RRC ID1 Complete Book

-
RRC Study Text
NEBOSH
International Diploma for Occupational
Health and Safety Management Professionals
Unit ID1 - Part 1

Know - Workplace Health and Safety Principles (INT)
June 2021
NEBOSH INTERNATIONAL DIPLOMA FOR
OCCUPATIONAL HEALTH AND SAFETY
MANAGEMENT PROFESSIONALS
UNIT ID1 - PART 1
ID1 Learning Outcome 1

CONTRIBUTORS
Zoe Neasham, BSc (Hons), CMIOSH, Dip2.OSH
© RRC International ACKNOWLEDGMENTS

All rights reserved. RRC International is the trading name of The Rapid RRC International would like to thank the National Examination Board
Results College Limited, Tuition House, 27-37 St George’s Road, in Occupational Safety and Health (NEBOSH) for their co-operation in
London, SW19 4DS, UK. allowing us to reproduce extracts from their syllabus guides.
These materials are provided under licence from The Rapid Results This publication contains public sector information published by the
College Limited. No part of this publication may be reproduced, stored Health and Safety Executive and licensed under the Open Government
in a retrieval system, or transmitted in any form, or by any means, Licence v.3 (www.nationalarchives.gov.uk/doc/open-government-
electronic, electrostatic, mechanical, photocopied or otherwise, licence/version/3).
without the express permission in writing from RRC Publishing.
Every effort has been made to trace copyright material and obtain
For information on all RRC publications and training courses, visit: permission to reproduce it. If there are any errors or omissions, RRC
www.rrc.co.uk would welcome notification so that corrections may be incorporated in
future reprints or editions of this material.
RRC: ID1 - Part 1
Whilst the information in this book is believed to be true and accurate
ISBN for this volume: 978-1-912652-42-6 at the date of going to press, neither the author nor the publisher can
First edition June 2021 accept any legal responsibility or liability for any errors or omissions
that may be made.
Contents
Introduction
Socio-Legal Models 1-3
Role, Function and Limitations of Legislation 1-3
‘Goal-Setting’ and ‘Prescriptive’ Legal Models 1-4
Loss Events in Terms of Failures in the Duty of Care to Protect Individuals and Compensatory Mechanisms
That May Be Available 1-6
Enforcement 1-11
Purpose of Enforcement 1-11
Principles of Enforcement with Reference to the UK’s HSE Enforcement Policy Statement (HSE41) 1-11
The International Labour Organization and its Conventions and Recommendations 1-13
Role of the United Nations 1-13
Roles and Responsibilities of ‘Governments’, ‘Enterprises’ and ‘Workers’: Occupational Safety and Health
Recommendation (R164) 1981 1-15
Use of International Conventions as a Basis for Setting National Systems of Health and Safety Legislation 1-19
Non-Governmental Bodies and Health and Safety Standards 1-23

Relevant Influential Parties 1-23
Importance of Print, Broadcast and Social Media in a Global Economy 1-25
Benefits of Schemes which Promote Co-Operation on Health and Safety Between Different Companies 1-26
An Organisation’s Moral Obligations to Raise Standards Within their Supply Chains 1-27
Meaning of ‘Self-Regulation’ 1-27
How Internal Rules and Procedures Regulate Health and Safety Performance 1-29
Third Parties 1-31

Identifying Third Parties 1-31
Reasons for Ensuring Third Parties Are Covered by Health and Safety Management Systems 1-31
Basic Duties Owed to and by Third Parties 1-32
Responsibilities for Control of Risk Associated with Third Parties 1-34
Insurers 1-36
How Insurers can Influence Organisational Health and Safety 1-36
Roles of Loss Adjusters and Claims Handlers 1-36
Summary 1-37
2-3
Contents

Organisational Structures 2-3
The Concept of the Organisation as a System 2-3
Organisational Structures and Functions 2-3
Potential Conflict Between Organisational Goals and the Goals of the Individual 2-8
The Integration of the Goals of the Organisation with the Needs of the Individual 2-8
Internal Influences on Health and Safety Within an Organisation 2-9
External Influences on Health and Safety Within an Organisation 2-10
Leadership 2-13
The Meaning of Safety Leadership 2-13
Types of Safety Leadership 2-13
Behavioural Attributes of an Effective Leader 2-15
Consultation 2-17
Formal Consultation 2-17
The Four Stages to Consultation 2-17
Behavioural Aspects Associated with Consultation 2-20
The Role of the Health and Safety Professional in the Consultative Process 2-20
Health and Safety Culture and Behavioural Change Programmes 2-22
The Meaning of ‘Health and Safety Culture’ and ‘Health and Safety Climate’ 2-22
Indicators of Culture and Measuring Health and Safety Climate 2-25
What May Promote a Positive Health and Safety Culture or Climate 2-28
Factors That May Promote a Negative Health and Safety Culture or Climate 2-29
Changing the Culture 2-31
Problems and Pitfalls 2-33
HSE’s Safety Culture Maturity Model 2-34
The Concepts of Blame, No-Blame and Just Culture (Dekker) 2-35
Behavioural Change Programmes 2-36
The Organisational Conditions Needed for Success in Behavioural Change Programmes 2-40
Traditional and Proactive Safety Management 2-42
Traditional Approach to Safety (known as Safety I) 2-42
Proactive Safety Management (known as Safety II or Safety Differently) 2-43
Limitations of Traditional and Proactive Safety Management 2-46
The Effect of Safety Management on Culture 2-47
Risk Perception 2-48
Human Sensory Receptors 2-48
The Process of Perception of Danger, Perceptual Set and Perceptual Distortion 2-49
Errors in Perception Caused by Physical Stressors 2-50
Perception and the Assessment of Risk, Perception and the Limitations of Human Performance, Filtering and
Selectivity as Factors for Perception 2-50
Human Failures and Human Factors and Improving Human Reliability 2-52
The Classification of Human Failure with Reference to HSG48 2-52
The Application of Cognitive Processing 2-55
What are Human Factors? (with reference to HSG48) 2-56
Individual Factors 2-62
Organisational Factors 2-64
Contribution of Human Failure and Human Factors to Incidents 2-73
Initiatives for Improving Individual Human Reliability in the Workplace 2-75
Selection of Individuals 2-78
Summary 2-81
Contents

Competence, Training, Information and Supervision 3-3
The Meaning of Competence 3-3
The Difference Between Training and Competence 3-3
The Circumstances when Training is Likely to be Required 3-3
The Groups of People Having Specific Training Needs 3-4
The Relationship Between Competence and Supervision 3-5
Circumstances Where There are Specific Training Needs for Certain Hazardous Types of Work Equipment 3-6
The Scope of Information Required for the Safe Use and Operation of Work Equipment 3-9
The Methods by Which Information and Instructions Regarding the Operation and Use of Work
Equipment can be Easily Understood by Those Concerned 3-9
The Requirements for Training Lift Truck Operators 3-11
High Reliability Organisations (HRO) 3-13

What is a HRO? 3-13
Characteristics of a HRO 3-14
Lessons That Other Organisations Can Learn From HROs 3-15
Summary 3-16
Suggested Answers to Study Questions - Part 1
2-5
Introduction
Course Structure
This study text has been designed to provide the learner with the core knowledge needed to successfully complete the
NEBOSH International Diploma for Occupational Health and Safety Management Professionals, as well as providing
a useful overview of health and safety management. It follows the structure and content of the NEBOSH syllabus and
includes extra “Prior Learning” material to support your understanding of diploma-level content.
The NEBOSH International Diploma consists of three units of study. Learners must achieve a ‘Pass’ in all three units to
achieve the qualification, and you need to pass the three units within a five-year period. For more detailed information
about how the syllabus is structured, visit the NEBOSH website (www.nebosh.org.uk).
Unit 1 focuses on general workplace health and safety principles and covers eight Learning Outcomes.
NEBOSH stipulate 129 hours of study time prior to the assessment. We would suggest that you should allocate
additional time for further revision and assessment preparation. Note there is an expectation that 60 hours will be
spent completing the assessment - more information in the next section.
© RRC International © RRC International
2-1
1
Introduction
Assessment Background
There are no in-person examinations for the International Diploma for Occupational Health and Safety Management
Professionals. Instead, assessment will be via assignments and scenario-based case studies. Details of these together
with sample assessments and assessment dates can be found on the NEBOSH website:
www.nebosh.org.uk/qualifications/international-diploma-for-health-and-safety-management-
professionals/#assessments
A sample assessment for ID1 can be found at:
/www.nebosh.org.uk/qualifications/international-diploma-for-health-and-safety-management-
professionals/#resources
NEBOSH state that the assessments are a substantial undertaking and should take around 60 hours for ID1, and 40
hours each for ID2 and ID3. It is important that you prepare well for the assessments and remember that whilst these
may not be traditional exams, they are still intended to be challenging assessments of your capabilities and skills. You
are therefore allowed a significant period of time to complete the assessment, so it is vital that you understand this and
do not leave the assessment until the last minute.
Unit Estimated time required to Time period given by NEBOSH to

complete assessment complete assessment
ID1 60 hours 6 weeks (30 working days)
During the assessments you will have access to books and the internet, however this must be your own work and there
are stringent protocols in place to prevent plagiarism. All assessments will be checked via plagiarism software and each
assessment also includes a closing interview. Guidance on digital assessments can be found on the NEBOSH website at:
www.nebosh.org.uk/digital-assessments/diploma/
Unit ID1 Assessment

The Unit ID1 assessment comprises of four parts:
• Part 1: Questions based on a fictitious but realistic scenario. The number of questions, the scenario and the tasks
will change on each paper and will not cover the whole of the ID1 syllabus.
• Part 2: Tasks to be completed at a suitable workplace. There will be up to six activities and these will differ on each
paper.
• Part 3: Reflection. This section focuses on transferable leadership and professional skills which you have or need to
develop. The skills could come from work or from areas of your personal life.
• Part 4: Research. Each paper will ask the learner to carry out research into a topic and provide reasoned and
informed arguments. The topics will, of course, change with each paper.
You will note that some of the Unit ID1 assessment is on workplace-based tasks – these don’t have to be carried out
at your own workplace but you must ensure that you have access to a suitable workplace or organisation for this part
of the assessment.
2 © RRC International
Introduction
Results
Results will be issued 50 working days after the submission date for the assessment. After successful completion of
each unit a “unit certificate” will be awarded. After you have completed all 3 units the combined percentage mark will
be used to determine your final grade:
• 226 or more: Distinction
• 196-225: Credit
• 150-195: Pass
More Information
As you work your way through this book, always remember to relate your own experiences in the workplace to
the topics you study. An appreciation of the practical application and significance of health and safety will help you
understand the topics.
Keeping Yourself Up-to-Date

The field of health and safety is constantly evolving and, as such, it will be necessary for you to keep up to date with
changing legislation and best practice.
RRC International publishes updates to all its course materials via a quarterly e-newsletter (issued in February, May,
August and November), which alerts students to key changes in legislation, best practice and other information
pertinent to current courses.
Please visit https://www.rrc.co.uk/news-resources/newsletters.aspx to access these updates.

NEBOSH International Diploma for Occupational Health and Safety Management Professionals
Unit ID1 Know – Workplace Health and Safety Principles (International)
Unit ID2 Do – Controlling Workplace Health Issues (International)
Unit ID3 Do – Controlling Workplace Safety Issues (International)
© RRC International © RRC International
2-3
3

Learning Outcome 1
Once you’ve read this Learning Outcome, you will be able to advise on:
• The types of legislation likely to apply to your organisation and how enforcement actions
could apply.
• The relevance of the International Labour Organization’s conventions/recommendations
to the organisation.
• How non-government bodies and standards could influence health and safety in the
organisation.

© RRC International ID1 Learning Outcome 1 1-1

Contents
Socio-Legal Models 1-3

Role, Function and Limitations of Legislation 1-3
‘Goal-Setting’ and ‘Prescriptive’ Legal Models 1-4
Loss Events in Terms of Failures in the Duty of Care to Protect Individuals and Compensatory Mechanisms
That May Be Available 1-6
Enforcement 1-11
Purpose of Enforcement 1-11
Principles of Enforcement with Reference to the UK’s HSE Enforcement Policy Statement (HSE41) 1-11
The International Labour Organization and its Conventions and Recommendations 1-13
Role of the United Nations 1-13
Roles and Responsibilities of ‘Governments’, ‘Enterprises’ and ‘Workers’: Occupational Safety and Health
Recommendation (R164) 1981 1-15
Use of International Conventions as a Basis for Setting National Systems of Health and Safety Legislation 1-20
Non-Governmental Bodies and Health and Safety Standards 1-23

Relevant Influential Parties 1-23
Importance of Print, Broadcast and Social Media in a Global Economy 1-25
Benefits of Schemes which Promote Co-Operation on Health and Safety Between Different Companies 1-25
An Organisation’s Moral Obligations to Raise Standards Within their Supply Chains 1-26
Meaning of ‘Self-Regulation’ 1-27
How Internal Rules and Procedures Regulate Health and Safety Performance 1-29
Third Parties 1-31

Identifying Third Parties 1-31
Reasons for Ensuring Third Parties Are Covered by Health and Safety Management Systems 1-31
Basic Duties Owed to and by Third Parties 1-32
Responsibilities for Control of Risk Associated with Third Parties 1-34
Insurers 1-36
How Insurers can Influence Organisational Health and Safety 1-36
Roles of Loss Adjusters and Claims Handlers 1-36
Summary 1-37
1-2 ID1 Learning Outcome 1 © RRC International

Socio-Legal Models 1.1
Socio-Legal Models

IN THIS SECTION...
• Outline how legislation can promote positive health and safety outcomes, ‘goal-setting’ and ‘prescriptive’
legislation, and possible compensatory mechanisms for loss events where there is a failure of the duty of care.

Role, Function and Limitations of Legislation
It is not realistic to expect organisations to adopt good health and safety standards voluntarily, not least because the
benefits of good (and costly) standards may not be immediately obvious to all employers. One way of making sure
minimum standards are met, whether they relate to health and safety or other matters to do with the regulation of
society, is for the government to introduce legislation.
Examples of legislation relating to occupational health and safety include:
• Health and Safety at Work, etc. Act 1974 (HSWA) (UK).

