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In accordance with The Health & Safety at Work an organisation with Key elements of a health & safety management

y management system
5 or more employees must have a written policy. It should contain
three individual sections:
•Statement of Intent – What we intend to achieve
•Organisational Responsibilities – Who is responsible
•Arrangements for Implementation – How it will be done

Management Systems

This is a tool that helps organisations achieve compliance and

manage risks. Recognised systems ensure smooth operation and also
provide auditable control of any process. Examples are:
•Health & Safety (HSG65, OHSAS 18001)
•Quality (ISO 900, 9001 etc)
•Environmental (ISO 14001)
•Security, Energy

Key elements of a health & safety management system

•Policy – setting clear aims, objectives, state management intentions, lay OHSAS 18001
down criteria, principles for action and response.
•Organisation – Ensure adequate control of H&S activities, allocate
responsibilities, ensure staff competence, effective communication,
cooperation between management and employees.
•Planning and Implementation – Identify hazards, assess risks, introduce
controls, SSOW and documentation to reduce risks.
•Measuring Performance – Measuring performance provides an
opportunity to see where achievements have been made, and also identify
areas of weakness or failure. This can be using reactive (accident stats etc)
or proactive (inspections etc).
•Review – evaluating performance, trends, set remedial actions and set
•Audit – This can be independent audit of the whole system and ensure
compliance to legislation. The actions can then be noted and acted against
to improve standards or procedures where there are weaknesses.
Health & Safety Management Health & Safety Management
System System
Policy - HSG65 Model Policy 1
Health & Safety Management
Health & Safety Management
Policy – Key elements of a H&S
Policy – OHSAS 18001 Model
Management System
Policy – H&S Arrangements
Policy – Statement of Intent This is where procedures are detailed for implementing the policy. This is imperative to
monitor compliance and setting objectives and how these arrangements are communicated
to the workforce. This should include:
The policy forms the commitment from management that •Risk assessments – when they are done, forms, who carries them out, review period.
H&S is taken seriously and offer a measure of performance •H&S Training – Identifying needs, induction training, frequency of refresher training.
Specific needs such as fork lift truck licenses etc.
as well as compliance with legal requirements. •Monitoring H&S performance – regular inspections, investigating accidents, incidents,
audits, who should be responsible.
•Contractor selection and management – how competency is assessed, who appoints them,
The policy statement is signed by the most senior person how assessment is recorded, control of contractors.
•Communication / consultation with employees.
on site, and should be dated to ensure a review period is •SSOW / Permit to Work – who is responsible, how SSOW are documented and
set. This is usually annually but may be more often should communicated to staff, tasks that require permits, training.
•Disciplinary procedures.
certain changes occur such as a change of CEO / GM, a •Emergency Procedures – actions to take, procedures such as fire, first aid, major disasters
restructure, or where new changes to legislation or working etc.
•Accident investigation – who accidents are reported to, records to be kept etc.
practice dictate a review of the statement of intent. •PPE – Storage, use and maintenance of PPE
•First aid – arrangements, who first aiders are, contacts, supplies etc.
•Visitor Safety – Control of visitors
•Welfare facilities – arrangements in place / Environmental controls – Waste etc

Policy – Organisational Responsibilities

Policy – Review
This defines how H&S is organised. It defines roles and responsibilities for
each area. Often this supported by an organisational chart. Such positions The policy must be reviewed on a regular basis so it is up to
may be date and relevant. Reasons for review may include change
•Directors – required to set general policy and objectives and make sure
adequate resources are available. in management, accidents where findings indicate a need
•Middle manager – may be required to implement policy in their area of for a change of procedure or system of work, moving
responsibility, or carry out risk assessments. premises, authority findings or audit findings.
•Supervisors – May be required to check day to day compliance.
•Competent Persons / Safety advisors – have specific responsibilities on
advising the company on H&S matters. The policy must also be communicated to all employees to
•Safety representatives – representing the workforce in relation to H&S. ensure everyone is aware of it by either posting the
•Employees – acting responsibly for themselves and others. statement on notice boards or issuing to each employee or
•First Aiders
•Fire Marshals
making them aware of its location through mail etc.
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Policy – H&S Arrangements Policy – Statement of Intent
Health & Safety Management
Health & Safety Management
Policy – Organisational
Policy – Policy Review
Policy – Communication of Health & Safety Policy Organisation – Roles and responsibilities – Directors

Examples of how the policy can be communicated are: It is good practice for directors to have overall responsibility for health and safety,
•Issue a hard copy to each individual employee, and obtain a and to show the collective director responsibilities as well as their own individual
signature of receipt. responsibilities to provide health and safety leadership within the organisation.
•E-mail a copy to all employees and add a read receipt. Directors must ensure that board decisions reflect their health and safety
•Training courses (good practice to include the policy in every training intentions and recognise their role in engaging the active participation of the
course). workers in improving health & safety standards.
•Display the policy on notice boards or the intranet.
•Employee handbooks if used. As a board member, directors will need to ensure that any health & safety failures
are clearly communicated at board level and that any investigation findings are also
Other interested parties may be: brought to this forum.
•Contractors Directors have responsibility under section 37 of the HSWA 1974 ‘Where an
•Enforcing Authorities offence is committed by the body corporate and is attributable to any neglect,
•Clients / Customers consent or connivance of a director or senior manager, then that person may also
be prosecuted’.

