NEBOSH International

General Certificate
Day 3
 Programme for Today

• Human Factors in Health and Safety:

– Influences on Behaviour.
– Human Error.
• The Safety Management System (continued):
– Planning and Implementing.
– Measuring Performance.
• Accidents, Investigation and Statistics.
HSG65 Elements
of Successful Policy
Health & Safety
Management

Organising
NEBOSH International
General Certificate

Human Factors
Influences on Behaviour

The Organisation

The
Individual The Job
 Organisational Factors

• What is the culture like?

• How does peer group pressure affect
individuals?
• Is there commitment from the top?
• Are there clear procedures and
standards?
• Are there effective monitoring
systems?
• Is there adequate supervision?
 Job Factors
• Safe systems of work - clear procedures and
instructions.

• Good ergonomics.

• Decision-making - involvement and empowerment.

• Welfare and environmental conditions, lighting,

temperature and freedom from danger.

• Work patterns, hours and shift work.

The Individual - Personal Factors
Some general thoughts:

• Attitudes – how you think/feel about something

often translates into how you act.

• Motivation – the drive to achieve.

• Perception – how you interpret the world around

you.

• Mental or physical capabilities.

 Personal Factors
Attitude
“The way a person believes they will
respond in a given situation.”
(This is not the necessarily the actual response).

“A combination of beliefs, feelings and

intentions to act.”

The culture of the organisation has a profound

effect on attitude.
Change of attitude – can be for better or worse.
 Personal Factors
Attitude - continued

• Attitudes tend to be very closely

held personal beliefs – part of
someone's self-image.

• Therefore, they are very difficult

to change quickly.

• Usually, only changed indirectly

- by changing behaviour rather
than by training.
 Maslow’s Hierarchy of Needs:

Need-Satisfaction Model

Motivation Self-
Actualisation
“The force which
stimulates an individual Esteem-Status
to do something.”

Social, Affection

Safety, Security, Order

Basic Survival
Physiological Needs
 Perception

The Necker Cube

 Personal Factors
Perception
“How people understand the
likelihood of themselves being
harmed by a hazard.”

Stimuli from five senses connected by the

brain into precepts or experiences.
Alcohol, legal and illegal drugs affect our
senses and our perceptions.
Environmental factors can also affect the
process.
 Perception

You will be shown the following slide for 20

seconds.
You are asked to count the number of ‘F’s.
FINISHED FILES ARE THE RESULT
OF YEARS OF SCIENTIFIC STUDY
COMBINED WITH THE
EXPERIENCE OF MANY YEARS.
 Human Failure

HSG48 Model
Slips

Skill based
Lapses

Errors
Rules
Mistakes
Knowledge
Human
Failures
Routine

Violations Situational

Exceptional
HSG65 Elements
of Successful Policy
Health & Safety
Management
Organising

Planning and
Implementing
Planning and Implementing
• Determine priorities:
– Develop a strategic plan.
– Develop a schedule or calendar of
activities.

• Set targets or objectives:

– Allocate tasks.
– Ensure staff are competent or provide
training.
– Provide time and support.
Planning and Implementing

• What are aims?

Aims define the basic ideal to be
achieved - a purpose or intention.

• What are objectives?

Specific measurable steps to
achieve the intended aim.
 SMART Objectives
Specific.
Measurable.
Agreed.
Realistic.
Time-constrained.

“Introduce a departmental inspection

process with standardised documentation
by 31st January 2007.”
HSG65 Elements
of Successful Policy
Health & Safety
Management
Organising

Planning and
Implementing

Measuring
Performance
 Measuring Performance

Comparison of Achievements Against Targets

Active Systems Reactive Systems

• Spot and routine checks.
• Formal inspections.
• Statutory tests.
• Safety audits.
• Accident investigation.
• Accident and ill-health
trend analysis.
• Pattern analysis.
 NEBOSH International
General Certificate

Accident Recording,
Reporting and Investigation
 Definitions of Accident and Incident

What is an accident?
It is an unplanned, unwanted event
which results in a loss of some kind.

What is an incident or near-miss?

It is an unplanned, unwanted event that
had the potential to cause loss.
 Frank Bird Accident Triangle

For every 1 serious injury

there are 10 minor injuries

and 30 damage only

and 600 incidents.

 Accident Reporting

What are the barriers to

good accident and near-
miss reporting?

How can these barriers

be overcome?
 Recording Accidents

The Accident Book or Accident Form

normally contains a minimum of
recorded information.

Note: Company devised accident records can be

used to replace the standard accident recording
book, if they are sufficiently comprehensive.
 Reporting

What are reportable events?

They are:
• Occupational accidents.
• Occupational diseases.
• Dangerous occurrences.
 Reporting
Where do we find principles and
standards of reporting?
Published standards appear in:
• Protocol to the Occupational Health and Safety
Convention, P155 and the Convention, C155.
• It is supported by Recommendation 194, which
lists diseases that should be reported by national
governments.
The reporting of an event is to the relevant enforcing authority
by a responsible person, nominated by the employer.
Procedures will vary according to national legal practice.
 What are Reportable Events?

• Major injury and death.

• Dangerous occurrence.

• Diseases.