• 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,
when otherwise they might be unlikely to do so voluntarily.
DEFINITION
LEGISLATION
The statutes and other legal instruments (documents) that have been enacted by the governing body.
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. What behaviour constitutes a criminal offence is largely dependent on the
government and can therefore be influenced by political concerns. 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. The first is that there is little incentive for organisations to
go beyond the minimum legal requirements; they will comply with what the law says, but not with its spirit. In fact,
since good standards often cost a lot of time and money, an organisation which embraces such high standards may be
at a competitive disadvantage. If a government introduces legislation then there is a requirement for the legislation
to be enforced. This requires a means of identifying those who do not comply with the law. Accordingly, enforcement
officers who have defined powers of inspection and investigation (so that breaches of the law can be identified) must
be employed and trained.
There must also be procedures for the prosecution and punishment of organisations and individuals who fail to meet
the required standards, i.e. an effective court system. The governments of some countries do not appear to be able to
enforce health and safety provisions. Even in wealthy countries with extensive resources, the enforcement of health
and safety has to compete with other government priorities.

1.1 Socio-Legal Models
‘Goal-Setting’ and ‘Prescriptive’ Legal Models

Legislation is sometimes described as being ‘goal-setting’ or ‘prescriptive’.
Goal-setting legislation sets an objective but leaves it to the dutyholder
to decide on the best way of achieving the defined goal. (Note that a
dutyholder is the person on whom the legal duty is placed: the employer
in the case of most health and safety duties.)
You can see a good example of goal-setting legislation in the UK. The
principal Act of Parliament governing health and safety is the HSWA
(Section 2). The key duty imposed on employers is:
Common law is the body of rules based
“It shall be the duty of every employer to ensure, so far as is reasonably on the decisions of the courts over
practicable, the health, safety and welfare at work of all [their] employees.” many years
The goal to be achieved is to ensure (so far as is reasonably practicable) health and safety, but the Act does not define
how this should be done. It is up to the employer to identify and evaluate different ways of meeting this requirement
and then to choose what is appropriate in the given circumstances. Note that the phrase “so far as is reasonably
practicable” is not only a feature of UK legislation, but also of other regions. It generally means that when deciding
whether you need to take any action to control a risk, you must compare the risk against the effort, time and money
that would be required to bring it under control. So, some judgment is needed.
In contrast, prescriptive legislation, as the name suggests, defines the standard to be achieved in far more explicit
terms. One example, again from the UK, is in the Provision and Use of Work Equipment Regulations 1998
(PUWER). Regulation 26 is concerned with the provision of information and instruction to users of equipment for
use at work preventing mobile work equipment (e.g. forklift trucks) from rolling over. This Regulation applies only to
such equipment and makes explicit what a dutyholder should do to comply.
Regulation 26, Rolling over of mobile work equipment states:
(1) Every employer shall ensure that where there is a risk to an employee riding on mobile work equipment from its rolling over, it
is minimised by:
(a) stabilising the work equipment;
(b) a structure which ensures that the work equipment does no more than fall on its side;
(c) a structure giving sufficient clearance to anyone being carried if it overturns further than that; or
(d) a device giving comparable protection.
In practice, legislation should not be thought of as being entirely goal-setting or entirely prescriptive – it more often
has the characteristics of both models. One example is Regulation 8 of PUWER.
This states:
(1) Every employer shall ensure that all persons who use work equipment have available to them adequate health and safety
information and, where appropriate, written instructions pertaining to the use of the work equipment.
This requires that employers provide adequate information for users of work equipment – it has an element of
prescription in that there is a duty to provide information; however, what constitutes ‘adequate’ needs to be decided
by the employer, which effectively sets a goal.

Advantages and Limitations

TOPIC FOCUS
Prescriptive legislation has clearly defined requirements which are more easily understood by the dutyholder
and enforced by the regulator. It does not need a higher level of expertise to understand what action is required,
and provides a uniform standard to be met by all dutyholders.
The limitations are that it is inflexible and so, depending on the circumstances, may lead to an excessively high
or low standard. Also prescriptive legislation does not take account of the circumstances of the dutyholder and
may require frequent revision to allow for advances in knowledge and technology.
Goal-setting legislation allows more flexibility in compliance because it is related to the actual risk present
in the individual workplace. It is less likely to need frequent revision and can apply to a much wider range of
workplaces.
The limitations are that it is more difficult to enforce because what is ‘adequate’ or ‘reasonably practicable’
is much more subjective and so open to argument, possibly requiring the intervention of a court to provide
a judicial interpretation. Dutyholders will also need a higher level of competence in order to interpret such
requirements.
Legal Hierarchy of State and Federal Laws

DEFINITIONS
FEDERAL LAW
Law created by the federal government of a nation.
FEDERAL GOVERNMENT
Formed when a group of political units, such as states or provinces, merge together in a federation, surrendering
their individual sovereignty and many powers to the central government while retaining or reserving other
limited powers. Examples: USA, Canada, Australia and India.
One of the difficulties in federal systems is to ensure uniform standards and regulations throughout the country. If
each state can set their own standards, there will inevitably be 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. However, although the Act applies to all
states, its enforcement is delegated to the individual states, which leads to inconsistencies in enforcement standards.
There have been many attempts to harmonise occupational health and safety standards in Australia. In 1990, the
Ministers of Labour Advisory Committee, which comprises state, territory and Commonwealth labour ministers,
agreed that:
“...as far as practicable, any standards endorsed by the [National Occupational Health and Safety Commission] NOHSC will
be accepted as minimum standards and implemented in the State/Territory jurisdiction as soon as possible after endorsement”.
Source: Review of Occupational Health and Safety in Australia, Report by the Review Committee to the Minister for Industrial
Relations, Department of Industrial Relations, Parliament of Australia, (1990) 25
In 1991, the NOHSC set up a task force to develop a strategy for harmonisation and by 1996 a number of priority
areas had been identified (e.g. hazardous substances) and adopted by the states and territories. More recently, states
and territories agreed to work with the Commonwealth to implement a model Occupational Health and Safety
Act.

Within Europe there have been moves to harmonise standards in different countries. This started with the creation
of the European Economic Community (EEC), or the Common Market, which was established by the Treaty of Rome
in 1957. This initially applied to six states: France, West Germany, Italy, Belgium, the Netherlands and Luxembourg.
The Common Market then grew substantially and became the European Union (EU) in 1993. There are currently
27 member states. In terms of health and safety integration, the Framework Directive of 1989 (89/391/EEC)
established measures to encourage improvements in the safety and health of workers at work. On joining the EU,
member states become subject to EU law and, where applicable, European law supersedes any existing contrary
domestic law.
However, it is recognised that there are a number of different legal systems within the EU. The EU issues directives
which are:
“...binding, as to the result to be achieved, upon each Member State to which it is addressed, but shall leave to the national
authorities the choice of form and methods”.
Source: © European Union, http://eur-lex.europa.eu 1998-2017
This allows each member state to introduce its own legislation, providing it achieves the broad objectives contained
within the directive.
Loss Events in Terms of Failures in the Duty of Care to

Protect Individuals and Compensatory Mechanisms That
May Be Available
If a worker has a work-related accident or contracts a disease as a result of their work, this may result in loss that may
include pain and suffering, as well as loss of future income. The accident or ill health may lead to death, which may
result in the worker’s dependents suffering major financial loss. There are a number of mechanisms that have evolved
to provide compensation to the injured worker, or to their 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
These can be conveniently divided into those schemes where it is not necessary to prove that the employer was at
fault, and those in which the claimant (the injured person) has to prove that the defendant was at fault, e.g.
negligence.
• No-Fault Compensation Schemes

Although there is no need to prove fault, it is necessary to establish
that the harm was caused as a result of the person’s employment.
Most No-Fault Workers’ Compensation Schemes fall into one of two

main categories:
–– Employers provide the benefits; they pay premiums to insurance

companies, who in turn pay compensation to the injured worker.
Monetary compensation
–– The government or a government agency provides the benefits.
This system consists of social insurance operated by the government or an agency of the government.
Under both models the worker is required to report the injury or ill health to their respective employer. Most
countries require the claim to be made within a specified time, although this is often extended in cases of
occupational disease, when the time between exposure to the hazard and the onset of the disease may be
considerable.

• Employers’ Schemes
Here, the obligation to provide benefits is imposed on employers. The scheme is operated by insurance
companies who are paid premiums by employers, and in many jurisdictions, this is compulsory. The insurance
companies are subject to regulation, usually by an agency of the government. It is usual for all workers in that
industry to be covered by the scheme and in some jurisdictions this includes the self-employed. When a claim
has been made, by the worker or dependants, the initial response is usually made by the insurance company or
sometimes by the employer. The decision may be to accept or to reject the worker’s claim, although it is common
for there to be some negotiation by the two parties concerned. Such schemes are found in the USA and Australia.
• Social Insurance Schemes

These schemes are administered by governments and funded by compulsory contributions made by employers,
workers or both, with possible further contributions made from general taxation. These contributions may be
at a fixed rate or may be earnings-related. The scheme invariably requires medical examinations to establish the
nature of the loss and whether any recovery is likely. Following the decision by the administering government
department, the claimant can accept the decision or challenge it. The employer usually has little interest, if any,
in the process. If the disability is permanent (e.g. hearing loss), then a pension is usually paid, rather than a lump
sum.
The UK operates an Industrial Injuries Disablement Benefit Scheme. This is funded by National Insurance
contributions which are paid by employees and employers and from taxation. The benefit is paid to someone
who has suffered a loss of faculty because of an accident at work, or has a prescribed industrial disease associated
with the person’s occupation. It is paid only to employees and not to the self-employed. An ‘accident’ is an
incident or series of identifiable incidents which has resulted in personal injury; a ‘prescribed disease’ is one from
a defined list of approximately 70 diseases.
The claimant completes a claim form that is evaluated to establish whether the injury was an accident, or in
the case of an occupational disease, to check that the claimant has worked in the prescribed occupation. If this
is established, a medical examination is required to identify the loss of faculty and the level of disablement.
Normally a person’s disablement has to be 14% or more to receive benefit, except for certain respiratory diseases,
which require a 1% assessment and occupational deafness, which requires a 20% assessment.
• 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 worker (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 their workers. The claimant usually has to prove that the harm or illness was caused by
the negligence of the employer, or one of their employees, or that there has been a breach of health and safety
legislation.
In the UK, the basis of the employer’s duty towards the employees stems from the existence of a contract of
employment. However, virtually all cases are brought under the law of torts (civil wrongs), in particular the tort of
negligence and the tort of breach of statutory duty.
The liability of the employer may come about in two ways:
–– The employer is responsible for their own acts of negligence – often called primary liability.
–– The employer may be vicariously liable for the negligent acts of their workers that are committed in the
course of their employment.

In an action 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 (i.e. the claimant must show they are within the class of persons
whom the statute was intended to protect).
–– 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.
In an action 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
workers, 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 a reasonable person in the circumstances.
–– The claimant suffered damage as a result of the breach.
–– The harm was foreseeable.
A claim will often be presented under both headings (negligence and
breach of statutory duty) at the same time, although success under both
results in only one award of compensation. One of the key features
of employer’s liability is the extent of the compensation (often called
damages) awarded in a successful action. The compensation awarded is
meant to put the person back into the same position they were in before
they suffered the loss. This can amount to considerable sums of money. An accident can result in a claim for
considerable damages
Damages
Damages may be classified as economic or non-economic. Economic damages represent actual monetary loss,
whereas non-economic damages are those which represent pain, suffering, and loss of companionship or amenity.
Damages may also be categorised as compensatory and punitive. As the name suggests, compensatory damages
compensate the claimant, whereas punitive damages are meant to punish the wrongdoer.

TOPIC FOCUS
Compensatory Damages
The amount of compensatory damages is meant to reflect the losses the claimant has suffered. The level of
award is determined by the court having received evidence as to the extent of the losses.
Such damages can be classified as special damages and general damages:
• Special Damages
The key feature of special damages is that they can be relatively easily quantified because they relate to
known expenditure up until the trial, such as:
–– Loss of earnings due to the accident or ill health before the trial.
–– Legal costs.
–– Medical costs to date.
–– Building costs, if property has had to be adapted to meet the needs of the injured person.
–– Necessary travel costs associated with the case.
The feature here is that invoices and receipts can be presented to the court.
• General Damages
These include future expenditure and issues which cannot be precisely quantified, such as:
–– Loss of future earnings as a result of the incapacity.

–– Future medical costs.
–– Pain and suffering before and after the trial.
–– Loss of quality of life (e.g. loss of mobility, inability to engage in sports which had been pursued before
the loss).
–– Loss of future opportunity (e.g. reduced likelihood of being able to secure suitable employment).
Punitive Damages
Punitive damages 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 in the future. It is recognised that in certain circumstances,
punitive damages (or ‘exemplary damages’ in the UK) may be awarded where the compensatory damages are
considered to be inadequate and are awarded by reference to the defendant’s behaviour. Since they normally
compensate the claimant’s losses beyond provable losses, they are usually only awarded when the conduct of the
defendant was particularly oppressive, or where the defendant made a profit from the behaviour.
In the USA, punitive damages are a matter for state law and so there is no consistent application across the country. In
some states they are based on statute and in others on case law.

MORE...
The ILO Encyclopedia is an additional resource highlighted by NEBOSH which covers many broader areas of
international health and safety and is relevant throughout the ID1 unit.
For additional resources on workers compensation schemes, access Part III: Workers Compensation of the ILO
Encyclopedia which provides a great deal of material on the topic:
https://www.iloencyclopaedia.org/part-iii-48230/workers-compensation-systems
STUDY QUESTIONS
1. What are the limitations of using legislation as a means of ensuring acceptable occupational health and
safety standards?
2. Describe the advantages and limitations of prescriptive and goal-setting legislation.
3. Identify and outline the two main no-fault compensation schemes.
4. Describe the two categories of compensatory damages.
5. What is meant by “punitive damages”?
(Suggested Answers are at the end.)

Enforcement 1.2
Enforcement

IN THIS SECTION...
• Outline the purpose of enforcement (including the principles of the enforcement policy statement).