Organisation – Legal and organisational roles and responsibilities

Every organisation has to ensure that it clearly defines safety roles and Organisation – Roles and responsibilities – Senior Managers
responsibilities across the workforce. The responsibilities will need to
Senior Managers can demonstrate commitment to health & safety by:
include provisions for anyone affected by the activities of the organisation. •Ensuring adequate resources for health and safety
Managers and individuals must know what they are responsible for in order •Defining roles and responsibilities of all staff.
to fulfil their duties and only then will it be possible to measure these •Appointing a member of senior management with specific responsibility for health
individuals against their responsibilities. and safety.
•Appointing one or more competent persons to advise on health and safety.
This can be achieved by a combination of the following: •Conducting regular reviews of health and safety performance.
•Job descriptions (including health & safety responsibility) This commitment can be further reinforced by senior managers setting the right
•Appraisal systems example. For instance:
•Arrangements for dealing with poor performance •Wearing PPE when necessary
•Following marked walkways
•Disciplinary procedures.
•Participation in safety inspections
•Participations in safety meetings
In terms of organisational requirements, every level of employee should •Initiating and being personally involved in any health and safety training.
have defined responsibilities including, directors, senior managers, line
manager / supervisors, employees, H&S manager / advisor.
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Organisation – Roles and Policy – Communication of Health
Responsibilities - Directors & Safety Policy
Health & Safety Management
Health & Safety Management
Organising – Legal and
Organisation – Roles and
Organisational Roles and
Responsibilities – Senior Managers
Organisation – Health & Safety Culture
Organisation – Roles and Responsibilities - Employees
Tangible outputs or Indicators of an organisations health and safety culture.
•Accident Rate – A high number can indicate poor safety, whereas a low number
Employees should be given responsibility to report any shortcomings can mean accidents are not being reported.
within the organisations health & safety arrangements and report •Absenteeism and Sickness Rates – Excessive rates of sickness or absence can
immediately any unsafe acts or conditions. indicate a poor culture or unsafe environment of an organisation.
•Staff turnover – High staff turnover is unsettling and can slow production down as
new recruits learn the job. It can indicate a poor working environment if staff do
Employees should be instructed that they have a duty to work in not wish to stay at an organisation for long.
accordance with the organisations health and safety arrangements •Level of health & safety compliance – the level of compliance directly correlates
and should not endanger anyone they are working with or around by with the attitudes displayed within the H&S culture. Senior management can
unsafe behaviour. support this. Any decrease in compliance will impact the culture.
•Complaints about working conditions – Complaints about working conditions can
indicate a positive culture because the workforce actively tries to bring about
These requirements are set out in sections 7 and 8 of the HSWA 1974 change. It can be negative if complaints are not followed up or no feedback is
and regulation 14 of the MHSWR 1999. given, or could be used by the workforce as a reason not to work safely because the
work condition indicate as such.

Organisation - Health and Safety Culture Organisation – Factors promoting a negative health and safety culture

There are certain factors that will influence the health & safety culture of an
Definition of a health and safety culture: “A system of shared values and
organisation in a negative way. These include:
beliefs about the important of health and safety in the workplace”. •Lack of effective communication and /or consultation.
•A blame culture
In health and safety guidance (HSG65), the four C’s of a positive health and •Lack of leadership and commitment at senior level.
safety culture are defined as: •Loss of key personnel.
•Competence – Competence of individuals with relevant skills, knowledge, •Health and safety being put second to production / quality
ability, training and experience. •Setting unrealistic / unachievable targets.
•Control – Method of control within the organisation, e.g. Supervision, •Lack of monitoring / enforcement
monitoring, enforcement. •Poor working environment / conditions.
•High staff turnover
•Communication – Method of communication throughout the organisation,
•External influences e.g. economy / unemployment
e.g. posters, DVD’s e-mail, notice boards etc.
•Cooperation – means of securing cooperation between individuals, safety •Redundancy
representatives and groups, e.g. safety committee meetings etc. •Influence of peers
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Organisation – Health & Safety
Organisation – Roles and
Culture – Tangible Outputs and
Responsibilities - Employees
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System System
Organisation – Factors Promoting Organising – Health and Safety
a Negative Health & Safety Culture Culture
Organisation – Job / Task Factors

Organisation – Factors Influencing Safety Related Behaviour Task Demands – Unachievable targets can lead to mistakes, pressure and could
lead to an accident. If high levels of alertness are required for long periods or the
tasks are monotonous this can lead to fatigue and could cause accidents.
Disturbance / Interruptions – Being disturbed or interrupted can distract us from
what we are doing or we may miss vital information. Constant interruptions can
cause a lot of frustration and lead to mistakes.
Bonus Systems – These can lead to mistakes being made or accidents not being
reported correctly.
Environment – Suitable lighting and temperature makes a work environment more
pleasant to work in. Poor lighting, extremes of temperature, an unclean work area
can lead to poor safety culture, or least to occupational illnesses, or more
Displays and Controls – Displays and controls should be arranged in order relevant
to the operation required. They should be easy to see, reach and operate in a
logical manner. They should also be consistent such as red for stop, green for start.
Procedures – Procedures need to be: current and up to date, supported by training,
use familiar language, identify hazards and precautions, be in a suitable format, be
accessible, use consistent terminology.

