulation as "the purposeful creation and maintenance of standards of health and safety and the accordance of priorities commensurate with the risks generated by the activities of the organisation".

To achieve self regulation the Robens Committee recognised the importance of securing worker participation in the implementation and monitoring of health and safety arrangements. In many countries, including the UK, this is achieved through representatives of workplace safety (trade unionised or otherwise) and/or safety committees (which include worker representation).

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The Role and Function of Corporate Governance in a System of Self Regulation

Aside from external legislation which may dictate the conduct of the company, an organisation is to a certain extent self regulating; it sets many of its own objectives and standards and determines how it will achieve them. Corporate governance is the system by which organisations are directed and controlled by their board of directors and includes the making of broad strategic decisions which affect the direction of the organisation. It is on a higher level than management, which relates to the regular decisions and subsequent actions needed to effectively run the business. The board of an organisation, which comprises its directors, provides this governance which aims to create a successful organisation. Their area of control includes occupational health and safety as well as other corporate objectives such as being competitive and making a profit.

How Internal Rules and Procedures Regulate Health and Safety Performance

The worker must clearly understand and appreciate the need for the rules as well as have the competence to comply with them. The working conditions must encourage compliance.

For a rule to be effective it has to be enforced by the organisation. This may include routine day-to-day monitoring, formal inspections and randomspot checks. Failure to comply with internal rules may lead to sanctions.

How Non-Conformity to an Accredited Health and

ent

r monitoring, auditing

Safety Standard can be Used as a Form of EnforcemWithin a Self Regulatory Model

All safety management models include the capacity foand feedback which leads to continuous improvement.

If a system is established that responds quickly to failures then there will be substantial improvements in standards.

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PURPOSE OF PERFORMANCE MEASUREMENT Purposes of performance measurement include:

To assess the effectiveness and appropriateness of health and safety objectives.

To measure and reward success. Making recommendations for a review of current management

systems.

To maintain and improve health and safety performance.

Assessment of the Effectiveness and Appropriateness of Health and Safety Objectives and Arrangements

We must first have both something that can be measured, and some goal or standard against which to judge that measurement.

We need to set objectives in terms of things that can be measured.

An acronym for setting objectives is 'SMART'. Good objectives need to be:

Specific – as to what you want to achieve.

Measurable – so you know if they have been met.

Achievable - attainable.

Realistic – realistically achievable with the resources you have.

Timely – set a reasonable timescale to achieve them.

In many regions of the world there are legal standards for chemical contaminants and dust levels, and for noise. The exposure to some chemicals must be kept as low as possible, and must not exceed a certain level. The safety objective could be set lower than this standard. We then have an objective to aim for. If we achieve this consistently then an even lower standard can be set.

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It is possible to create standards with regard to training. Good practice dictates that certain jobs should only be performed by qualified or experienced workers. Refresher training and perhaps even re-testing can be used to make sure that practical skills are maintained.

Measuring Performance Against Objectives

When setting objectives, we have to consider performance standards and indicators.

Active systems which monitor the achievement of objectives and the extent of compliance with standards.

Reactive systems which monitor accidents, ill-health, incidents and other evidence of deficient health and safety performance, such as hazard reports.

The primary purpose should be to measure and reward success, not to penalise failure.

In active systems we would be interested in monitoring the safety of plant and equipment; compliance with safe systems of work; safe behaviour by employees.

In reactive monitoring we should be looking at accidents and accident rates.

Arrangements for Actioning Objectives

If something needs to be done, then it should be made the clear responsibility of an individual. There is then a standard to measure performance.

The “health and safety arrangements” section of a safety policy document usually includes systems, procedures, standards, etc., covering such topics as:

Accident reporting.

Fire precautions.

Training.

Contractors and visitor arrangements.

Dealing with any hazards in the operation (i.e. control measures).

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Safe methods of work and permit-to-work schemes would also be detailed. All these arrangements need to be assessed to make sure that they are (and continue to be) effective and appropriate and working as intended.

Control Measures

An assessment of the effectiveness and the appropriateness of the control measures of a company is another important area of performance measurement.

Measurement of the degree of control is by systematic reviews.

Supervisor daily assessment.

Sectional manager monthly review.

Quarterly review for a department.

Annual review for the organisation.

Review of Current Management Systems

Either we have achieved what we set out to do or we have failed. If we have failed we must find out why.

Were the objectives impracticable?

Were resources not available?

Was the safety practitioner incompetent?

Every element of the management system can be audited or examined in detail. We require a system which is continually being improved.