Purpose of Enforcement
The regulation of criminal law on health and safety at work requires
an enforcement agency. Its broad role is likely to be to protect people
against risks to health or safety arising out of work activities.
In order to achieve this, legal compliance must be enforced. The ultimate

aim is always prevention, but action is needed where there is deliberate
flouting of health and safety law.
Enforcement ensures that dutyholders:

Legal compliance must be enforced
• Deal immediately with serious risks.
• Comply with the law.
• Are held to account if they fail in their responsibilities.
To enforce compliance with legal requirements, there are several approaches that can be taken, ranging from:
• provision of advice on what changes need to be introduced and how these may be achieved; to,
• prosecution under relevant health and safety law that might be imposed on employers.
Following a successful prosecution, the penalty could be a fine or possibly imprisonment. The aim is some form of
punishment with the purpose of deterring any future non-compliance.
Principles of Enforcement with Reference to the UK’s HSE

Enforcement Policy Statement (HSE41)
The UK’s HSE aims for firm but fair enforcement of health and safety law and applies the following principles, which
are described in its Enforcement Policy Statement (HSE41):
• Proportionality of Enforcement
Enforcement action should be in proportion to any risks to health and safety, or to the seriousness of any breach
of law. Enforcing authorities should take into consideration how far the dutyholder has fallen short of what the
law requires and the extent of the risks to people arising from the breach.
Some health and safety duties are absolute but others require action ‘so far as is reasonably practicable’ which
involves judgment. This means taking into account the degree of risk on the one hand, and the sacrifice (money,
time or trouble) involved in dealing with the risk on the other. Unless it can be shown that there is gross
disproportion between these factors and that the risk is insignificant in relation to the cost, the dutyholder must
take measures to reduce the risk.
The HSE expects relevant good practice to be followed, but in circumstances where such standards are not clearly
established, UK law requires dutyholders to determine what action needs to be taken to adequately reduce the
risks. However, what is reasonably practicable in particular cases is ultimately determined by the courts.

1.2 Enforcement
• Consistency of Approach
Dutyholders managing similar risks expect a consistent approach about advice given, the use of enforcement
notices, decisions on whether to prosecute, and the response to incidents. Consequently a similar approach needs
to be taken in similar circumstances to achieve similar ends.
The HSE recognises that, in practice, consistency is not a simple matter, due to a number of factors, including:
–– The degree of risk.

–– The attitude and competence of management.
–– History of incidents.
–– Previous enforcement action.
It is recognised that decisions on enforcement action involve judgment by the enforcer, but enforcing authorities
should have arrangements in place to promote consistency.
• Transparency
Dutyholders need to understand what is expected of them and what they should expect from the enforcing
authorities. They should also be clear about what they have to do and what they don’t – this means being clear
about statutory requirements that legally apply, and advice or guidance that is desirable but not compulsory.
Transparency also involves ensuring that employees and their representatives are kept informed about any
decisions made and actions taken.
Dutyholders, employees, their representatives and others also need

to know what to expect when an inspector calls and what rights
of complaint are open to them. In the UK, all enforcing authority
inspectors are required to issue the HSE leaflet What to expect when
a health and safety inspector calls to those they visit. When inspectors
offer dutyholders information or advice, face to face or in writing,
they will explain what has to be done to comply with the law and
why. If asked, they will write to confirm any advice and to distinguish
legal requirements from best practice. If a notice is served, the Inspectors will offer dutyholders
inspector will try to: information or advice about legal
compliance
1. Resolve points of difference before serving it.
2. Make sure it is clear what needs to be done, why and by when.
3. Determine the breach of the law that has been committed, or why any prohibition is necessary.
STUDY QUESTIONS
6. Outline the purposes of enforcement.
7. What factors might affect consistency in the enforcement of health and safety legislation?

The International Labour Organization and its Conventions and Recommendations 1.3
The International Labour Organization and its

Conventions and Recommendations

IN THIS SECTION...
• Explain the role of the International Labour Organization and the status of relevant conventions and
recommendations in a global health and safety setting.

Role of the United Nations
International Labour Organization Role and International Labour
Conference
The International Labour Organization (ILO) was created in 1919, as part
of the Treaty of Versailles that ended World War I. Today it is an agency
of the United Nations (UN), which was formed during World War II. Its
main aims are to:
• Promote rights at work.

• Encourage decent employment opportunities.
• Enhance social protection.
The ILO is responsible for drawing up
• Strengthen dialogue in handling work-related issues. and overseeing international labour
standards
The ILO is the only ‘tripartite’ UN agency, in that it brings together
representatives of governments, employers and workers to jointly shape
policies and programmes.
It is the global body responsible for drawing up and overseeing international labour standards. Working with over 180
member states, the ILO seeks to ensure that labour standards are respected in practice, as well as in principle. Since its
early days, the ILO has:
• Sought to define and guarantee labour rights.

• Improve conditions for working people by building a system of international labour standards expressed in the
form of conventions, recommendations and codes of practice.
The ILO has adopted 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.
The member states of the ILO meet at the International Labour Conference, held every June in Geneva, Switzerland.
Each member state is represented by a delegation consisting of two government delegates, an employer delegate, a
worker delegate and their respective advisers. All delegates have the same rights, and can express themselves freely
and vote as they wish; worker and employer delegates may vote against their government’s representatives, or against
each other. However, this diversity of viewpoints does not prevent decisions being adopted by very large majorities, or
in some cases even unanimously.
Many of the government representatives are cabinet ministers responsible for labour affairs in their own countries.
Heads of state and prime ministers also take the floor at the conference. International organisations, both
governmental and others, attend as observers.

1.3 The International Labour Organization and its Conventions and Recommendations
The conference allows for the creation of conventions and recommendations – a two-thirds majority is required
before they can be adopted.
TOPIC FOCUS
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, a country can ratify
a convention voluntarily. If a convention has not been ratified by member states, it has the same legal force
as recommendations. Each government is required to submit a report detailing their compliance with the
obligations of the conventions they have ratified. Each year the International Labour Conference’s Committee
on the Application of Standards examines a number of alleged breaches of international labour standards.
An example of a convention is the Occupational Safety and Health Convention (C155) 1981 and its Protocol
of 2002. This provides for the adoption of a coherent national occupational safety and health policy as well as
action to be taken by governments to improve working conditions.
International Labour Conference Provisional Record 20A

Convention Concerning the Promotional Framework for Occupational Safety and Health, ILO, Geneva, 2006
Article 4 sets out the following provisions in respect of a national system:
(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 organizations of employers and workers.
(2) The national system for occupational safety and health shall include among others:
(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.”
Copyright © International Labour Organization 2006
Following the adoption of the above Convention in 2006, each member of the ILO is required to introduce measures
to implement its requirements within their own legislative system.
TOPIC FOCUS
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. An
example is the Occupational Safety and Health Recommendation (R164) 1981 which we look at below.
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 for public authorities and services, employers and workers
concerned, specialised protection and prevention bodies, enterprises, and safety and health committees. Each
code is first prepared by the Office (of the ILO) and finalised at a tripartite meeting composed of experts
nominated by the Governing Body (of the ILO) in their personal capacity. Codes of practice are submitted to
the Governing Body for approval of publication. An example is the Code of Practice on Safety and Health in
the Iron and Steel Industry (2005).
Roles and Responsibilities of ‘Governments’, ‘Enterprises’

and ‘Workers’: Occupational Safety and Health
Recommendation (R164) 1981
ILO Convention C155 establishes broad principles that national governments should adopt in order to protect the
health and safety of workers. These are established as ‘Principles of National Policy’, ‘Action at National Level’ (both
governmental objectives), and ‘Action at the Level of the Undertaking’ (employer’s actions). These are summarised in
the following table.

TOPIC FOCUS
Principles of National Policy
Article 4
• Each Member shall, … formulate, implement and periodically review a coherent national policy on occupational safety,
occupational health and the working environment.
• The aim of the policy shall be to prevent accidents and injury to health arising out of, linked with or occurring in
the course of work, by minimising, so far as is reasonably practicable, the causes of hazards inherent in the working
environment.
Article 5
• This article has been summarised and outlines the main areas of focus for health and safety and the working
environment, e.g. design and testing of workplace tools and equipment.
Article 6
• The … policy referred to in Article 4 of this Convention shall indicate the respective functions and responsibilities in
respect of occupational safety and health and the working environment of public authorities, employers, workers and
others…
Article 7
• The situation regarding occupational safety and health and the working environment shall be reviewed at appropriate
intervals…
Action at the National Level

Article 8
• Each Member shall, by laws or regulations or any other method consistent with national conditions and practice and
in consultation with the representative organisations of employers and workers concerned, take such steps as may be
necessary to give effect to Article 4 of this Convention.
Article 9
• The enforcement of laws and regulations concerning occupational safety and health and the working environment shall
be secured by an adequate and appropriate system of inspection.
• The enforcement system shall provide for adequate penalties for violations of the laws and regulations.
Article 10
• Measures shall be taken to provide guidance to employers and workers so as to help them to comply with legal
obligations.
Article 11
• This article has been summarised and contains details of actions that the competent authority should
carry out, including the establishment of national procedures for the notification of accidents, and the
determination of processes and substances that could result in harmful exposure.
(Continued)

TOPIC FOCUS
Article 12
• This article has been summarised and covers measures to ensure that those who design, manufacture,
import, provide or transfer machinery, equipment or substances for occupational use do so safely.
Article 13
• A worker who has removed himself from a work situation which he has reasonable justification to believe presents
an imminent and serious danger to his life or health shall be protected from undue consequences in accordance with
national conditions and practice.
Article 14
• Measures shall be taken with a view to promoting in a manner appropriate to national conditions and practice, the
inclusion of questions of occupational safety and health and the working environment at all levels of education and
training, including higher technical, medical and professional education, in a manner meeting the training needs of all
workers.
Article 15
• This article covers the co-ordination between different bodies.
Action at the Level of the Undertaking

Article 16
• Employers shall be required to ensure that, so far as is reasonably practicable, the workplaces, machinery, equipment
and processes under their control are safe and without risk to health.
• Employers shall be required to ensure that, so far as is reasonably practicable, the chemical, physical and biological
substances and agents under their control are without risk to health when the appropriate measures of protection are
taken.
• Employers shall be required to provide, where necessary, adequate protective clothing and protective equipment to
prevent, so far as is reasonably practicable, risk of accidents or of adverse effects on health.
Article 17
• Whenever two or more undertakings engage in activities simultaneously at one workplace, they shall collaborate in
applying the requirements of this Convention.
Article 18
• Employers shall be required to provide, where necessary, for measures to deal with emergencies and accidents, including
adequate first-aid arrangements.
(Continued)

TOPIC FOCUS
Article 19
• There shall be arrangements at the level of the undertaking under which--

(a) workers, in the course of performing their work, co-operate in the fulfilment by their employer of the obligations
placed upon him;
(b) representatives of workers in the undertaking co-operate with the employer in the field of occupational safety and
health;
(c) representatives of workers in an undertaking are given adequate information on measures taken by the employer to
secure occupational safety and health …
(d) workers and their representatives in the undertaking are given appropriate training in occupational safety and
health;
(e) workers or their representatives … are enabled to enquire into, and are consulted by the employer on, all aspects of
occupational safety and health associated with their work…
(f) a worker reports forthwith to his immediate supervisor any situation which he has reasonable justification to believe
presents an imminent and serious danger to his life or health; until the employer has taken remedial action, if
necessary, the employer cannot require workers to return to a work situation where there is continuing imminent
and serious danger to life or health.
Article 20
• Co-operation between management and workers and/or their representatives within the undertaking shall be an
essential element of organisational and other measures taken in pursuance of Articles 16 to 19 of this Convention.
Article 21
• Occupational safety and health measures shall not involve any expenditure for the workers.
Occupational Safety and Health Recommendation (R164) 1981 then sets out the roles and responsibilities of
governments, enterprises and workers. The key provisions are as follows.
International governments should:
(a) “issue or approve regulations, codes of practice ... on occupational safety and health and the working environment, account
being taken of the links ... between safety and health, ... and hours of work and rest breaks ...;
(b) ... review legislative enactments concerning occupational safety and health and the working environment, ... in the light of
experience and advances in science and technology;
(c) undertake or promote studies and research to identify hazards and find means of overcoming them;
(d) provide information and advice, in an appropriate manner, to employers and workers and promote or facilitate co-operation
between them and their organisations, with a view to eliminating hazards or reducing them as far as practicable; where
appropriate, a special training programme for migrant workers in their mother tongue should be provided;
(e) provide specific measures to prevent catastrophes, and to co-ordinate and make coherent the actions to be taken at different
levels, particularly in industrial zones where undertakings with high potential risks for workers and the surrounding population
are situated;

(f) secure good liaison with the International Labour Occupational Safety and Health Hazard Alert System set up within the
framework of the International Labour Organization;
(g) provide appropriate measures for handicapped workers.”
Enterprises:
(a) “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;
(b) to give necessary instructions and training, taking account of the functions and capacities of different categories of workers;
(c) to provide adequate supervision of work, of work practices and of application and use of occupational safety and health
measures;
(d) to institute organisational arrangements regarding occupational safety and health and the working environment adapted to
the size of the undertaking and the nature of its activities;
(e) to provide, without any cost to the worker, adequate personal protective clothing and equipment which are reasonably
necessary when hazards cannot be otherwise prevented or controlled;
(f) to ensure that work organisation, particularly with respect to hours of work and rest breaks, does not adversely affect
occupational safety and health;
(g) to take all reasonably practicable measures with a view to eliminating excessive physical and mental fatigue;
(h) to undertake studies and research or otherwise keep abreast of the scientific and technical knowledge necessary to comply with
the foregoing clauses.”
Workers should:
(a) “take reasonable care for their own safety and that of other persons who may be affected by their acts or omissions at work;
(b) comply with instructions given for their own safety and health and those of others and with safety and health procedures;
(c) use safety devices and protective equipment correctly and do not render them inoperative;
(d) report forthwith to their immediate supervisor any situation which they have reason to believe could present a hazard and
which they cannot themselves correct;
(e) report any accident or injury to health which arises in the course of or in connection with work.”
MORE...
Further information on the role of the United Nations can be found at:
www.un.org/en/about-us/

Use of International Conventions as a Basis for Setting

National Systems of Health and Safety Legislation
ILO standards on occupational safety and health enable governments, employers, and workers to establish practices
and procedures that aim for the highest level of health and safety performance. The ILO global strategy to improve
occupational safety and health involves the promotion of:
• A preventive safety and health culture.

• The development of relevant instruments and technical assistance to establish occupational safety and health
standards.
International labour standards are legal instruments drawn up by the ILO’s constituents (governments, employers,
and workers) that set out basic principles and rights at work.
As we have noted, they are either:
• Conventions
–– legally binding international treaties that may be ratified by member states; and,
–– lay down the basic principles to be implemented by ratifying countries; OR,
• Recommendations
–– serve as non-binding guidelines;
–– supplement the convention by providing more detailed guidelines on how it could be applied; and,
–– can also be autonomous, i.e. not linked to any convention.
Conventions and recommendations are drawn up by representatives of governments, employers and workers and
are adopted at the ILO’s annual International Labour Conference. Once a standard is adopted, member states are
required under the ILO Constitution to submit them for consideration to their competent authority (normally
parliament). For conventions this means consideration for ratification, and they generally come into force one year
after the date of ratification. Ratifying countries commit themselves to applying the convention in national law and
practice and reporting on its application at regular intervals. The ILO provides technical assistance if necessary.
The following are important examples of conventions and associated recommendations.
Occupational Safety and Health Convention (C155) 1981

The purpose of this Convention is to ensure that those member states who ratify it formulate, implement and
periodically review a coherent national policy on occupational safety and health in the work environment. This should
involve consultation with the most representative organisations of employers and workers. The aim of the policy is to
prevent workplace accidents and injury to health by minimising, as far as possible, the causes of hazards inherent in
the work environment.
We looked at the associated Occupational Safety and Health Recommendation (R164) 1981 earlier.
Promotional Framework for Occupational Safety and Health Convention

(C187) 2006
This Convention promotes a preventative safety and health culture to progressively achieve a safe and healthy
working environment. In consultation with the most representative organisations of employers and workers, it
requires ratifying states to develop a national policy, national system and national programme on occupational safety
and health.