Organisation – Individual Factors Organisation – Organisational Factors

There are several organisational factors that can influence safety behaviour. These
The HSE recognises the importance that human factors can play in helping avoid include:
accidents in the workplace. Some areas are: Health & Safety Culture - The culture or an organisation directory influences safety
Competence – Competence is generally considered to be a combination of skills, behaviour, so a negative culture will be less likely to have diligent attitudes to
knowledge, ability, training and experience relevant to the role. safety.
Personality – Personality can be defined as “a dynamic and organised set of Management Commitment – Leadership displayed by management impacts
characteristics possessed by a person that uniquely influences their cognitive, behaviour. If a manager is diligent, his reports are likely to follow the example.
motivations and behaviours in various situations. Resources allocated -Sufficient resource should be provided for the size and scope
Attitude – Attitude can be defined as “A feeling or opinion about someone or of the organisation. Not enough resources will impact negatively.
something, or way of behaving because of this”. Work Patterns – Shift patterns can have a negative effect. Working at night or
Risk Perception – Perception can be defined as “An awareness of risk, based on outside of normal hours can affect behaviour.
what is taken in through the senses and previous experiences” Communication – this is key to good safety. Key messages must be delivered to the
Motivation – Motivation can be defined as “A person’s reason for doing right people, or this can lead to accidents or not enable individuals to make the
something”. Motivations can be appetitive (towards something we want) or right decisions.
aversive (away from something we don’t want). Training – Training can help ensure competence, and different levels of training
Age and Experience – This can be both negative and positive for young and older may be required for different people or groups depending on the task. It helps keep
workers who can be inexperienced or complacent towards tasks and safety. skills fresh which decreases the risk of mistakes or accidents.
Other Factors – Sensory defects, drugs, alcohol, physical disability / capability, Supervision – Supervision of the workforce ensures that activities are carried out in
aptitude, stress, fatigue. accordance with work instruction and training.
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Organisation – Factors Influencing Organisation – Factors Influencing
Behaviour – Job / Task Factors Safety Related Behaviour
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Organisation – Factors Influencing Organising – Factors Influencing
Behaviour – Organisational Factors Behaviour - Individual
Organisation – Communication
Organisation – Consultation with Employees
Communication is important for all organisations for all information, not just
information coming into the organisation but going out also. There are different
types of communication – written, verbal or graphic. Employers have a legal obligation to consult with
Verbal Communication – This includes discussion, speeches, presentations and employees on matters of health & safety. This is covered by
interpersonal communication. Language, distractions, tone and body language can
all influence verbal communication. two separate pieces of legislation:
Written Communication – This includes letters, memos, emails. Care needs to be Unionised workplaces must comply with the Safety
taken with language, jargon, tone or overloading with information or making the
message too complex. Representatives and Safety Committees Regulations 1977.
Graphic Communication – This includes drawings, sketches, pictures, photographs. Non-unionised workplaces must comply and refer to the
These can help enhance the message you need to get across. Health and safety (Consultation with Employees)
Things to bear in mind – keep language clear and without jargon, so it may be
understood, ensure there are no distractions if messages are delivered verbally, Regulations 1996.
ensure body language is positive, attitude to delivery the message is enthusiastic Consultation is a two way process – consulting meaning to
and positive, and be aware of people who may have sensory defects such as
hearing or sight impairment. ‘seek information or advice from’, and ‘seek permission or
Types of communication could be, films, DVD’s, posters, toolbox talks, letters, approval from’.
email, handbooks, intranet, training, newsletter.

Organisation – Safety Representatives and Safety Committees Regulations 1977

Organisation – Information, Instruction and Training Scope – regulations apply to unionised workplaces, the recognised trade union
may appoint safety representatives from among the employees and notify the
There are legal requirements under section 2(2) of the HSWA 1974 to provide employer in writing, safety representatives ideally should have two years service.
health & safety training to employees, and regulation 13 of the MHSWR. Effective There are no actual defined duties of a safety representative included in the regs,
training can improve reliability and improve a persons perception of risk and however there are specific functions. These include:
hazards, and can improve skills which can improve morale, attitude and •Representing employees in consultation with employer.
competence. •Investigating hazards and dangerous occurrences and accidents.
Possibly the most important is induction training. Some items that should be •Investigating employees complaints relating to health and safety.
covered are: Content of the H&S policy, line management, specific hazards / risks •Carrying out inspections in the workplace.
an control measures, local safety procedures and rules, employees responsibilities •Representing employees in consultation with inspectors.
under health and safety law, consultation procedures for who the site safety reps •Attending safety committee meetings.
are and arrangements for the health & safety committee, accident reporting An appointed representative is entitled to the following as part of their role:
procedures and arrangements, health surveillance if required, welfare facilities and Time off with pay to carry out their duties, health & safety training, reasonable
emergency procedures. facilities, if 2 or more reps request a safety committee, the employer must establish
Additional training may be required or refreshed if: new processes are introduced, one within 3 months.
job change, new legislation, accident trend, risk assessment, refreshers that are A rep may inspect the workplace: every 3 months, following a change in work
needed, staff appraisals, counteract complacency. conditions, when new information is available from HSE, following a notifiable
accident, disease or danger occurrence.
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Organisation – Safety
Organisation – Improving Health &
Representative and Safety
Safety Behaviour - Communication
Committee Regulations 1977
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Organisation – Factors Influencing Organising – Information,
Behaviour – Organisational Factors Instruction and Training
Organisation – Safety Representatives

Organisation – Health and Safety (Consultation with Employees) The number of employee representatives that an employer has depends on a number of
Regulationss 1996
•Size of the workplace and number of locations.
•Total number of employees.
Scope: Employer can choose whether to consult directly (small •Type of work and risks involved.
•Variety of occupations at the workplace.
companies) or through an elected Representative of Employee Safety
•Operation of shift patterns.
(RoES). •Areas which might not be covered by Trade Union (TU) Consultation.
The functions of a non-unionised safety representative role are Consultation should happen when measures are introduced affecting employee health and
safety. It is expected that employees should be made aware of:
similar to the union safety rep, but with the following exceptions:
•Any arrangements / measures at the workplace which may substantially affect their health
Non-unionised Safety Representatives are NOT entitles to: and safety.
•Inspect the workplace •Information from risk assessments and / or control measures.
•Arrangements for appointing a competent person to assist in complying with health and
•Investigate accidents
safety arrangements.
•Attend safety committee meetings. •Introduction of new technology / materials.
The employer does not have to disclose information if: it violates a legal prohibition,
endanger national security, individual who has not given consent, could commercially
damage the business, obtained in connection with legal proceedings.