• A worker absent from work for three consecutive

days, due to an accident at work.
• Immediate hospitalisation of a non-worker.

(Definitions vary according to national legal practice.)

 Some Examples of Reportable Events

Major Injury Dangerous Occurrence

• Fractures other • Contact with
than the fingers or overhead cables.
toes. • Train collision.
• Any amputation. • Collapse of scaffold.
• Dislocation of • Failure of lifting
shoulder/hip or equipment.
knee.
• Loss of sight.
 What are Diseases and Ill-Health?

They include:

• Work-related upper limb disorders

(WRULD).
• Dermatitis.
• Decompression sickness.
• Leptospirosis.
• Asbestosis.
• Occupational asthma.
 The Exams

• Both papers are 2 hours long.

• Both start with a 20 mark question.

• The remaining 10 questions are worth 8

marks each.

• How will you manage your time?

 Exam Questions
Under exam conditions - you have 8 minutes.
Explain why the health and safety policy should be
signed by the most senior person in an organisation, such
as the Managing Director or the Chief Executive Officer.
(2 marks)

Explain the purpose of EACH of the following sections of

a health and safety policy document:
(i) Statement of intent.
(ii) Organisation.
(iii) Arrangements. (6 marks)

(Source: NEBOSH)
 Exam Technique

• Read the question.

• Highlight the key words.
• Look at the mark allocation.
• Read the question again.
• Plan your answer.
• Do it.
 Accident Investigation
Why investigate accidents?

• Preventing recurrence.
(most important!)

• Legal.
• Insurance.
• Statistics.
• Civil actions.
Why do Accidents Happen?

Lack of Management Control

Underlying Causes

Immediate Causes

Accident Near Miss

Loss or Injury
Accident Causation - Domino Theory

Root causes
Underlying
causes
Unsafe
act/
condition Accident
Loss/injury

Root causes are equivalent to Lack of Management Control.

 Accident Investigation

• Make area safe.

• Select level of investigation.
• Gather and record the facts.
• Analyse the facts.
• Draw conclusions.
• Make recommendations.
• Review the process.
 Accident Investigation

• Select level of investigation.

• Who should investigate?

Who should be in the team?

1. Health and Safety Practitioner.

2. Staff Representative.
3. Supervisor or Manager.
 Accident Investigation
Gathering information:

• The Scene

• Documents

• People
 Accident Investigation
• Gathering information
Use of Open Questions:

"I keep six honest serving men.

They taught me all I knew.
Their names are
What and Why and When
and How and Where and Who."
Rudyard Kipling
 Gathering Information

Open questions to ask:

• What happened?
• Where did it happen?
• Who was involved?
• When did it happen?
• Why did it happen?
 Recording the Information

Report formats may use computer-based systems

Different fields used in programme:

• Type of accident.
• Part of body injured.
• Job type.
• Location.
Domino Theory of Accident Causation

Root causes

Underlying
causes Unsafe
acts and
conditions Accident
Loss/injury
 Analysing the Facts
Unsafe Acts and Conditions
These are the direct causes of the accident -
they can be broken down into:
• Materials and Substances.
• Equipment.
• Environment.
• People.
Remember M-E-E-P!
 Analysing the Facts

It is important to understand the terminology!

Recording and analysing results:

• Cause of Accident.
• Type of accident.
• Cause of injury.
 Drawing Conclusions
Fault Tree Analysis

The ultimate aim is to

find out why the system
of management failed to
prevent each of the
underlying causes which
contributed to the
accident.
 Drawing Conclusions
Cause of injury
Electrician falls from
ladder and breaks leg

Direct causes

He was in a hurry Rung broken Poor lighting

A1 A2 A3 B1 B2 B3 C1 C2 C3

Fault Tree Analysis Underlying causes

 Reviewing the Process
Some questions to ask when
reviewing the process:

• What were the direct causes?

• What were the underlying causes?
• Why did management systems fail?
• Why was the system failure not
identified before the accident?
• How effective were the emergency
procedures?
 Practicalities of Investigation

When should you investigate?

How to investigate (SREDIM) :

• Select the incident.

• Record all the facts.
• Examine the causes.
• Develop (or change) the system of work.
• Implement the new system (of work).
• Monitor and review.
 Statistics

• Trend analysis.
• Pattern analysis.
• Using raw data, (i.e. the
actual numbers).
• Using a rate to allow more
meaningful comparisons.
 Statistics

Accident Incident Rate (AIR)

No. of accidents
AIR =  1,000
Average no. of employees
 Syndicate Group Exercise
The following table shows the numbers of
lost-time accidents to employees for two
hospitals situated in the same locality.

Hospital A is a long-established general

hospital employing 2,500 staff.

Hospital B, which opened in 1998, is a

private hospital employing 300 staff.
 Year Hospital A Hospital B

2000 75 4
2001 69 7
2002 82 6
2003 78 5

1. Calculate the annual lost-time accident incident

rates for the two hospitals.

2. Suggest reasons for the actual difference in

safety performance between the two hospitals.
 Statistics
With statistics you need to be careful that
what the data seems to be telling you, is in
fact the case:
• Careful selection of the statistical
treatment.
• Careful interpretation of results.

“There are three kinds of lies - lies, damned

lies and statistics”. (Benjamin Disraeli)