National policies should be developed in accordance with Article 4 of the Occupational Safety and Health
Convention (C155) 1981: aim to prevent accidents and injury to health at work by minimising the causes of hazards
inherent in the working environment.
National systems should provide the infrastructure for implementing national policy and programmes on
occupational safety and health, such as:
• Laws and regulations.

• Authorities or bodies.
• Compliance mechanisms, including systems of inspection.
• Arrangements at the level of the undertaking.
National programmes should also include time-bound measures to promote occupational safety and health, enabling
a measuring of progress.
The associated Promotional Framework for Occupational Safety and

Health Recommendation (R197) 2006 supplements the Convention by
providing more detailed guidelines on how it could be applied:
• Provide appropriate measures for the protection of all workers, in

particular workers in high-risk sectors, and vulnerable workers, such
as those in the informal economy and migrant and young workers.
• Take measures to protect the safety and health of workers of all
genders, including the protection of their reproductive health. Young workers must be protected by
• Seek to raise workplace and public awareness on occupational appropriate measures
safety and health through national campaigns linked with, where
appropriate, workplace and international initiatives.
• Promote mechanisms for delivery of occupational safety and health education and training, in particular for
management, supervisors, workers and their representatives and government officials responsible for safety and
health.
• Introduce occupational safety and health concepts and, where appropriate, competencies, in educational and
vocational training programmes.
• Facilitate the exchange of occupational safety and health statistics and data among relevant authorities,
employers, workers and their representatives.
• Provide information and advice to employers and workers and their respective organisations, and promote or
facilitate co-operation among them with a view to eliminating or minimising, so far as is reasonably practicable,
work-related hazards and risks.
• Promote, at the level of the workplace, the establishment of safety and health policies and joint safety and health
committees, and the designation of workers’ occupational safety and health representatives, in accordance with
national law and practice.
• Address the constraints of micro-enterprises and small- and medium-sized enterprises and contractors in the
implementation of occupational safety and health policies and regulations, in accordance with national law and
practice.
• Promote a ‘management systems’ approach to occupational safety and health, such as the approach set out in
guidelines on occupational safety and health management systems.

MORE...
You can read more about the Occupational Safety and Health Convention, 1981 (No. 155), its 2002
Protocol, and the Promotional Framework for Occupational Safety and Health Convention, 2006 (No.
187) at:
www.ilo.org/wcmsp5/groups/public/---ed_norm/---normes/documents/publication/wcms_233211.pdf
There is also further information on the Convention C187 available at:
www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_ILO_CODE:C187
Additional information on Recommendation R197 can be found at:
www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_INSTRUMENT_ID:312534
Finally, further information on Recommendation R164 can be accessed through:
www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO:12100:P12100_INSTRUMENT_ID:312502
STUDY QUESTIONS
8. Explain the role of the ILO in health and safety at work.
9. Explain the difference between an ILO convention and a recommendation.
10. What is an ILO code of practice?
11. What duties are imposed on national governments by Occupational Safety and Health
Recommendation (R164) 1981?
12. What duties are imposed on enterprises by Occupational Safety and Health Recommendation (R164)
1981?
13. What duties are imposed on workers by Occupational Safety and Health Recommendation (R164)
1981?

Non-Governmental Bodies and Health and Safety Standards 1.4
Non-Governmental Bodies and Health and Safety

Standards

IN THIS SECTION...
• Summarise the role of non-governmental bodies and self-regulation in securing common health and safety
standards in a global economy.

Relevant Influential Parties
• Employer Bodies
These represent the interests of employers. In the UK, the main
body is the Confederation of British Industry (CBI). The CBI helps
create and sustain the conditions in which businesses in the UK 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.
Another well-known active employer organisation is the Chamber of Commerce. You will find branches operating
in many countries throughout the world.
• 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 various appropriate means, e.g. 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 together with provision of news and events appropriate to their
members’ areas of activity.
Meetings, workshops and seminars can be arranged depending on an association’s membership, both
internationally and at a national/regional level, to enable networking and the exchange of information and ideas,
such as on technical and safety issues.
Safety is of prime importance in any industry and there is usually a system for publicising and circulating safety
messages to members on a regular basis.
Membership of a trade association is generally available to companies and organisations active in the relevant
industry.
• Trade Unions
A trade union is an organisation of workers who have formed together to achieve common goals in key areas,
such as wages, hours and working conditions. The trade union negotiates with the employer on behalf of its
members. This may include:
–– The negotiation of wages.

–– Work rules.

1.4 Non-Governmental Bodies and Health and Safety Standards
–– Complaint procedures.
–– Rules governing hiring, firing and promotion of workers.
–– Benefits.
–– Workplace safety.
–– Policies.
The agreements negotiated by the union leaders are binding on the rank and file members and the employer, and
in some cases on other non-member workers. In the UK, unions may appoint safety representatives from among
the workers who may investigate accidents, conduct inspections and sit on a safety committee.
• Professional Groups
A professional group is an organisation of individuals who work in a particular profession and have achieved
a defined level of competence. Members typically pay a subscription to join the group and receive a range
of benefits. Professional groups may also exist with the sole purpose of certifying practitioners in the safety
profession in order to establish and validate technical competency criteria:
–– The Institution of Occupational Safety and Health (IOSH), based in the UK, has over 47,000 members
worldwide, including more than 10,000 Chartered Safety and Health Practitioners. 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 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.
–– The American Society of Safety Professionals (ASSP) is a professional safety society that aims to promote
the expertise of its members and provide them with professional development and support. It also sets
occupational safety, health and environmental standards for excellence and ethics. It is a global association
representing more than 39,000 occupational safety professionals worldwide.
–– The Board of Certified Safety Professionals (BCSP) is a peer certification board. It is not a member
organisation and does not provide services usually offered by member organisations but its sole purpose is
to certify practitioners in the safety profession. There is a recognised need for safety certification, and in the
USA in particular, there are numerous laws, regulations and standards that cite the requirement for it.
• 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’. They carry out
research, lobby politicians, and aim to influence public and, ultimately,
government opinion.
One example in the UK is the Centre for Corporate Accountability.

This was concerned with the promotion of worker and public safety.
Its focus was on the role of state bodies in enforcing health and safety law and investigating work-related deaths
and injuries. It was formed following a number of high profile work-related accidents that led to a large number of
deaths, and the perception that the companies concerned were not taking safety seriously, and that the penalties
imposed by the courts were inadequate.
• General 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.

Importance of Print, Broadcast and Social Media in a Global

Economy
The media plays an important role in communicating health and safety issues and can influence changes in attitudes
to health and safety. It includes print (e.g. newspapers, books and journals), broadcast (e.g. radio and television), and
of increasing importance, internet-based media, such as social media.
No country can successfully compete in a global economy without the use of media as a communication tool. In
terms of occupational health and safety, the following points indicate some of the ways the media is used:
• Making health and safety guidance easily accessible with minimal cost. Agencies such as the Occupational Safety
and Health Administration (OSHA) (USA) and the HSE (UK) produce guidance for all categories of dutyholders
in all types of employment. These are available as hard copies and more commonly downloadable electronic
formats. This allows dutyholders who have limited expertise to access relevant information and so comply with
legal requirements.
• Publicising good and bad health and safety performances (e.g. TV and radio) such as major accidents,
prosecutions and public inquiries. Major disasters may be publicly discussed not only in the country in which they
occurred, but internationally. Incidents with lesser consequences may be publicised within the area in which they
occurred. Such publicity increases the awareness of 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. IOSH (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:
• Newspapers, TV, radio, and the internet making the public, and
in particular dutyholders, aware of enforcement actions, such as
prosecutions, convictions and civil actions.
• 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.
• Courts sanctioning adverse publicity orders against organisations that fail to comply with legal requirements. They
will have an adverse effect on the perceived reputation of the organisation.
Benefits of Schemes which Promote Co-Operation on Health

and Safety Between Different Companies
Explicit co-operation between companies is not usual because in a free market, companies compete with each other
for customers, and so may be reluctant to share good practices for fear of giving their competitors an advantage.
However, there are many schemes that have been established that promote co-operation between different
companies. Depending on the benefits received by the participants, these may last for a short period or carry on
indefinitely.

The establishment of such schemes may be facilitated and encouraged by government bodies, or they may be set up
informally. An example is the so-called good neighbour scheme.
In the UK, a number of these 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 a 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.
Supplier auditing is where an organisation establishes that its existing and new suppliers meet their requirements. In
the context of health and safety, this includes ensuring that the quality of the products and services it supplies meets
legal requirements and other standards. For example, the company may send an auditor to a machine manufacturer
to check that it has adopted safe working practices, that the machines are constructed from suitable materials, and
meet designated safety standards.
Adverse Effects on Business Reputation

An adverse health and safety incident, such as an accident or a case
of occupational ill health, will result in financial implications for the
organisation involved. Even a small incident, in which a worker has to
receive first-aid, will invariably cost money, including lost production
from the injured person and from those who gave first-aid and managed
the incident. Personal injury cases may involve a claim for damages
by the injured person, which will also have a financial impact on the
organisation. There may be a loss of morale among workers in the belief
that the organisation does not care about their health and safety. This Loss of morale among workers is an
may then lead to key personnel seeking employment elsewhere, even adverse effect of incidents
though they may have not suffered any direct loss. Some of the losses
already mentioned, such as loss of production, 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. These are individuals who have an interest in the organisation, and include:
• Workers 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, such as local shops.
• Shareholders who own the organisation and wish to see their investment yield a satisfactory financial return.
An Organisation’s Moral Obligations to Raise Standards

Within their Supply Chains
Brands should take some responsibility for standards at their suppliers. This is based on the principle that global
brands are in a superior position (financially, legally and morally) to make a positive impact on health and safety
standards, both within their organisations and throughout their supply chain. Part of this moral argument stems
from the fact that competition between potential suppliers to deliver products at the lowest price impacts on the
resourcing of health and safety in supply organisations. Global organisations should therefore take some responsibility
to ensure that fierce financial competition between suppliers does not result in severe erosion of health and safety
standards.

In cases where workers have been injured in serious incidents at suppliers’ premises, the moral view has been that the
brands involved should take swift action to commit to providing compensation. This should be negotiated with the
trade unions representing the workers, and be based on international standards. The international buyers also bear
some responsibility for compensating the victims, which should include:
• Loss of income and damages for the injured, and families of the dead.
• Medical costs.
• Educational fees for the children of the deceased.
The distribution of payments should be done in an open way in conjunction with trade unions. It might even be
expected that the brands support an independent inquiry into any such incident and be involved in preventing future
similar occurrences.
Meaning of ‘Self-Regulation’
DEFINITION
SELF-REGULATION
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 standards.
The benefit of self-regulation to the organisation is that it can set and maintain its own standards without external
interference. If problems arise, the organisation can more easily keep its internal affairs private. It also avoids the
significant national expense of establishing an enforcement agency.
In contrast, attempts to self-regulate may fail because individual organisations may believe there is little advantage in
establishing good standards if similar organisations choose to ignore them. Workers in a self-regulated organisation
may experience poor standards with an increased frequency of accidents and ill health.
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...”.
Source: Safety and Health at Work, Report of the Committee 1970–72, Copyright © 2006 ProQuest Information and
Learning Company (www.mineaccidents.com.au/uploads/robens-report-original.pdf)
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 (HSE) 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”.
We mentioned the UK’s HSWA earlier in this Learning Outcome as an example of goal-setting legislation. The
Act encourages self-regulation. Section 2 of the Act states: “It shall be the duty of every employer to ensure, so far as is
reasonably practicable, the health, safety and welfare at work of all [their] employees”. The Act sets out a broad objective,
but does not prescribe how it will be achieved. It is for the dutyholder (in this case the employer) to decide what
is reasonably practicable. This requires an assessment of the magnitude of the risk associated with the hazard in
question and the cost of either eliminating or reducing the risk to a level that is at least ‘tolerable’ (but preferably
‘acceptable’). Accordingly, the onus is shifted towards the employer to assess risks and to identify and implement
appropriate control measures.

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).
Role and Function of Corporate Governance in a System of Self-

Regulation
DEFINITION
CORPORATE GOVERNANCE
The system by which organisations are directed and controlled by their board of directors and includes the
making of broad strategic decisions that 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.
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.
The board of an organisation, that comprises its directors, provides this

corporate 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 Senior management’s commitment to
profit. health and safety must be demonstrated
To ensure good health and safety performance, the board generally has
to be satisfied that the following matters are demonstrated throughout the organisation:
• Senior management is committed to demonstrate occupational health and safety, and shows an appreciation that
this is as important as other business objectives.
• Health and safety is reviewed at board level.
• Those in the organisation at all levels have access to, and receive, competent advice.
• All staff, including board members, are trained and competent in their health and safety responsibilities.
• The workforce, in particular health and safety representatives, are adequately consulted and that their concerns
reach the right level within the organisation including, where necessary, the board.
• Systems are in place to make sure that health and safety risks are assessed and suitable control measures
introduced and maintained.
• There is an awareness of what activities take place in the organisation, including those of contractors.
• Regular information is received regarding matters such as accident reports and cases of work-related ill health.
• Targets are set which allow the organisation to improve standards and to benchmark its performance against
others within the same business sector.
• Changes in working arrangements that have significant implications are brought to the attention of the board.