Organisation – Importance of Developing Emergency Procedures

Organisation – Safety Committees
Regulations 8 & 9 of the MHSWR require the employer to make suitable
When an organisation is required, or decides to form a committee, it must arrangements for emergency situations (Serious & Imminent Danger and Contact
make certain that there is a clear agenda, and equal representation across the with Emergency Services).
workforce. To be representative, the committee should have a balance Appropriate plans should be in place for:
•Major Accidents / Dangerous Occurrences
between management and employees.
•Gas / Dust Explosion
•Chemical release or spills
The functions of a committee meeting might include: Study accident / ill health
•Security / intruder alert / terrorism
/ near miss reports, examine health and safety audit and inspection reports, •Bomb / explosive device.
consider reports from enforcing authorities, monitor and review the •Flood
effectiveness of health and safety training and communication, new legislation, •Vehicle crash
new processes or equipment, changes in H&S documentation, training •Disease / epidemic outbreak
requirements, communications. •Environmental damage
•Severe weather conditions (e.g. floods).
To be effective, there should be: terms of references / objectives, backing of Emergency procedures ensure that businesses have continuity in the event of an
the board, regular meetings, nominated chairperson, agenda set out in incident, and ensure legal compliance. There must also be plans in place to
advance. summon emergency assistance and it must be communicated to the workforce.
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Organisation – Health and Safety
Organisation – Safety
(Consultation with Employees)
Regulation 1996
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Organisation – Importance of Organising – Safety Committees
Developing Emergency Procedures Cont’d
Planning – Setting Objectives
Organisation – First Aid Arrangements
Effective planning is concerned with prevention of accidents and ill health through
The two main functions of first aid are: the preservation of life and / identifying, eliminating and controlling hazards and risks. When planning for health and
safety there are three key questions that need to be addressed:
or minimising the effects of the injury until help arrives, and
•Where are we now?
treatment of minor injuries that would not receive or do not need •Where do we want to be?
medical attention. •How do we get there?
Targets should be set to demonstrate management commitment and to prioritise health &
According to the Health & Safety (First Aid) Regulations 1981, an
safety issues. Targets can also motivate staff and encourage ownership giving them
employer must make an assessment of first aid provision to ensure something to aim for. Any objectives should be SMART objectives which stands for:
they have adequate facilities, equipment and personnel.
The arrangements for first aid must be communicated to employees. Specific
Consideration must be given to: hazards associated with the work, Measureable
level of risk, accident stats, number of employees, vulnerable groups Achievable
such as young people or disabled, geographic spread of the Reasonable / Realistic
workforce, shifts and work patterns, distance to services, remote, Time Bound
lone or travelling employees, employees at other sites and members
Objectives need to be smart. E.g. reducing manual handling injuries by 50% over 3 years is
of the public. SMART. Setting zero accidents is not.

Planning – Risk Assessment

Organisation – First Aid Arrangements Cont’d
There is a legal requirement for organisation to complete risk assessments.
The requirement for first aid provision is a legal requirement, but the scope of Regulation 3 of the MHSWR places this requirement on employers. It states:
provision is not as each workplace is different. The facilities may also depend •There is a legal duty on employers to carry out risk assessments
but should include where appropriate: •A written record must be maintained if there are 5 or more employees
First aid room, suitable lighting, heating and ventilation, chair or bed, sink, soap •There must be a regular review.
and drying facilities, clinical waste bin, accident book, phone, and signage. •Risk Assessments must be suitable and sufficient.
First aid kits have minimum requirements for their contents, and should include
plasters, eyes pads, triangular bandages, large and medium dressings, safety The objectives of a risk assessment are two-fold:
pins, wipes, shears, gloves, eye wash and advice leaflet. •To identify hazards faced by an organisation and evaluate how risk each hazard is.
Appointed Person – this person must take charge of health & safety •To decide if enough is being done about the hazards or if further action is
arrangements, look after equipment / facilities and call the emergency services necessary.
when required, and may provide emergency cover when first aiders are absent Morally it is not acceptable for an organisation to expect their workforce to risk life
due to unforeseen circumstances and do not have to be trained. and limb in the pursuit of profit. This can cause bad publicity, accidents, loss of
First Aider – is someone who has undertaken training and has an approved orders, difficulty if recruiting, or even prosecution ,
From an economical point of view, it is bad business to have accidents with costs of
qualification in either; First aid At Work, or Emergency First Aid at Work. There
down time, loss of earnings, replacement labour, investigations, defences against
should be at least one first aider per 50 employees, depending on the risk.
prosecutions, person injury claims and impact on insurances.
Health & Safety Management
Health & Safety Management
Organisation – First Aid
Planning – Setting Objectives
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Planning – Risk Assessment - Organising – First Aid
Objectives Arrangements Cont’d
Planning – Birds Triangle
Planning - Risk Assessment – Hazard and Risk
Organisations should consider many different types of incident when assessing the risks
posed by known hazards. Specific attention should be paid to more minor incidents and near
Definition of Hazard is “A hazard is something that has the potential to misses as they alert the organisation to the potential of more serious injury or harm.
cause harm”
Typical examples of hazards include:
•Physical – noise, vibration, electricity.
•Chemical – asbestos, toxins, carcinogens
•Biological – hepatitis, HIV, leptospirosis (also known as Weil’s disease)
•Psychological – stress, verbal abuse

The definition of risk is “the likelihood of harm resulting from the hazard”.
Risk is a calculation of how likely an event is to happen, and if it does
happen, how severe the outcomes are likely to be. Essentially this is
calculated as:

Risk = Probability x Severity

Planning – Risk Assessors / Risk Assessments

Planning – Different Types of Incident
Risk Assessors must be competent with adequate skills, knowledge, ability, training
There are different types of incident, other than an accident, and these are and experience. Ideally risk assessments should be carried out by people who are
listed below: familiar with the work.
Ill Health – In terms of health and safety, ill health refers to an illness that has The assessor should be able to:
developed as a result of exposure to something within the workplace. An •Identify hazards and assess risks
example of ill health is asbestosis, a disease contracted due to inhalation of •Use additional sources of information as appropriate
asbestos fibres. It also covers issues such as stress or depression. •Draw valid and reliable conclusions from assessments and identify steps to reduce
Injury – Injury describes the outcomes of incidents that result in harm. risks
Accident – An accident is best described as an unplanned and undesired event •Make clear record of the assessment and communicate the findings.
which results in harm to a person or damage to property. •Recognise their limitations and call on further expertise when necessary.
Near miss – An unplanned and undesired event which, under slightly different Criteria for a suitable and sufficient risk assessment:
circumstance, could have resulted in harm to people or damage to property. •Identify the significant risks and ignore the trivial details that will not result in
Dangerous Occurrence – Dangerous occurrences are event that, had the inputs harm.
been different, could have resulted in a major incident. They are specified types •Allow the employer to identify and prioritise control measures.
•Identify those who might be affected and should be appropriate to the nature of
of near misses that have to be reported under RIDDOR.
the work.
Damage Only Accident – Damage only event are when no-one is injured but
•Identify a time period during which it is likely to remain valid and identify
there may have been damage to the building, plant, equipment or materials.
additional controls in order that priorities can be set against them.
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Planning - Risk Assessment –
Planning – Birds Triangle
Hazard and Risk
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Planning – Risk Assessment – Risk
Planning – Types of Incident
Planning - Principles of Risk Assessment Planning – Risk Assessment – Categories of Accidents as Causes of Injuries / Health Related
Accidents are categorised by cause of injury. Examples of these are:
•Slips / Trips / Falls
The HSE recommends the 5 step approach to risk assessments: •Falls from height
•Flying / Falling objects
•Collision with objects
•Trapping / Crushing under or between objects.
•Manual handling
•Contact with machinery / hand tools
•Contact with Chemicals
•Asphyxiation / Drowning
•Fire and Explosion
These categories can also help with hazard identification. Walking round the workplace you could
ask ‘Are there any objects that could fall, working from height etc’.
Categories or Health Related Hazards:
•Chemical – toxic or harmful substances
•Biological – leptospirosis, legionella
•Physical – noise or vibration
•Psychological - stress