Review Process

Review is combined with audit procedures. The audit looks at all aspects of the system - policy, organisation, planning, implementation and systems for measuring and control.

The review would probably cover:

Assessment of degree of compliance with set standards.

Identification of areas where improvements are required.

Assessment of specific set objectives.

Analysis of accident and incident trends.

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MONITORING SYSTEMS Need for Both Active and Reactive Measures

Active systems - which monitor the achievement of objectives and the extent of compliance with standards.

Reactive systems - which monitor accidents, ill-health, incidents and other evidence of deficient health and safety performance, such as hazard reports.

Limitations of Accident and Ill-Health Data as a Performance Measure

Rare occurrences, therefore numbers may not be statistically significant.

Variations from year to year might be due to pure chance rather than any accident reduction measures that we have introduced.

Accident statistics tend to reflect the results of actions which were taken some time ago, so that there is not a rapid cause and effect situation.

Under-reporting of minor accidents.

Time off work does not correlate well with the severity of an injury.

Objectives of Monitoring

Objectives of Active Monitoring

Active monitoring checks that the health and safety plans have been implemented and to monitor the extent of compliance with:

The organisation's systems and procedures.

Legislation and technical standards.

By identifying non-compliances, steps can be taken to ensure that any weaknesses are addressed, thus maintaining the adequacy of the health and safety plans, and helping to avoid any incidents.

Objectives of Reactive Monitoring

To analyse data relating to:

Accidents.

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Ill-health situations.

Other loss-causing events.

Any other factors which degrade the system.

MONITORING AND MEASUREMENT TECHNIQUES Measurement Techniques

Health and Safety Audits

An in-depth, systematic, critical investigation into all aspects of safety.

Workplace Inspections

Walk the premises, looking for hazards or non-compliance with legislation, rules or safe practice.

Other Methods

Safety tours.

Safety sampling.

Safety surveys.

In-House and Proprietary Audit Systems

Types of Safety Audit

A detailed internal investigation of the safety systems and practices of the organisation.

An external safety audit, carried out by an outside organisation.

Use of Computer Technology to Assist with Data Storage and Analysis and Production of Reports

Availability and types of software.

In-house or proprietary.

Production of reports.

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Distinctions Between, and Applicability of, Performance Measures

Active

Before it happens.

Reactive

After it has happened.

Measuring safety performance by looking for things before they happen can never be easy. It puts the safety practitioner in the situation of making speculative predictions. However, this is what the law requires. We carry out risk assessments to decide what might happen and then take action. We can certainly measure whether we have taken action in those areas where the risk assessment suggests that we do. If an accident occurs then we can no longer suggest that this is improbable; it needs to be included in the risk assessments.

Objective - Detached from personal judgment.

Subjective - Depends upon someone's opinion.

Qualitative

− Data is not represented numerically.

− Difficult to treat as an accurate measure.

Quantitative - The data describes numbers, e.g. number of accidents reported.

Range of Measures Available to Evaluate Organisation's Performance

Performance measures can be used to give an accurate picture of how an organisation is performing with respect to health and safety. Selecting the appropriate outcome indicator depends on the chosen objectives, but below are listed a range of active and reactive outcome indicators relevant to a range of objectives.

Active Monitoring Data

The extent to which plans and objectives have been set and achieved, including:

Perceptions of management commitment.

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Specialist staff.

Risk assessments.

Safety policy.

Extent of compliance.

Training.

Health and safety committee meetings.

Reactive Monitoring Data

Unsafe acts.

Unsafe conditions.

Near misses.

Damage-only accidents.

Reportable dangerous occurrences.

Lost-time accidents.

Three-day, lost-time accidents.

Reportable major injuries.

Sickness absences.

Complaints.

Criticisms from regulatory agency staff.

Regulatory agency enforcement actions.

Comparisons of Performance Data

Previous Performance

Compare present performance data with that obtained previously to show overall trend.

Performance of Similar Organisations/Industry Sectors

Compare the performances of your company with others (benchmark).

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National and International Performance Data

Performance data produced by national enforcement agencies and also by international organisations (such as the World Health Organisation). Can be useful in gauging where you are as a company.

PRESENTING AND COMMUNICATING FINDINGS Reporting Techniques

Textual: by means of a written report.

Graphical: tables, pie charts, line graphs, bar charts and histograms.

Recommendations

Important part of the report.

Content tells what actions are required.

It is important that the style is clear, concise and easy to understand.

Documents

Unit IA Revision Notes