A report from EU-OSHA, Leadership and occupational safety and health (OSH): An expert analysis, looks at which corporate
leadership factors determine success and identifies the following five broad guiding principles:
1. Leaders must take their responsibility for the establishment of a positive prevention culture seriously and
employ leadership styles which take account of the cultural context in different groups or nations.
2. Leaders should be seen to prioritise OSH policies above other corporate objectives, and apply them
consistently across the organisation and over time.
3. High-level management must be directly involved in implementing OSH policies which have the unequivocal
commitment of an organisation’s board and senior management.
4. Leaders should set out to cultivate an open atmosphere in which all can express their experience, views and
ideas about OSH and which encourages collaboration between stakeholders, both internal and external, around
delivery of a shared OSH vision.
5. Leaders should show that they value their employees, and promote active worker participation in the
development and implementation of OSH measures.
How Internal Rules and Procedures Regulate Health and

Safety Performance
MORE...
The EU-OSHA report, Leadership and occupational safety and health (OSH): An expert analysis, looks at corporate
leadership factors and analyses the results of 16 case studies from companies across the EU, identifying success
factors and examples of good OSH leadership. The report is available at:
https://osha.europa.eu/en/publications/leadership-and-occupational-safety-and-health-osh-expert-analysis/
view
For an organisation to effectively manage occupational health and safety, it must devise and implement procedures
that enable workers to adhere to safe working practices. This will inevitably include defining rules and procedures that
must be reasonably complied with. Merely stipulating rules is not enough. 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 example, a worker who is required to use a machinery guard in a manufacturing process is less likely to adhere
to the rule if the rate at which they can do the work is significantly impaired when the guard is used. Also, of course,
if there is a poor safety culture in the workplace and few existing workers comply with the rules, then it cannot be
reasonable to expect a new worker to comply either.
For a rule to be effective, it has to be enforced by the organisation. This requires monitoring by supervisors
and managers who must have the necessary authority to enforce the rules. This may include routine day-to-day
monitoring, formal inspections and random spot checks. Failure to comply with internal rules may lead to sanctions
imposed by the employer, which may include:
• Informal verbal warnings.

• Formal verbal and written warnings.
• Temporary suspension from work.
• Demotion.
• Dismissal.

Such sanctions have to be imposed fairly and must not constitute bullying. They must also comply with the national
employment law. Suitable and fairly enforced safety rules will reduce the likelihood of workers violating them, and
will create an environment in which safe working becomes the norm. This will accordingly reduce the likelihood of
accidents and ill health.
STUDY QUESTIONS
14. How do employers’ bodies influence health and safety practices and standards?
15. How do trade unions influence health and safety practices and standards?
16. Explain the ways in which the media (e.g. TV, internet, etc.) can influence health and safety.
17. What is meant by a ‘good neighbour scheme’?
18. Explain the meaning of the term ‘self-regulation’.
19. List the functions of the board of an organisation for the effective governance of health and safety.

Third Parties 1.5
Third Parties

IN THIS SECTION...
• Outline how and why third parties must be managed within the workplace.

Identifying Third Parties
The term ‘third party’ is used to describe any person or company not
directly employed by the host organisation. A manufacturing organisation
may have third parties to the site, such as visitors (delivery drivers, sales
representatives, postal service, members of the public), contractors
(engineers and builders), agency workers who are providing labour
through another employer, and other workers who are sharing the
premises, such as a catering team or a facilities management team.
Reasons for Ensuring Third Parties Delivery drivers, members of the public
and agency workers are all third parties
Are Covered by Health and Safety
Management Systems
In terms of potential legal requirements, the International Labour Organization’s (ILO’s) Occupational Safety and
Health Convention (C155) 1981 (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.”
The accompanying Occupational Safety and Health Recommendation (R164) 1981(Article 11) states:
“Whenever two or more undertakings engage in activities simultaneously at one workplace, they should collaborate in applying
the provisions regarding occupational safety and health and the working environment, without prejudice to the responsibility
of each undertaking for the health and safety of its employees. In appropriate cases, the competent authority or authorities
should prescribe general procedures for this collaboration.”
Both Articles imply that account is taken of third parties who happen to be working on the same premises. This
invariably will involve the exchange of information (on hazards, etc.), as well as the co-ordination of emergency
arrangements and sharing of procedures.
This collaboration requirement is repeated in some of the sector-specific conventions, such as the Safety and Health
in Construction Convention (C167) 1988 (Article 8), together with its Safety and Health in Construction
Recommendation (R175) 1988 (Article 5).
Even if your country has not ratified the above ILO convention, you may have equivalent requirements.
It is quite clear that there is a moral imperative which ‘obliges’ us to look after other people, but because of the
complexities of modern society, we often now have legislation that provides standards about how we look after the
physical and mental well-being of our neighbours (the young, the elderly, the disadvantaged), and the visitors who
enter our premises and workplaces, who may be completely oblivious to the hazards which may lurk there.

1.5 Third Parties
Apart from moral and legal obligations to third parties, there is another consideration, and that is the economic
factor.
What are the economic implications of neglect of OHS? We have already looked briefly at the hidden costs of
accidents.
Economic considerations are twofold. Accidents resulting from poor OHS management result in huge financial losses
to everyone concerned. Poor OHS management is often itself caused by the serious lack of economic resources
available for OHS purposes both at national and workplace levels.
It is not a difficult management exercise to compare the costs of preventing accidents with the costs arising from
them (compensation, lost production, increased insurance premiums, overtime, legal fees, fines, etc.) but the simple
logic appears to escape many boardrooms. Prevention of accidents and ill health is a worthwhile investment which
attracts enormous dividends, both for the individual employer and the national economy as a whole.
Basic Duties Owed to and by Third Parties

You may be familiar with the concept of ‘duty of care to your neighbour’. This is quite 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. The type of civil action that might arise is called ‘the tort of
negligence’ (a ‘tort’ is a civil wrong).
Earlier, we looked at Article 17 of C155 and also Article 11 of the associated R164. These contained a general duty
to collaborate where two or more employers engage simultaneously in activities at the same workplace. If your
country has ratified the Convention, these requirements will be enshrined in law.
We will now consider some specific examples of relationships which illustrate typical duties owed to and by third
parties.
Occupiers of Premises/Land to Visitors

Many countries have established a common duty of care of an occupier
to all lawful visitors (visitors are third parties who visit premises or land –
many will either be explicitly invited or have an implicit right to be there).
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. The duty is
usually in respect of dangers due to both the state of the premises, as
well as any acts or omissions. It is also common for this duty (albeit in a
qualified, lesser form) to be extended to trespassers (i.e. those who have Occupiers must be especially aware of
no invitation or permission to be there). risks to children
Generally, the occupier must be prepared for children to be less careful
than adults. If the occupier allows a child to enter premises, then the premises must be reasonably safe for a child of
that age. The occupier must be aware of any lure or attraction to children, such as a pond, that could constitute a trap.
It is generally accepted that there may be special risks associated with certain types of work undertaken by the visitor.
In such cases, an occupier may expect that a person, in doing their job, will appreciate and guard against any special
risks related to it; for example, if the occupier invites a competent electrician to do some work, and due to the
carelessness of the contractor they are electrocuted, then the occupier would not generally be liable.
It is common that an occupier can try to discharge at least some of their duty of care by displaying a warning notice,
but it is not usually enough on its own. Indeed, signs may be of little use to protect children or the visually impaired.

Third Parties 1.5
Agency Workers
DEFINITION
AGENCY WORKER
An individual who has a contract with a temporary work agency and who is supplied by that agency to work
temporarily under the supervision and direction of the hirer.
There is increasing use of agency workers, employed on a temporary basis, to supplement the labour force. Businesses
and self-employed people using temporary workers must provide the same level of OHS protection for them as they
do for employees. Providers of temporary workers, and employers using them, need to co-operate and communicate
clearly with each other to ensure risks to those workers are managed effectively. Again, it needs to be agreed who
does what in this respect. If it is assumed that the ‘other party’ will take responsibility then workers may be left
without any OHS consideration or protection at all.
Before temporary workers start, they need to be covered by risk assessments and to know what measures have been
taken to protect them. They also need to understand the information and instructions required for them to work
safely and be provided with the necessary training. There may also be issues regarding language needs of temporary
workers who do not speak the local language well, or even at all.
Other relevant issues include:
• The need to check on occupational qualifications or skills needed for the job.
• Agreement on arrangements for providing and maintaining any PPE.
• Agreement on arrangements for reporting accidents to the enforcing authority.
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 that might affect the OHS of respective workers
(which we have already mentioned in relation to Article 17 of C155).
This is especially true for the client to provide information on any special
site hazards.
The ILO code of practice, Safety and Health in Construction, also

identifies the responsibility of the client to ensure that contractors
consider the cost of adequate OHS provision for the construction project when tendering for the job: there is a
responsibility not to just choose contractors based on ‘lowest bid’, and there is again an implication that information
on specific site hazards is communicated to the contractor so that they are able to take account of them when
counting the cost of safety at the tender stage.
The client should also ensure that the contractor is allowed sufficient time for the job, in consideration of OHS (i.e.
don’t set unrealistic deadlines which would compromise safety). 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 their workers are competent to do the job.

1.5 Third Parties
Other Employers (Shared Premises)

Where employers share workplaces, they need to co-operate with each other and tell other employers about any
risks their work activities could present to their workers, both on- and off-site. However, it can be difficult to establish
exactly who is responsible for what, which is why communication and co-ordination is required and the respective
employers must decide this for themselves.
The main principle that applies is that employers will be responsible for those activities and issues that are under their
control, but co-operation and communication with others will still be required. As might be expected, the starting
point for all parties is risk assessment, which needs to consider the risks to others sharing the building or site.
Responsibilities for Control of Risk Associated with Third

Parties
It is clear that there is a general duty to ensure that all reasonably practicable measures are taken by clients (i.e. those
who engage third parties) and people in charge of premises to reduce the risk to contractors and vice versa.
It is probably fair to say that the responsibility for risk control is shared – the client being responsible for the
workplace, environment and their workers; the third party being responsible for the job and their workers. But there
will be many areas of overlap; indeed, the terms of the engagement contract should help clarify major responsibilities.
Tight procedures are required to ensure all possibilities are addressed.
This type of shared responsibility is exemplified by the provision of site welfare facilities. The client is often
responsible for ensuring that adequate management arrangements are in place for the provision of site welfare
facilities. Third parties are responsible for ensuring that welfare facilities are provided and that adequate site induction
is given.
Provision of Information Relating to Hazards/Risks to Third Parties

The provision of information to third parties relating to hazards and risks is important.
• Contractors
We have already looked at the duty to collaborate on OHS matters contained within C155. This will necessarily
involve exchange of relevant information (on hazards, risk assessments, method statements, procedures, etc.).
Many items may be specifically identified in the contract between the two parties.
• Visitors
It is usual to give visitors to the workplace written information on emergency procedures, often in the form of
a small card or on a visitors’ slip. Think about where the visitor is going and what the purpose of their visit is. It
may be necessary to supplement the general information with other, more specific, information relating to their
particular situation.
• General Public
Information to the general public will include such things as notices and warnings on perimeter fences, gates, etc.
Roadworks and other activities that impact on the general public, as well as requiring prominent signage, may be
published in local newspapers and pre-work notices erected at the site.

Third Parties 1.5
STUDY QUESTIONS
20. Outline the legal reasons for ensuring that third parties are covered by HSMSs.
21. What are the economic implications of neglect of OHS in the workplace?

1.6 Insurers
Insurers

IN THIS SECTION...
• Outline the role of insurers in health and safety.

How Insurers can Influence Organisational Health and Safety
Insurance organisations can be a great source of information to
employers. Some insurance is legally required (such as Employers
Liability Insurance under the UK’s Employers Liability Compulsory
Insurance Act 1969, and workers compensation insurance required in
Australia), whilst some such as Public Liability or buildings insurance is
often voluntary (yet advisable) – the requirements will differ between
countries.
Frequently, different insurers cover different business risks, some may

insure the ‘people’, others may insure the ‘fire-risk’, but ultimately it is
in the insurer’s best interests to support the organisation to reduce its risk through improved standards, as this will
reduce the losses that it may face. Insurers are concerned only with civil liability, however, as they cannot cover losses
which arise from fines in the criminal courts.
Insurers can influence safety through the provision of inspections, advice and guidance, and through the
establishment of standards that the organisation must adhere to. For example, it may not be a legal requirement to
store wooden pallets away from the building, but an insurance company may advise a client to do so to mitigate losses
which could arise from arson. Insurers also sometimes provide policies and standards for hot-works and work on fire
systems. Failure to follow the recommendations of the insurer is not a criminal offence, they are advising rather than
regulating, but it may impact the premium that the company faces as a result, or insurance may be cancelled. Equally,
organisations facing multiple claims for personal injuries may find premiums are increased.
Roles of Loss Adjusters and Claims Handlers

In the event of a claim (such as a personal injury claim for compensation), the insurer will engage loss adjusters
and claims handlers to support the process. A loss adjuster will initially ensure that the policy does cover the loss or
damage, and confirm the amount that should be paid by the insurance company. The loss adjuster may be advising
the insurer, or may have the authority to settle the claim on their behalf.
A claims handler will manage the claim through the process, ensuring that the policy holder receives the support and
services that they need. The claims handler will provide advice and guidance throughout the process to ensure that
the policy holder knows how to make a claim, that the claim is made correctly, that the claim is progressing, and that
appropriate trades are contacted as required. For example, following a flood there may be contractors appointed to
clean the premises, others to carry out repairs, property and equipment that needs to be replaced. They will also liaise
with solicitors if required, and may even investigate fraudulent claims.
STUDY QUESTION
22. What is the role of a loss adjuster in the claims process?
(Suggested Answer is at the end.)

Summary
Summary

1.1: Socio-Legal Models
This section has:
• Explained the role of legislation as a means of promoting positive health and safety outcomes.
• Examined the differences between ‘goal-setting’ and ‘prescriptive’ legal models.
• Considered loss events as failures in the duty of care to protect individuals, and examined the compensatory
mechanisms that may be available to them, including no fault liability and fault liability claims.
1.2: Enforcement
In this section, we have considered:
• The broad role of a health and safety enforcement agency is likely to be to protect people against risk to health
and safety arising out of work activities.
• The UK HSE’s Enforcement Policy Statement (HSE41) which describes the following principles in attempting to
ensure firm but fair enforcement of health and safety law:
–– Proportionality of enforcement.
–– Consistency of approach.
–– Transparency.
–– Targeting.
–– Accountability.
1.3: The International Labour Organization and its Conventions and

Recommendations
In this section, we have looked at:
• The role and status of ILO conventions, recommendations and codes of practice in relation to health and safety.
• Occupational Safety and Health Recommendation (R164) 1981 which sets out the roles and responsibilities
of governments, enterprises and workers.
• How international conventions can be used as a basis for setting national systems of health and safety legislation.
1.4: Non-Governmental Bodies and Health and Safety Standards

This section has:
• Considered influential parties, such as employer bodies, trade associations, trade unions, professional groups,
pressure groups and the public who have a role in regulating health and safety performance.
• Noted how the media can play an important role in communicating health and safety issues and can influence
changes in attitudes to health and safety.
• Considered the benefits of schemes which promote co-operation on health and safety between different
companies.
• Explained the possible effects on business of stakeholder reaction to health or safety concerns.