Planning – Risk Assessment – Identifying the Hazards

There are a number of methods available to ensure that hazards can be

Planning – Risk Assessments – Decide Who can be harmed.
•Walk round the workplace and look what could cause harm. When considering the identification of those people at risk, the
•Taking to employees. employer is expected to look beyond considering just their
•Referring to manufacturer’s instructions. workforce. Anyone may be affected. These populations should
•Previous accidents and incidents. include:
•Reference to Legislation •Young workers, trainees, new and expectant mothers, who may be
•External references such as accidents in similar organisations or industry
knowledge, or articles in professional body publications.
at particular risk.
A detailed examination of specific tasks can be used to develop control •Maintenance and cleaning staff.
measures, using a Job Safety Analysis (JSA) or Task Analysis involving: •Contractors
•Selecting the job to be analysed •Visitors
•Recording the steps in the process of that job. •Members of the public
•Examining the component parts of that job. •Trespassers (if it is a risk that a trespasser may enter)
•Developing control measures. •Neighbours (if there is a change they could be affected)
•Installing the safe system.
•Maintaining and monitoring the safe system.
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Planning – Risk Assessment –
Planning – 5 Step Risk Assessment
Types of Accident and Ill health
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System System
Planning – Risk Assessment – Planning – Risk Assessment,
Decide Who Might be Harmed Identifying the Hazards
Planning – Risk Assessment – Risk Assessment Grid
Planning - Evaluating Risk and Adequacy of Controls

Risk assessments should focus on significant risks. Each hazard should be

considered for what harm it could cause. Existing controls for each hazard must be
evaluated to check their adequacy. Once this is done, the residual risk can be
decided whether it is high, medium or low. Legislation also needs to be checked to
ensure there is nothing stipulated such as providing hearing protection in an
environment where noise levels may get to or exceed 85db.

The hierarchy of control must be considered:

•Eliminate – We should always first seek to eliminate the risks where possible.
•Reduce – Reducing the amount of the hazard or the exposure can help control the
•Isolate – Isolating the hazard to prevent contact.
•Control – Control such as SSOW and permits to work are means of control.
•PPE – The supply of PPE should be a last resort when all other risk control have
been considered.
•Discipline – Installing discipline into the workforce through the use of supervision
and, where necessary, having the means to discipline employees.

Planning – Risk Assessment – Scoring a Risk Assessment

Planning – Risk Assessments – Recording Significant Findings
When a scoring system is used to calculate a risk in a risk assessment, this is
referred to as a semi-quantitative RA. This is often done as a five by five If an organisation employs more than 5 people, the record of significant
calculation. findings of the RA must legally be in writing.
This includes the hazards present and the conclusions which details the
Likelihood: required controls and how the hazard are to be mitigated. Organisations
1 – Almost Impossible need to show that these have been communicated to employees, proper
2 – Unlikely checks have been made and that those who might be affected were
3 – Possible
consulted. The RA should also show that any significant hazards have been
4 – Likely
controlled and in conjunction with how many are affected. They should
5 – Almost Certain
indicate the controls are reasonable and that any remaining risk (residual
Severity risk) is low or as low as reasonable practicable.
1 – Insignificant (no injury) The term ‘low as reasonably practicable’ should encourage you to consider
2 – Minor (injuries requiring first aid only) the benefits of reducing a risk again the costs involved (time, money and
3 – Over 7 days absence effort). It must demonstrate the cost involved in reducing the risk further is
4 – Major (more than 7 days absence) appropriate to the benefits gained.
5 - Fatality
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Planning – Risk Assessment –
Planning – Risk Assessment – Risk
Evaluating Risks and Adequacy of
Assessment Grid
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Planning – Risk Assessment – Planning – Risk Assessment –
Recording Significant Findings Scoring a Risk Assessment
Planning - Risk Assessment - Review Planning – Risk Assessment – Young Persons
In the MHSWR, it states:
It is good practice to review risk assessments after a period of time, to ensure they •In reviewing or making the assessment, an employer who employs or is to employ a
remain up to date and that the control measures in place are effective. This may be a young person must take account of:
yearly review but there may be other reasons which trigger a review: •Inexperience, lack of awareness of risks and immaturity of young people.
•Accident / Near Miss / Ill Health – It is common after an incident to review the RA’s •The fitting out and layout of the workplace and the workstation.
relating to the task or activity. •The nature, degree and duration of exposure to physical, biological and chemical
•Enforcement action – This maybe the HSE or LA ad may identify RA’s do not comply agents.
with legislative requirements. •The form, range, and use of work equipment and the way it is handled.
•Change to process, work methods or materials – When the process, work methods or •The organisation of processes and activities.
materials change significantly, the risk assessment associated should be reviewed. •The extent of the H&S training provided or to be provided.
•New Technology / plant changes – Keeping up with technological advances is good. •Risks from agents, processes and work listed in the ANNEX to Council Directive
New technology should always be considered and invested in and should indicate a RA 94/33/EC on the protection of young persons.
review. It is also important to recognise that young people should not be employed if the work
•Changes in legislation – Any changes to legislation should trigger a review of RA’s. is:
•Complaints by employees – involving the workforce in RA’s is critical. Any complaints •Beyond physical or psychological capabilities.
should prompt a review. •Involves harmful exposure to radiation.
•Change in personnel – Introduction of new / vulnerable employees will trigger a •Involves exposure to agents that are toxic, carcinogenic, cause heritable damage.
review. Additional RA’s may be needed for young people, new or expectant mothers •Involves extreme heat, cold, noise or vibration.
etc. Young persons should also have a details induction and be mentored and supervised.