Summary
• Noted an organisation’s moral obligations to raise standards of health and safety within their supply chains.
• Examined the origins and meaning of ‘self-regulation’.
• Described the role and function of corporate governance in a system of self-regulation.
• Considered how internal rules and procedures regulate health and safety performance.
1.5: Third Parties

In this section, we have outlined that:
• There are legal, moral and economic reasons for ensuring that third parties are covered by health and safety
management systems.
• Basic duties owed to and by third parties include those of:
–– Occupiers of premises/land to visitors.
–– Agency workers.
–– Contractors to clients and vice versa.
1.6: Insurers
In this section, we have:
• Explored the different ways in which insurers can influence health and safety.
• We also considered the roles of loss adjusters and claims handlers in the event of a civil claim for compensation.

Learning Outcome 2

Once you’re read this learning outcome, you will be able to promote a positive health and
safety culture by:
• Gaining commitment and participation.

• Engaging, supporting, and influencing leaders (and others) to change attitudes and
behaviour and make health and safety a priority.


Contents
Organisational Structures 2-3

The Concept of the Organisation as a System 2-3
Organisational Structures and Functions 2-3
Potential Conflict Between Organisational Goals and the Goals of the Individual 2-8
The Integration of the Goals of the Organisation with the Needs of the Individual 2-8
Internal Influences on Health and Safety Within an Organisation 2-9
External Influences on Health and Safety Within an Organisation 2-10
Leadership 2-13
The Meaning of Safety Leadership 2-13
Types of Safety Leadership 2-13
Behavioural Attributes of an Effective Leader 2-15
Consultation 2-17
Formal Consultation 2-17
The Four Stages to Consultation 2-17
Behavioural Aspects Associated with Consultation 2-20
The Role of the Health and Safety Professional in the Consultative Process 2-20
Health and Safety Culture and Behavioural Change Programmes 2-22

The Meaning of ‘Health and Safety Culture’ and ‘Health and Safety Climate’ 2-22
Indicators of Culture and Measuring Health and Safety Climate 2-25
What May Promote a Positive Health and Safety Culture or Climate 2-28
Factors That May Promote a Negative Health and Safety Culture or Climate 2-29
Changing the Culture 2-31
Problems and Pitfalls 2-33
HSE’s Safety Culture Maturity Model 2-34
The Concepts of Blame, No-Blame and Just Culture (Dekker) 2-35
Behavioural Change Programmes 2-36
The Organisational Conditions Needed for Success in Behavioural Change Programmes 2-40
Traditional and Proactive Safety Management 2-42

Traditional Approach to Safety (known as Safety I) 2-42
Proactive Safety Management (known as Safety II or Safety Differently) 2-43
Limitations of Traditional and Proactive Safety Management 2-46
The Effect of Safety Management on Culture 2-47
Risk Perception 2-48

Human Sensory Receptors 2-48
The Process of Perception of Danger, Perceptual Set and Perceptual Distortion 2-49
Errors in Perception Caused by Physical Stressors 2-50
Perception and the Assessment of Risk, Perception and the Limitations of Human Performance, Filtering and
Selectivity as Factors for Perception 2-50
Human Failures and Human Factors and Improving Human Reliability 2-52
The Classification of Human Failure with Reference to HSG48 2-52
The Application of Cognitive Processing 2-55
What are Human Factors? (with reference to HSG48) 2-56
Individual Factors 2-62
Organisational Factors 2-64
Contribution of Human Failure and Human Factors to Incidents 2-73
Initiatives for Improving Individual Human Reliability in the Workplace 2-75
Selection of Individuals 2-78
Summary 2-81

Organisational Structures 2.1
Organisational Structures

IN THIS SECTION...
• Recognise different organisational structures and where conflicts in goals could lie, and how these conflicts can be
resolved.

The Concept of the Organisation as a System
DEFINITION
SYSTEM
A regularly interacting or interdependent group of items forming a united whole.
(Note: This is one of several definitions which can be applied to systems.)
The systems approach to management is a way of thinking in which the organisation is viewed as an integrated
complex of interdependent parts which are capable of sensitive and accurate interaction among themselves and
within their environment.
Common characteristics of systems are that:
• Every system is part of a still larger system and, itself, encompasses

many subsystems (‘circles within circles’).
• Every system has a specific purpose to which all its parts are designed
to contribute.
• A system is complex – any change in one variable will effect change
in others.
• Equilibrium: a system strives to maintain balance between the
various pressures affecting it, internally and externally. Some systems
experience more pressures to change than others, giving rise to stable and unstable systems.
Initial reaction to pressure is often what is called dynamic conservatism – the organisation fights like mad to stay just
as it is! However, sooner or later, homeostasis takes place (activities that serve to stabilise and vitalise the organisation
as a whole in an evolving state of dynamic equilibrium).
Organisational Structures and Functions

General Perspective
An organisation is a group of persons who interact with each other in an effort to achieve certain goals or objectives.
At a very basic level, the shop-floor employee goes to work to earn money – as does their union representative,
supervisor, manager and managing director. The earning of money, then, is a specific goal common to everyone in
that particular enterprise. There will be many other shared goals and objectives as well as many goals that are not
shared, which lead to conflict, and that may eventually have a bearing on the success or failure of the organisation. A
work organisation, then, is an organisation which has been established for a specific purpose and within which work is
carried out on a regular basis by paid employees. Examples of such are: businesses, hospitals, educational institutions,
government departments, etc.

2.1 Organisational Structures
Formal and Informal Structures

All organisations have a formal and informal structure. Within each organisation, there is a formal allocation of work
roles and the administrative procedures necessary to control and integrate work activities.
However, organisations also have an informal arrangement or power structure based on the behaviour of workers
– how they behave toward each other and how they react to management instructions. The supervisor will have
specific instructions from management aimed at achieving certain goals or production targets. In many cases, they
‘adjust’ those instructions in accordance with their personal relationships with individual (or groups of) workers. This
takes us some way toward being able to make a distinction between formal and informal organisations. There is a
blurring at the edges between the two – a crossover point where the distinction between the formal and informal
at the actual point of action becomes obscured and is the subject of a great deal of sociological argument and
discussion. For our purposes, we can describe or explain them in the following way:
Formal Organisational Structure

Most organisations describe their structure in the form of an organogram. This shows the reporting relationships,
from the chief executive of the company down to the staff carrying out the most basic tasks.
The following figure illustrates a typical formal structure for a small company.
Director
Sales Production Quality Finance

Manager Director Manager Director
Production Accounts
Sales Staff
Employees Staff
Formal structure
In theory, every person within the structure has a well-defined role with clear lines of reporting and clear instructions
about the standards of performance. These roles are clearly understood by others in the organisation so that
everyone acts together to achieve the organisational objectives.
Informal Organisational Structure

An organisational chart cannot identify all the interactions that occur between staff. Invariably, it will be the quality of
personal relationships which determines how communications flow within a company and ‘how things get done’.
In most organisations, the formal structure represents the model for interaction, but, in reality, the informal
relationship is significant in understanding how organisations work. The informal structure cannot replace the formal
structure, but works within it. It can influence relationships and effectiveness in both positive and negative ways. An
understanding of it is an invaluable aid to good management. Take another look at the formal structure figure and
then compare it with the informal structure figure that follows. Look at the superimposed informal structure shown
by the dotted lines.

An awareness of these informal relationships would obviously influence how communications are made. The effective
manager will use such knowledge to break down resistance to new measures (including health and safety).
Bro
Director the
er rs-
eth in-La
og
lf T w
y Go
Pla
Went to Same School
Sales Production Quality Finance

Manager Director Manager Director
At University Together
Production Accounts
Sales Staff
Employees Staff
Members of Company Football Team
Informal structure
A simple way of making a distinction between a formal and informal organisation structure is:
• 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.
Hierarchical Line Management Structures
DEFINITIONS
MANAGER
A manager organises, regulates and is in charge of a business.
MANAGEMENT
The management are those people engaged in these functions.

Look at the following figure:
Works Director
Works Manager
Supervisor
Team Leader
Shop-Floor Operative
A typical line management function
Here you can see a direct line of authority from the works director to the shop-floor operative.
• Staff Relationship
The Managing Director’s (MD’s) secretary reports to the MD and carries out instructions by passing the MD’s
wishes to other directors and senior heads of department, but there is no ‘line’ relationship between the secretary
and those departments. There is no instruction from the secretary, as their authority stems from the MD. A
health and safety consultant reporting directly to an MD is not in a position to ‘instruct’ heads of departments to
carry out health and safety policies or instructions. Again, their authority stems from the MD and, in practice, they
would advise heads of department of any changes in policy agreed with and authorised by the MD.
• Functional Relationship
In many larger organisations, certain members of staff have a company-wide remit to carry out activities
‘across the board’. Human resources departments often implement company appraisal plans which affect
every department, internal auditors visit all departments to carry out their work, and quality control inspectors
and health and safety managers have a company-wide role in order to inspect and check procedures. In such
circumstances, any defects discovered would normally be dealt with by reporting them to the departmental head
rather than dealing directly with any individual within the department.
The various hierarchies and line, staff, and functional relationships can create huge problems for any organisation.
Office ‘politics’ and protocols often obstruct communication, which is one of the keys to efficient management.
• Flat Management Structures

Flat management structures are often (but not exclusively) found in smaller organisations. A feature of such
organisations is the necessity (certainly in those with few employees) for the employees to adopt several roles.
Much of the work is done in teams where a team leader will facilitate the work of the team, operating in a
collaborative style rather than through a hierarchical structure. This is a much flatter structure than the linear one
and relies on co-operation and joint decisions rather than instruction being passed down through a management
chain.
Small businesses are far less likely to have a dedicated health and safety professional than a large organisation; the
role is often taken on by an employee who combines the responsibility with other tasks.

Organisation Charts
The structure of an organisation is determined by its general activities – its size, location, business interests, customer
base, etc., and by the way in which its employees are organised.
The organisational pyramid (formal structure) illustrated earlier is probably the principle model for most
organisations, with management at its apex and the workforce at its base. Within this model, each separate
department has its own pyramid with its own power structure and departmental goals. If the organisation is very large
then considerable problems involving communication, efficiency, and effectiveness may occur. The following figures
show two typical pyramids:
Board of Directors
Head Office
Departments
Company Human
Accounts Administration Marketing Sales Production
Secretary Resources
Typical company pyramid
Health and Safety

Director
Security Manager
Health and Safety

Professional
Assistant Security Manager
Occupational Health
Nurse
Security Officers
Typical departmental pyramid
By looking at these structures, you can see the formal levels of authority and responsibility within the organisation
or department. In simple terms, authority or control runs from top to bottom. However, there are other important
management/employee relationships, such as line management, staff, and functional relationships.

Role of Management
Management will lead through issued instructions, policies and procedures, and supervision to ensure that these are
being adhered to.
There is normally a line of responsibility with different functions at each level.
Potential Conflict Between Organisational Goals and the

Goals of the Individual
DEFINITION
GOAL
An object of effort or ambition.
To be successful and progress, both an organisation and individuals have to have goals. For the organisation, the goal
may be an objective to be the ‘best in their field’ or to be the ‘largest’ or to be renowned for ‘outstanding quality’.
For the organisation to achieve these goals, the employees need to have their own goals and objectives to work
toward the organisational goal. However, the individual may have other goals which may or may not impact on the
organisation. For example, an individual may hope to be promoted, which would probably mean that they will work
very hard to achieve their goals/objectives within the organisation, as this should help them to achieve their own
personal goal of promotion. Another individual, however, may want to work fewer hours or have more time with
their family, and this may impact negatively on their willingness to put in extra hours which may be required for the
organisation to achieve its goal.
The Integration of the Goals of the Organisation with the

Needs of the Individual
In setting and achieving health and safety targets, the organisation
should consider the needs of the individual. Where health and safety
tasks are delegated at all levels from senior managers to shop-floor
workers, the responsible individual(s) should be clearly identified and
stated. This gives ownership to the individual concerned, and is an
important factor in getting the individual to ‘buy in’ to the organisation’s
goals.
Many organisations give responsibility without the relevant authority

to carry out the tasks. This can be a mistake as, without authority, the Individuals should be given ownership of
individual can feel frustrated at being unable to carry out the tasks. This health and safety tasks
leads to a feeling of futility and results in tasks being done poorly or not
at all. Where authority is given to enable the individual to carry out tasks,
this can result in an increase in self-esteem and a greater chance that the tasks will be performed well.
The limits of responsibility and authority should be clearly defined so that individuals know the extent of what they
can and cannot do.
With responsibility comes accountability, and this must be made clear to all individuals given health and safety
responsibilities. One important issue when giving responsibility is to ensure that the individual is capable of accepting
it.

Internal Influences on Health and Safety Within an

Organisation
Finance
Setting up and running a company requires considerable financial
investment. Once established, the company needs to generate more
income than it spends on running costs, i.e. cost of premises, plant,
wages, insurance, etc. To do this, the company will set annual budgets
specifying the amount of money available to each department to
support its running costs and setting production targets to be achieved.
When budgets are being reduced to economise, some health and safety
requirements will often be ‘short circuited’. The person responsible for
health and safety must argue for sufficient funds to support health and
safety requirements. Lack of funding will inevitably lead to a reduction Internal influences include finance and
in the resources necessary to effectively administer health and safety. production targets
Health and safety costs might seem to be minimal and easily absorbed in
departmental administration costs. Such an arrangement could lead to financial disaster and costly prosecutions for
non-compliance.
Production Targets
Achieving production goals can put intense pressures on workers leading to stress and an increase in incidents and
accidents in the workplace. It is recognised that increased competition, longer hours, increased workloads, new
technology and new work patterns are significant occupational stressors. Industrial psychology also requires that in
a ‘conveyor-type’ operation, the speed of the belt should be geared to the capacity of the slowest operator. The
pressures on management to achieve production targets/increase production can be translated into action on the
shop floor in a number of ways:
• Make the workforce work longer hours.

• Increase the size of the existing workforce.
• Pay incentive bonuses to increase the daily rate of production.
• Reduce the quality of the goods by using inferior materials.
Apart from increasing the size of the workforce, these measures encourage workers to ‘cut corners’. For example:
• Longer hours can lead to tiredness and less attention to safety factors.
• Bonuses for increased production can lead to disregard for any safe systems of work which slows down the speed
at which the worker can operate.
• Increased production targets may create anxiety in the slower worker, especially if part of a team, and can lead to
shortcuts being taken in an effort to keep up with colleagues.
• Reducing quality may require new systems of work, leading to stress.
All of these can lead to unsafe acts that may have a considerable effect on the company’s health, safety and accident
record.

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. They have a dual role in that they can be involved in the formulation of
policy in certain companies, but they also have a policing role in that they can monitor management’s performance.
They carry out the following functions:
• Investigating potential hazards and dangerous occurrences.

• Examining the cause of accidents.
• Investigating health and safety complaints from employees they represent.
• Making representations to the employer on complaints, hazards and accidents.
• Carrying out inspections of the workplace.
• Consulting with HSE inspectors on behalf of the employees they represent.
• Receiving certain information from the HSE inspector.
Employee representation has been widened to include employees who are not members of a trade union. These
employees will be represented by ‘elected representatives of safety’. Safety representatives are protected by
legislation from victimisation by employers.
Organisational Goals and Culture

The goals and culture of the organisation strongly characterise the company. Some organisations rate safety highly
and treat it seriously, not only in what they claim to do (their safety policy), but also in what actually happens in
practice. Safety culture can be simply described as ‘the way we do things’. If you have worked for several different
organisations you will probably recognise different cultures in terms of what they accept and tolerate. We will look at
this topic in more detail later in this Learning Outcome.
External Influences on Health and Safety Within an

Organisation
The following all exert an influence on the organisation (positive or negative):
Insurance Companies
Enforcement Agencies
Contracts/Contractors/Clients
Courts/Tribunals
The Organisation
HSE/Parliament
Legislation
Public Opinion Trade Unions
External influences on the organisation
Legislation
Any company ignores legislation at its peril. Changes in legislation are well-publicised in the appropriate publications,
and any health and safety adviser should ensure that they are aware of any pending changes and their effect on the
company.

Parliament/HSE/Government and Regulatory Bodies

Of all the influences on a company, probably the most important is that of legislation. The laws passed by
governments will have a direct effect on any company, and changes in procedures to accommodate legislative
changes may be necessary.
Nationally appointed regulatory bodies, such as the HSE in the UK and OSHA in the US can establish standards which
can be legally binding or advisory in nature.
Enforcement Agencies
The enforcement agencies can influence health and safety within companies by:
• Providing advice.
• Enforcement notices.
• Prosecution.
Tribunals/Courts
Employment tribunals may have a direct effect on health and safety through their decisions, such as dismissing an
appeal against an Improvement Notice in the UK.
In a criminal prosecution, the court establishes whether the defendant is guilty or not guilty. The defendant may be
an individual or the company itself. If the prosecution is successful, the organisation will in most cases be fined.
In civil cases for personal injury, the organisation may be sued, which may result in compensation being paid to the
injured party.
Contracts/Contractors/Clients
The nature of contracts and relationships with contractors may have profound effects on the health and safety of a
particular contract. Where a contractor feels that they are making a loss on a particular project, there may be a strong
temptation to cut corners and perhaps compromise on health and safety. Where a client takes a direct interest in
the progress of a contract and in achieving good standards of health and safety, the standards on site are positively
improved. There is a need for effective vetting of contractors’ own company health and safety competence before
hiring their services.
Trade Unions
Trade unions are active nationally in promoting standards of health and safety in many ways:
• Supporting their members’ legal actions and setting precedents and standards.
• Acting through lobby and pressure groups to influence legislation.
• Carrying out and sponsoring research.
• Publicising health and safety matters and court decisions.
• Providing courses on health and safety subjects.
Insurance Companies
Insurance companies directly influence other companies by means of the requirement for employers’ liability
insurance. Should a company suffer an unusually high accident rate, then the insurance company can either increase
their insurance premiums or insist that the company adopt risk-reduction measures. Insurance companies now often
carry out their own inspections of workplace risks and so are able to set certain minimum standards.

Insurance companies may also affect companies by means of their policy toward claims, i.e. because of the high cost
of litigation, cases tend to be settled out of court, rather than pursued in court.
Public Opinion
Ultimately, public opinion can have a powerful effect on legislators, which may result in legislation being passed or
prosecution taking place. Pressure groups may lobby Parliament and influence the government to change the law.
Following a series of major rail crashes in the late 1990s, survivors and relatives formed a group to try to force the
government to improve safety standards on the railways and to hold the railway companies more accountable.
STUDY QUESTIONS
1. What is the difference between a formal and informal organisational structure?
2. List some of the internal influences on an organisation in respect of health and safety at work.
3. List some external bodies that can influence health and safety standards of organisations, identifying the
means by which each body exerts its influence.

Leadership 2.2
Leadership

IN THIS SECTION...
• Recognise the different types of safety leadership and the behavioural attributes of an effective leader.

The Meaning of Safety Leadership
Hersey and Blanchard define leadership as:
“the process of influencing the activities of an individual or a group in efforts

toward goal achievement in a given situation”.
Source: Management of organizational behavior, Prentice Hall.
Risk management is concerned with protecting the health and safety

of employees or members of the public who may be affected by work
activities. Since these activities are controlled and directed at board level, Leadership is critical to achieving
their health and safety implications must be a board level issue as well. highest health and safety standard
Failure to include health and safety as a key business risk in board decisions can have catastrophic results. This is
illustrated by many high-profile safety incidents that have occurred over the years, and in almost all cases, the root
cause is failure of leadership.
The legal framework places health and safety duties on organisations and employers. Members of the board therefore
have both collective and individual responsibilities for health and safety.
Successful safety leadership is based on visible, active commitment at board level, with effective downward
communication systems through the management structure. The aim is to integrate good health and safety
management with business decisions.
Effective leadership should involve the workforce in the promotion and achievement of safe and healthy conditions,
and encourage upward communication to engage the workforce. Without the active involvement of directors,
organisations will never achieve the highest standards of health and safety management.
Types of Safety Leadership

There are a number of recognised theories relating to leadership style which can be associated with safety leadership.
Transformational Leadership
Transformational leadership is based on the assumption that people will
follow a person who inspires them, and that the way to get things done is
by generating enthusiasm and energy; consequently, the aim is to engage
and convert the workforce to the vision of the leader. Since people will
not immediately buy into radical ideas, the transformational leader must
continually sell the vision and, as part of this, sell themselves. For this
to work, transformational leaders need to have a clear idea of the way
forward, and always need to be visible. This style is therefore a continuing
effort to motivate the workforce.

2.2 Leadership
Transformational leaders are people-oriented and believe that success is achieved through commitment, so the focus
is on motivation and the involvement of individuals in the health and safety programme. However, the disadvantage
of this approach is that passion and enthusiasm may not align with reality. The transformational leader may believe
they are right, but this is only their belief. Transformational leaders are good at seeing the big picture – their vision –
but sometimes not the detail where the problems often arise. They therefore need people to take care of things at
this level.
Within the health and safety programme, transformational leaders focus on supervisor support, training and
communication.
Transactional Leadership
Transactional leadership is based on the assumption that people are motivated by reward and punishment and
social systems work best with a clear chain of command. The prime purpose of a subordinate is to do what their
manager tells them to do, so the transactional leader creates clear structures setting out what is required and the
associated rewards or punishments. The organisation, and therefore the subordinate’s manager, has authority over
the subordinate, and the transactional leader allocates work. The subordinate is fully responsible for it, whether or
not they have the resources or ability to carry it out. When things go wrong, the subordinate is personally at fault, and
is punished for failure. The assumption is that if something is operating to a defined performance, it does not need
attention. Success requires praise and reward, and substandard performance needs corrective action.
The style of transactional leadership is that of ‘telling’ in comparison to the ‘selling’ style of transformational
leadership. It is a common approach for many managers but is closer to management rather than leadership.
The main limitation is the assumption that individuals are simply motivated by reward and exhibit predictable
behaviour. Psychologists and behaviourists have identified that there are other fundamental needs that individuals
seek to fulfil which may go unnoticed by leaders purely using this approach.
Within the health and safety programme, transactional leaders focus on compliance, rules and inspection.
Authentic Leadership
Authentic leadership as a concept has been around for centuries – in Hamlet, William Shakespeare wrote 'to thy own
self be true' and the roots of authentic leadership go back as far as ancient Greece.
In 2003 however, this concept gained popularity after the publication of Bill George’s Authentic Leadership. Many
people have experienced leaders who behave in one way at work and another out of work, but this can be confusing
and lead to mistrust or dislike by employees. An authentic leader doesn’t do this – they are true to themselves in the
workplace, understanding their own strengths and weaknesses and aware of their emotions, using them to connect
with the team and communicating with empathy.
At the core of the authentic leader are three values: be true to yourself, be open with others and do the right thing,
not what is best for you as a leader. Therefore it is clear that authentic leaders are interested more in the goals of the
organisation than their own personal goals, they are focused on the results that can be achieved as a team and task
driven. Authentic leaders will often be described as “self aware” and “genuine” – this is seen as an honest leader who
inspires trust in others.
The main advantages of authentic leadership are that it helps build trust and meaningful relationships within the team
and a consistent approach, with the belief in “doing the right thing” yielding high moral standards.
This is not without its problems however, this is a new field and the infancy of this approach means that measuring
authentic leadership can be challenging. The process can be slow and may stop an organisation reacting quickly to
make decisions (or decisions will be taken in a way not seen as “authentic”. Finally, a key drawback is the possible
contradiction which can arise when an authentic leader has to make an unpopular decision in order to deliver what is
necessary for the shareholders.

Leadership 2.2
Resonant Leadership
The idea of resonant leadership is attributed to psychologist Daniel Goleman. If we think in physics terms of
resonance being “the reinforcement or prolongation of sound by reflection from a surface or by the synchronous vibration of a
neighbouring object”, then resonant leadership is leading with the understanding that the emotional state or attitude
of the leader is amplified through the business. If a leader is therefore passionate about safety and positive about
opportunities, then this will reverberate through the organisation; conversely, if a leader sees safety as a chore, then
this attitude will pervade the organisation. Goleman goes on to define four types of resonant leadership:
1. Visionary: here, the leaders share the big picture, the goals and objectives of the organisation, and as a result, the
team members work collectively to achieve the goal.
2. Coaching: leaders who are invested in developing their team members through coaching and mentoring build
trust and motivation in the team. This builds resonance by understanding the connection between people’s
individual goals and that of the organisation so that they are aligned.
3. Affiliative: the focus here is on building collaboration and relationships within the team. People feel valued, and in
times of stress, this can heal divisions and strengthen bonds, building resonance and harmony.
4. Democratic: this style draws on the knowledge of the group and enables decisions to be made as a collaborative
effort. Resonance is built through valuing everyone’s input.
Resonant leadership requires a high level of emotional intelligence, the leader really needs to want to engage
and understand the importance of self awareness, empathy and honesty. Most leaders think that they have good
communication skills, the resonant leader needs to seek feedback to ensure that this is the case. Resonant leadership,
as it is based on coaching, mentoring and development of the team can improve bonds and relationships within the
organisation.
The disadvantages, like authentic leadership are that the process is highly collaborative and this can reduce the
organisation’s ability to rapidly adjust to changing circumstances and that when unpopular decisions are made this
can be seen as contradictory. Finally the clear issue is that if good moods resonate so can the negative moods, and a
leader with a poor opinion of safety can rapidly impact the organisation.
Behavioural Attributes of an Effective Leader

The styles of leadership we have discussed suggest a broad spectrum between the two extreme approaches of
autocratic and democratic. However, there are also leadership behaviours which are regarded as being effective and
are respected by followers.
These include:
• Integrity.
• Appreciation of corporate responsibility (the need to make profit is balanced with wider social and environmental
responsibilities).
• Being emotionally positive and detached.
• Leading by example.
• Supporting and backing people when they need it.
• Treating everyone equally and on merit.
• Being firm and clear in dealing with bad behaviour.
• Listening to and understanding people (‘understanding’ is different to ‘agreeing’).
• Always taking responsibility and blame for mistakes and giving people credit for successes.

2.2 Leadership
• Being decisive and seen to make fair and balanced decisions.

• Asking for views, but remaining neutral and objective.
• Being honest but sensitive in delivering bad news or criticism.
• Keeping promises.
• Always accentuating the positive.
• Involving people in thinking and especially in managing change.
STUDY QUESTION
4. Outline the basic principles of the following types of health and safety leadership:
(a) Transformational.
(b) Transactional.
(c) Resonant.

Consultation 2.3
Consultation

IN THIS SECTION...
• Understand how an organisation can consult effectively with its workers.

Formal Consultation
Successful OHS management depends on a workforce that is committed
to OHS and which co-operates with the employer.
The following is from the ILO Encyclopaedia article: Consultation and

information on health and safety (Part III, Chapter 21).
“The idea of employers and employees working jointly to improve health and
safety at work is based on several principles:
1. Workers can contribute to prevention of industrial accidents by spotting Consultation has a direct effect on
and warning about potential hazards and giving notice of imminent safety performance
dangers.
2. Involving employees educates and motivates them to cooperate in the promotion of safety.
3. Ideas and experiences of workers are regarded as a useful contribution to safety improvement.
4. People have a right to be involved in decisions that affect their working life, particularly their health and well-being.
5. Cooperation between the two sides of industry, essential to improve working conditions, should be based on an equal
partnership.”
There is general agreement that consultative and participatory arrangements have a direct effect on safety
performance.
In terms of international standards offered for adoption as national laws, C155, Article 20, states the basic approach:
“Co-operation between management and workers and/or their representatives within the undertaking shall be an essential
element of organisational and other measures taken in pursuance of Articles 16 to 19 of this Convention.”
This is supported directly by the associated R164 (see especially Article 12). Also relevant are the ILO’s Co-
operation at the Level of the Undertaking Recommendation (R94) 1952 and the Communications within the
Undertaking Recommendation (R129) 1967, which recommend consultation within the workplace.
The Four Stages to Consultation

The HSE publication HSG263: Involving your workforce in health and safety covers the key aspects associated with
consultation. The guidance identifies a four step approach:
1. Get started: Prepare

2. Get organised: Plan
3. Get it done: consult and involve
4. Get it right: keep improving

2.3 Consultation
The approach can be summarised with the following graphic, taken from HSG263.
Get started: Prepare
Why do I need to consult?
Get it right: Keep improving Get organised: Plan

What do I do next? What do I need to do and when?
Get it done: Consult and involve

What do I need to do and when?
The Four Stages to Consultation
Get Started: Prepare

This section highlights the value of the consultation process as a whole. Whilst legally required in some organisations,
it is generally accepted that organisations which involve their workforce will gain joint solutions to problems, improve
the safety culture, reduce accidents and ill-health, improve efficiency and productivity, meet customer requirements,
and comply with legal obligations.
In order for consultation to be effective, there must be commitment from management and employees alike to make
the process work. The business must resource the process and allow time for meetings, whilst employees must also be
prepared to step forward as safety representatives.
Get Organised: Plan

In this section, consideration is given to how employers consult with their workforce, the issues that should be
consulted on, when consultation should take place, and the training required for employees.
Simply put, the size, structure, nature, and diversity of the workplace all have an effect on the way that consultation
can take place. Some organisations will have multiple sites that may need to link up to ensure effectiveness, others
may operate shift systems which should be taken into consideration.
Consultation should take place on matters affecting the health and safety of workers, such as the changes which may
have a substantial impact on health and safety (e.g. new premises, procedures or shift patterns).
Employers should consult “in good time” - not once the work is complete and the decisions have been made. Regular
consultation will highlight upcoming issues, rather than simply responding to problems as they arise.
Finally, those representing your employees require training; whilst trades unions offer courses for their members,
there are many other options available, but training should be provided.
Get it Done: Consult and Involve

This section covers the employer's duties when consulting, methods of involving employees, involving representatives
in inspections and investigations, and establishing an effective safety committee.
The employer is legally required to provide time off for the representatives in order to attend training or to carry
out their duties, provide facilities and assistance that they may require and provide certain information. If the
representatives are from a recognised trade union, then if two or more representatives ask for one (in writing) the
employer has to establish a safety committee.