Planning – Risk Assessments – New and Expectant Mothers

Planning – Risk Assessment – Specific and Special Case Risk Regulation 16 of the MHSWR state:
Assessments Where, the persons working in an undertaking include women of child-bearing
age and; the work is of a kind that could invoke risk, by reason of her condition,
Risk Assessments that will require special consideration include: to the health and safety of a new or expectant mother, or to that of her baby,
from any processes or working conditions, or physical, biological, or chemical
agents, including those specified in Annexes I and II of council directive
•Manual Handling 92/85/EC, on the introduction of measures to encourage improvements in the
•Display Screen Equipment safety and health at work of pregnant workers and worker who have recently
•Harmful Chemicals. given birth or breastfeeding.
Regulation 18 is concerned with actions that must be taken when employers
There should also be specific risk assessments for: are notified in writing.
•Young Persons Risks can include Physical risks (posture, long periods standing or sitting,
manual handling, vibration, radiation, temperature), Biological (HIV, Rubella),
•New and expectant mothers, which includes nursing mothers.
Chemical (Toxic, mutagens, carbon monoxide, lead), Working Conditions
(fatigue, stress, passive smoking, heights, violence).
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Planning – Risk Assessment – Risk Planning – Risk Assessment –
Young Persons Review
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Planning – Risk Assessment – New Planning – Risk Assessment –
and Expectant Mothers Specific and Special Case RA’s
Planning - Principles of Prevention
Planning – Health and Safety (Safety Signs) Regulations.
There are some general principles or common rules that assist the safety practitioner,
and these combine three types of control. These are Technical, Behavioural, and
There are four main types of standardised safety signs. These are:
When controlling risks, the following principles should apply:
•Avoiding Risks – Where possible, design the risks out, or eliminate. Some risks cannot
be avoided but should be where possible.
•Evaluating Unavoidable Risks – If a risk cannot be avoided there needs to be careful
consideration about the hazards involved, use the hierarchy of control and find the best
way to mitigate the risks AFARP.
•Controlling the hazards at source – You should seek to see where the hazard stems
from and mitigate it at this point. E.g. if a level of noise is being produced that is high,
then focus on reducing the risk at source rather than issuing hearing protection.
•Adapting to the Individual – Give employees a degree of control taking into account
their physical and mental capabilities. Planning work around them.
•Adapting to Technical Progress.
•Replacing the Dangerous with the non or less dangerous.
•Developing a coherent policy – Where risks cannot be avoided or changed, prevention
policies can be used. SSOW, communication, training, information, instruction, and
Collective preventative measures should always be given priority over individual ones.

Planning – Collective / Individual Protective Measures Planning – General Hierarchy of Control

Collective Measures - This is the concept of creating a ‘safe place’. This is the This is defined as ‘A list of risk control measures, which are considered in order
focus on ensuring everyone is protected rather than just the individual. of importance, effectiveness and priority’.
Collective safety should always take priority over individual safety. The following is another example of a hierarchy of control for health and
Collective measures include avoidance of risk, controlling at source, replacing safety:
the dangerous with the non or less dangerous etc are all collective measures.
Individual Measures – The most obvious example is issuing PPE, so that the •Substitution
individual is protected but does not directly reduce the hazard. An example of •Engineering Controls – isolated, guarding, barriers, local exhaust ventilation
this is falls from height. The collective measure is the use of scaffold to prevent •Administrative Controls – signs, training, SSOW, job rotation, supervision,
a fall, but an individual measure would be to wear a harness. changing tasks regularly.
This should be with always providing the appropriate information, instruction, Then there are welfare facilities such as first aid, washing facilities, provision of
training and supervision, including the use of signage to reinforce the barrier cream or storage for PPE, and then monitoring and supervision to
communication. ensure tasks are carried out as per instructions and training.
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Planning – Risk Assessment – Risk
Planning – Principles of Prevention
Young Persons
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Planning – General Hierarchy of Planning – Collective / Individual
Control Measures
Planning – Safe System of Work (2)

Analysing Tasks, identifying hazards and assessing risks.

Planning - Sources of H&S information It is vital to consider all aspects of the task, not just the physical but the potential health
problems too. You could ask: what is used, who does what, where is the task carried out,
Internal Sources – These include, accident and ill health data, near miss reports, how is the task going to be done. Then you need to identify and evaluate the hazards and
absence reports (reactive data), and inspections, maintenance reports are risks.
proactive data sources. Audits and staff complaints can also be used and this data Implementing the System.
can be collated and compared with other companies in similar industries. The SSOW must be communicated properly so it is understood by those who need to use it.
Adequate training needs to be provided, and make provision for stoppages if an issue arises.
If there are works that require specialist knowledge, competent people can be used to
External sources – These include, legislation, HSE guidance, EU publications.
advise on the SSOW.
Manufacturer’s data, British, European and International standards provide further Monitoring the System.
information and compliance requirements. Trade associations, International Labour Systems should be checked to ensure that:
Organisation. •Employees continue to find the system workable.
•Procedures laid down are being carried out and are effective.
Other Sources – Risk Assessments, employee / safety reps, task analysis, accident •Any changes in circumstances which require alterations to the system of work are taken
and absence analysis, training records, results of surveys, specialists (Occy health), into account.
can all be used to help measure performance. Written Procedures
A written procedure should include: an unambiguous description of the way each step of the
job is done, an emphasis on the do’s and don’ts. This should include enforcement of the

Planning – Confined Spaces

Planning – Safe Systems of Work “A defined space is any space of an enclosed nature where there is a risk of death
or serious injury from a specific risk”.
The duty to provide a safe system of work comes from the HSWA Section 2(2) to: Examples include: storage tanks, silos, enclosed drains, sewers, chambers, vats,
Provide and maintain a plant and safe systems of work that AFARP without risk to ductwork, and unventilated rooms.
health. Hazards to consider are: lack of oxygen, poisonous gas, fumes or vapour, ingress of
A definition of a safe system of work is “A formal procedure, which results from liquids from free flowing solids, fire and explosion, residues, dust, hot conditions.
systematic examination of a task in order to identify all of the hazards. It defines Confined spaces are covered in specific legislation “Confined Space Regulations
safe methods to ensure that hazards are eliminated or risks reduced. 1997”.
This places the following requirements on this type of work:
When developing a safe system of work, the 5 steps of assessment should be •Avoid entry to confined spaces
applied. •If entry is unavoidable, follow a SSOW
•Assess the Task •Put in place adequate emergency arrangements before work starts.
•Identify hazards The SSOW is likely to include:
•Define safe methods Issuing of a permit to work, provision that the person must be medically fit and
•Implement system suitably trained, incoming services are isolated (e.g. gas), adequate ventilation, air
•Monitor system tests are conducted during work, tools and lighting are suitable, suitable PPE is
provided, emergency arrangements are in place, monitoring and supervision are in
place, with provision for communication (e.g. radio).
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Planning – Safe Systems of Work Planning – Sources of Health &
(2) Safety information
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Planning – Safety System of Work
Planning – Confined Spaces
Planning - Lone Working Measuring, Audit and Review
There are a number of reasons why we would want to monitor health & safety performance:
Lone working can include one person working alone, or people working on the •Determine whether or not health and safety plans have been implemented and objectives
same site, but far away from each other. This can also be people working outside of achieved.
normal hours, or remote workers. •Check that adequate risk controls are in place.
A safe system of work for lone workers is likely to include: •Learn from health & safety failures (including management failures)
•Training and competent staff – ideally avoiding new recruits or recent trained •Provide information that can be used to review and improve aspects of the health and
people, or vulnerable (young persons or expectant mothers). safety management system.
Organisations are required by law to have arrangements for effective monitoring and
•Adequate supervision – regular contact, regular visits where possible.
review. This is covered under regulation 5 of the MHSWR. It requires the organisation to
•Regular contact – Where physical visits are not possible. Helps make the person have in place arrangements for effective: planning, organisation, control, monitoring and
feel safe and sense of belonging. review.
•Automatic Warning Devices – Man down alarms, sensors (such as fire sensor or This is based on the Plan-Do-Check-Act theory of continuous improvement.
gas). Plan – Establish the objectives and processes necessary to deliver results in accordance with
•Personal Alarms – to summon help is the person cannot do this themselves. the expected output.
•Diary System – Helps to identify the tasks and location of worker. Do – Implement the new processes.
•First aid provision and training - providing adequate training and first aid supplies. Check – Measure the new processes and compare the results against the expected results.
•Emergency Procedures / Contact details – being aware of arrangements. Act – Analyse the differences to determine where to apply changes that will include
improvement. You cannot manage, what you cannot measure.
•A second person to assist when needed – providing help is required.

Planning – Permit to work system

Measuring Performance
A permit to work system is a formal written system that is used to control certain
types of high hazard work. It specifies the work to be done, and the precautions to
The measures used to monitor H&S performance must be appropriate to the size
be taken. This includes ensuring control measures are recorded and signed
and complexity of the risks to the business. They should cover workplace
authority is given.
precautions, risk control systems and management arrangements that take into
Operation and Application
account the health & safety culture.
The types of work that warrant a permit to work are:
Incident reporting data is a measurement of failure within an organisation because
•Hot Work (grinding, welding)
its use as a measure is reliant upon the workforce logging occurrences.
•Confined Space Entry
There is no ideal measure of performance as each measure has it’s own advantages
•Maintenance Work
and disadvantages.
•Live Electrical work.
Monitoring is only a means to an end; effective monitoring combines both
proactive and reactive methods. It identifies areas for improvement, but the results
•Works at height
must be acted upon for the monitoring to have any benefit.
Generally it should include: Permit title and reference number, job location and
Monitoring health and safety performance is an on-going activity. Measurement
plant identification, date, time, duration of permit, description of work tasks,
should be both efficient and effective and needs to be planned appropriately.
hazard identification, necessary precautions, PPE required, authorisation,
acceptance, handover or extension procedure, cancellation.
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Measuring, Audit and Review -
Planning – Lone working
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Measuring Performance Planning – Permit to Work
Accident Calculations
Active Monitoring

There are a number of methods that an organisation can use to achieve active
monitoring. These include:
•Workplace Inspections - Doing this should spot hazards and unsafe conditions
before an accident occurs. These can include, statutory inspections like lifting
equipment, safety sampling, enforcement authority inspections.
•Safety Tours and Safety Sampling – This is doing only a partial group or area to
indicate whole workplace compliance.
•Attitude surveys – These can be surveys using equipment to say measure noise
(Safety Survey) or of staff to measure opinion.
•Behavioural monitoring – Watching employees at work and correcting unsafe
behaviour and praising safe behaviour. Help promote a positive culture.
•Environmental monitoring - Ensuring environmental aspects are measured (waste
•Benchmarking against other organisations.
•Health surveillance.

Reactive Monitoring Health and Safety Auditing.

Reactive monitoring includes the use of historic data and focuses on what has An audit is a thorough, critical, examination of an organisation. Audits should be
already gone wrong within an organisation. The types of data that are used for planned for due to the in-depth nature and number of information sources
reactive monitoring include: required. The outcomes of an audit should be provided in report format, which
•Accidents and ill health - (Shown on next card) – good because accidents that are details performance standards against targets. The results should provide
RIDDOR are hard to suppress, good for benchmarking, can identify trends. Bad for confirmation that the H&S systems are in place and are effective, and provide
negative measures, random in nature, reporting rates can vary, poor at assessing evidence that the organisation is achieving legal compliance.
awareness raising as this can increase accident reporting. Where there are non conformances, these should be reported with suggested
•Sickness absence – can show trends in areas where sickness is high. Can highlight corrective actions.
stress or problem areas. An effective audit should be:
•Dangerous occurrences •Independent
•Near Misses / property damage – by investigating near misses, we can prevent •Systematic
accidents, you can learn from it without the injury. More frequent than actual •Critical
accidents. •Comprehensive
•Civil compensation claims •Objective
•Enforcement action. •Evidence-Based.
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Accident Calculations Active Monitoring
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Health & Safety Auditing Planning – Reactive Monitoring
Audit and Inspection Differences Pre-Audit Preparations
Typically , the audit uses three types of evidence:
There are several key difference between an audit and an inspection: •Documentary
Audit Inspection •Interview
Documentation can be prepared in advance and include: H&S policy, RA’s, training
A lengthy process, examining the Shorter timescale, simple records, maintenance records, inspection / previous audit reports, H&S minutes,
whole management system. observation of workplace. SSOW / Procedures, liaison with enforcement agencies, accident/ incident reports,
complaints from employees.
A full, comprehensive report is Less detailed, can be carried out by
produced. supervisors, H&S reps. The audit must be communicated in advance so people are aware who will need to
be involved and documentation can be prepared, what the agenda is and a time
Involves external or internal auditors Short report / checklist
frame. A post audit meeting should be organised to go through preliminary findings
who observe, interview and review.
before the audit report is written up.
Requires detailed planning, and More frequent and less time and Internal audits – these can be useful as can pick up issues before an external one,
carried out infrequently resources than audit. but can be biased.
External audits – useful as the auditor is likely to have wide reaching experience,
Considerate resource and effort Gives early indication of declining and the report will be more credible. They will also be well qualified, training and
required. standard. up to date with the law.

Accidents and Incidents

Advantages / Disadvantages of Auditing
Injury - Injury describes the types of incident that result in harm.
The advantages of health & safety auditing are:
Ill-Health – Refers to an illness that has developed as a result of exposure to
•Measures performance against pre-set standard
something within the workforce. E.g. asbestosis.
•Easy to identify levels of improvement or deterioration from previous audits.
Dangerous Occurrence – are events that if the inputs had been different, could
•Numerical / ranking systems (quantitative) can be used.
have resulted in a major incident.
•Issues involved are directly under control of managers
Damage Only – Where no-one is injured but there may have been damage to the
•Check management arrangements against actual performance
building, plant equipment or materials.
•Organisations are familiar with the audit as a management tool.
Accident – An unplanned and undesired event which results in harm to a person or
damage to property.
Disadvantages are:
Near Miss – An planned, undesired event, which, under slightly different
•Can only be infrequent or they will lose effectiveness.
circumstances could have resulted in harm to a person or damage to property.
•Audit fatigue – lots of audits for finance, quality, environmental etc
Accident Causation - Identification of causes of an accident is a critical step in the
•Usually a long list of corrective actions
investigation process. It can be chain of failures and errors that lead to the cause,
•Different systems use different scoring so can be hard to compare.
often known as the domino effect. Causes of accidents include the immediate
•Much depends on the individual auditor.
cause (unsafe acts and conditions) and root causes or the underlying causes
•Off the shelf systems can be too general.
(management system failures).
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Pre-Audit Preparations Audit and Inspection Differences
Health & Safety Management
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Advantages / Disadvantages of
Planning – Accidents and Incidents
RIDDOR Reporting Statutory Requirements for Recording and Reporting Incidents

The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations An organisation is duty bound to report major injuries, fatalities, dangerous
1995 state that certain types of event must be reported to the relevant occurrences and hospitalisation.
authority by the responsible person. These events include: In the event of any of these occurring, the responsible person must report
•Death by the quickest practicable means. In case of a fatality or major injury this
•Major injury
will be by telephone. This will need to be followed by form F2508 within 10
•Dangerous occurrence
•Any worker incapacitated for more than 7 days as a result of an accident at
work. Over 7 days injuries must also be reported within 15 days. These days are
•Immediate hospitalization of a non worker. even if they include the weekend or days when the employee was not due
to be at work.
RIDDOR places specific duties on the reporting of certain accidents. The
requirements to report are based upon the severity of the injuries. These Most of these reports are now made to the HSE via the Incident Contact
include major accident, certain diseases and certain dangerous occurrences. Centre.

Accident Reporting and Investigation

RIDDOR Reportable Examples
In addition to the enforcing authority, there are other parties who may need to be
informed of accidents depending on the severity. Examples are:
•Senior Management
•Safety Representatives
•Health & Safety Advisor / Manager
•Next of Kin
•First Aider or Emergency Services
•Police and coroner (if a fatality)
•Insurance company
In the event of an incident, the investigation should follow these basic steps.
•Ensure the wellbeing of the injured person.
•Preserve the scene.
•Report the incident / accident
•Assemble the investigation team – This is likely to include: someone familiar with
the work location, person(s) involved, supervisor, line manager, director, H&S
professional, other experts, Safety representative.
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Health & Safety Management
Statutory Requirements for
RIDDOR Reporting
Recording and Reporting Incidents
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Accident Reporting and
RIDDOR Reportable Examples
Investigation Approach

The information gathered should include not just physical evidence at the
scene, but documentary evidence and human evidence, such as witness

The findings must be analysed and causes determined. The team should make
recommendations and issue them as part of an action plan. The investigation
should include photographs, sketches relating to the incident, and include
relevant records such as training records, maintenance records or risk
assessments. The team should conduct interviews with witnesses, which should
be done soon after the event in a private room individually. They need to be
put at ease and informed it is a fact gathering interview, not to apportion
blame. A written record should be taken.
Once the initial investigation has been completed with determined root causes
the organisation may need to collect data for litigation purposes.
Consideration must then be given to the return to work of the injured person.

Remedial Actions

The significant findings must be communicated effectively, if improvements and

opportunities to reduce the likelihood of recurrence are to be acted upon.
Actions must be assigned priority status and deadline for completion.

Action Plan and Implementation

•Provide an action plan with SMART objectives.

•Ensure the action plan deals with immediate, underlying and root causes. Include
lessons to be learned.
•Provide feedback to all parties involved.
•Information should be fed back into a review of the risk assessment.
•Communicate the results of the investigation and action plan to those who need
to know.
•Include arrangements to ensure the actions plan is implemented and progress
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Investigation Approach
Health & Safety Management
Remedial Actions / Action Plan