Consultation 2.3
Employees can be engaged and involved through face to face communication with the workforce, indirect
communication, such as toolbox talks or by including safety as an agenda item in all meetings, or through safety
representatives who may attend a safety meeting.
Other indirect methods of communication include staff surveys, company intranet sites, suggestion schemes and
newsletters.
Additional effort may be needed if workers have poor written or spoken

English; translations, interpreters, and pictorial communications can
greatly assist, as can helping those who wish to build their language skills
through training.
Employees can be invaluable in assisting with inspections and

investigations. By utilising the experience of the representatives, the
organisation can gain the co-operation of the workforce. These can
include safety surveys, safety inspections, safety tours and inspections
after an incident or accident in the workplace. After an inspection, it is Indirect communication methods
essential that the organisation follows up on the actions and responds to include staff surveys and the company
the findings. intranet
As well as being a legal requirement for some unionised workplaces, the use of a safety committee can also bring
huge benefits to most organisations if implemented effectively. When establishing a committee it is important to
understand:
• how the committee will function;

• who the members will be;
• what action the committee will take;
• how decisions will be made; and,
• what resources will be required.
If well established, a safety committee can greatly improve communication in an organisation, ensuring that
information flows between the different levels of the business. If badly implemented however, the committee can
rapidly become a ‘talking shop’, which does not generate any significant action, and as a result, will lose energy and
momentum. Committees will need a balanced membership with representatives from all areas of the organisation,
and the management team not outnumbering the workforce. There must also be a real bias for action; if the
committee can’t remedy issues, it will quickly be viewed as pointless and will again lose steam.
Get it Right: Keep Improving

This final section covers monitoring performance, reviewing performance, and knowing what to do when things
become challenging.
To monitor how well the engagement process is working, consider asking representatives if they have been given time
to attend meetings, asking employees who their representatives are and how they could raise concerns, and look to
see if issues raised are being reviewed.
The review of performance is carried out to ensure that the organisation is making progress and that things are
improving, as well as the workforce being consulted with appropriately.
Finally, in most organisations there will be challenging times where the workforce and management disagree about a
health and safety issue, or where other issues cloud the decisions being made on health and safety. Trades unions and
arbitration services can ultimately assist if needed.

2.3 Consultation
Behavioural Aspects Associated with Consultation

In any social group, conflict may arise between two or more people, interest groups, genders, ethnic or racial
groups, and workplaces are no exception. Safety committee member ‘A’ serves on the committee to represent their
department or perhaps a particular group of workers with common skills. Similarly, committee member ‘B’ represents
their department members. A and B, although sharing a common membership of the safety committee, may well be
pursuing different objectives. They may both be seeking improved health and safety arrangements for their members
but may be in competition for the allocation of limited resources to their particular project.
• Peer Group Pressures

A safety representative serving on a safety committee may feel that they have to question and criticise any
suggestion put forward by a management representative on the committee. Remember that the safety
representative is a worker’s representative; they are neither part of the management team nor necessarily ‘a
competent person’. Their perception of health and safety problems may be different from that of management
and not constrained by budgeting considerations. Their role is mainly a policing one, in which they monitor
the safety performance of management and, because of peer group pressure, they may see themselves in a
conflicting, rather than co-operative, role.
• Danger of Tokenism
One of the dangers associated with consultation is tokenism – where management go through the consultation
process but the views expressed by employees are apparently ignored. Clearly, during the consultation
process, there is no obligation on the employer to make changes suggested by employees (unless there is a
legal requirement) and this may be for perfectly legitimate reasons. However, the employer should respond
to information gained during the consultation process and explain what action will be taken and why some
proposals may not be implemented, otherwise there may be resentment and apathy toward the process.
• Potential Areas of Conflict

The safety representative may sometimes view themself as an expert on health and safety matters. Conflict
may arise between the safety representative and the first line supervisor where the safety representative may
have advised their members (wrongly) not to carry out a particular management instruction. This is not to say
that conflict always arises as a result of worker attitude toward management. The converse is equally true, with
management taking the view that their opinions are correct simply because they are management and think they
know better. Consultation about problems, where the views of all the participants are considered, should lead to
effective decisions.
The Role of the Health and Safety Professional in the

Consultative Process
The term ‘safety professional’ covers such diverse staff as: safety advisers,
occupational hygienists, doctors, nurses, safety managers, human
resources managers, training officers, facilities managers, ergonomists,
engineers and radiation protection advisers. The qualifications range
from the highly qualified doctor to the human resources manager who
has completed perhaps a non-examination, three-day, basic health and
safety awareness course. The health and safety professional needs to be a
person with a wide range of abilities and a recognised safety qualification Doctors, Safety Managers and Engineers
at diploma or degree level with Institution of Occupational Safety and can all be safety professionals
Health (IOSH) membership.

Consultation 2.3
In relation to the health and safety consultative process, health and safety professionals have a substantial role to play.
They are often the first contact for the employer or worker on health and safety matters. The safety professional
maintains a number of relationships:
Within the Organisation

• The position of health and safety professionals in the organisation is such that they support the provision of
authoritative and independent advice.
• The post-holder has a direct reporting line to directors on matters of policy and authority to stop work which is
being carried out in contravention of agreed standards and which puts people at risk of injury.
• Health and safety professionals have responsibility for professional standards and systems and, on a large site, or
in a group of companies, may also have line management responsibility for junior health and safety professionals.
Outside the Organisation

Health and safety professionals liaise with a wide range of outside bodies and individuals, including: local government
enforcement agencies; architects and consultants; the fire department; contractors; insurance companies; clients and
customers; the public; equipment suppliers; the media; the police; medical professionals; and hospital staff.
This is a very wide brief and indicates that the safety professional requires a broad and extensive knowledge of health
and safety matters in order to fulfil their duties. They are the organisation’s first contact when health and safety
problems are encountered, and will give advice on short-term safety solutions to problems and follow this through
with perhaps a recommendation for a change in policy or the introduction of new technology or new/revised safe
systems of work. They will also recommend the services of outside expert consultants where the problem requires
scientific, medical or technical advice which is outside their area of expertise. They may also be involved in safety
committees in a chairing role or simply in an advisory capacity during committee deliberations.
MORE...
For more information on Consultation, visit the ILO Encyclopedia, Part III: Management and Policy at:
www.iloencyclopaedia.org
STUDY QUESTIONS
5. What does Article 20 of Convention C155 state about consultation?
6. What are the four stages of consultation as outlined by HSE publication HSG263: Involving your workplace in
health and safety?
7. Name four of the external bodies that the Health and Safety Professional may have to liaise with?

2.4 Health and Safety Culture and Behavioural Change Programmes
Health and Safety Culture and Behavioural Change

Programmes

IN THIS SECTION...
• Understand what contributes to an effective health and safety culture and climate, and the impact that
behavioural change programmes can have on culture.

The Meaning of ‘Health and Safety Culture’ and ‘Health and
Safety Climate’
There are numerous definitions for a health and safety culture but, essentially, it involves a system of shared beliefs
about the importance of health and safety in the workplace.
The definition by the former Health and Safety Commission’s Advisory Committee on the Safety of Nuclear
Installations is:
“The safety culture of an organisation is the product of individual and group values, attitudes, perceptions, competencies, and
patterns of behaviour that determine the commitment to, and the style and proficiency of, an organisation’s health and safety
management. Organisations with a positive safety culture are characterised by communications founded on mutual trust, by
shared perceptions of the importance of safety and by confidence in the efficacy of preventive measures.”
Source: ACSNI Human Factors Study Group: Third report – Organising for safety, HSE Books, 1993.
What, then, is health and safety climate?
Unfortunately, there is no universal definition and many authors use the terms culture and climate interchangeably.
One commonly accepted explanation is given by Sir Cary Cooper who distinguished between three related aspects of
culture:
• Psychological aspects: how people feel, their attitudes and perceptions – safety climate.
• Behavioural aspects: what people do.
• Situational aspects: what the organisation has – policies, procedures, etc.
It is generally accepted that ‘safety climate’ refers to the psychological aspects of health and safety and is measured
through a safety climate or attitude survey (see later).
The important thing to remember about a safety culture is that it can be

positive or negative. A company with a negative or poor safety culture
will struggle to improve safety or prevent accidents, even if they have
excellent written procedures and policies and state-of-the-art safety
equipment. The reason for this really comes down to people, their
attitudes to safety and how this attitude is encouraged and developed.

Health and Safety Culture and Behavioural Change Programmes 2.4
Organisational Culture and Health and Safety Culture

Professor Edgar Schein wrote in his 1984 article Coming to a New Awareness of Organizational Culture that:
“Organizational culture is the pattern of basic assumptions that a given group has invented, discovered, or developed in
learning to cope with its problems of external adaptation and internal integration, and that have worked well enough to be
considered valid, and, therefore, to be taught to new members as the correct way to perceive, think, and feel in relation to those
problems.”
Source: Coming to a New Awareness of Organizational Culture, MIT Sloan Management Review, vol.25 no. 2, 1984.
This definition has been reviewed and revised by Davide Ravasi and Majken Schultz in 2006 in their article, Responding
to Organizational Identity Threats: Exploring the Role of Organizational Culture, stating that organisational culture is “a set of
shared assumptions that guide behaviors”. In both definitions, the similarities of organisational cultures are clear.
Professor Geert Hofstede describes organisational culture as a ‘shared, collective phenomenon’, which broadly means
that the group will act in a way which reflects the organisational culture.
Culture is built up from multiple layers or facets which together shape the way the organisation operates. These layers
include:
• Symbols: such as logos or company colours or monuments.

• Heroes: such as public figures or company founders.
• Rituals: both in works such as meetings and out of work such as leisure activities.
• Values: the standards that are taught to us that we find more palatable than the alternative, such as equality.
Hofstede further divides organisational culture into:
1. Optimal culture: the culture that is best for your organisation.

2. Actual culture: the culture you currently have.
3. Perceived culture: the culture you think you have.
4. Ideal work environment: the current feelings about the working environment which in turn greatly influences
actual culture.
Hofstede then defines a model based upon six dimensions of organisational culture:
Dimension Description Features
Dimension 1: Organisational Means-oriented vs. Goal- In a means-oriented organisation, the focus

effectiveness oriented organisation is on the way in which work is carried out; in
a goal-oriented culture the focus is on the
results that are achieved, and this can in turn
tempt people to take risks.
Dimension 2: Customer Internally Driven vs. Externally In an internally driven organisation, the work
Orientation Driven and standards are driven by the beliefs of the
organisation and the understanding that this
will in turn service the customer. In a highly
externally driven organisation, however, the
customer requirement is most important
and in turn the focus again shifts towards
results.

Dimension Description Features
Dimension 3: Level of control Easy-going Work Discipline vs. In an easy-going culture there are few rules
Strict Work Discipline and many surprises – the opposite is true in
a strict environment.
Dimension 4: Focus Local vs. Professional In a local culture, the staff identify with the
boss, are internally focused, and like to be
the same as everyone else. In a professional
culture, the identity of the employee relates
to their role or job title and workers are
externally focused.
Dimension 5: Approachability Open system vs. Closed System In an open organisation, newcomers are
welcomed, and it is felt that everyone will
fit in; the same is not true of a closed system.
Dimension 6: Management Employee-oriented vs. Work- In employee-oriented organisations, the
Philosophy Oriented personal circumstances of the employees
are taken into account and there is a high
level of focus on welfare. In work-oriented
cultures, the job must be completed at all
costs and the welfare of the employees is
considered secondary.
MORE...
You can find out more on the Hofstede Insights at:
https://hi.hofstede-insights.com/organisational-culture#step-5
There is an excellent summary of organisational culture and a checklist at:
www.managers.org.uk/~/media/Files/PDF/Checklists/CHK-232-Understanding-organisational-culture.pdf

Indicators of Culture and Measuring Health and Safety

Climate
TOPIC FOCUS
Indicators of safety culture within an organisation include:
• Housekeeping.
• The presence of warning notices throughout the premises.
• The wearing of PPE.
• Quality of risk assessments.
• Good or bad staff relationships.
• Accident/ill-health statistics.
• Statements made by employees, e.g. ‘My manager does not care’ (negative culture).
Some of these indicators will be easily noticed by a visitor and help to create an initial impression of the
company.
MORE...
Loughborough University has developed a Safety Climate Assessment Toolkit which you can find out more
about at:
www.lboro.ac.uk/enterprise/case-studies/safety-climate
While there are many indicators that can give a first impression of a company’s safety culture/climate, it is possible to
measure some of the indicators to obtain a more accurate picture of the sense of culture within an organisation.
There are a number of measurement tools available.
Safety Climate Assessment Tools

The Health and Safety Laboratory has published a safety climate tool that uses eight key factors mapped around 40
statements on which respondents are asked to express their attitude:
1. Organisational commitment.
2. Health and safety behaviours.
3. Health and safety trust.
4. Usability of procedures.
5. Engagement in health and safety.
6. Peer-group attitude.
7. Resources for health and safety.
8. Accidents and near-miss reporting.
The kit is available in a software format and will analyse and present the results as charts that can be easily
communicated to the workforce.

MORE...
The Health and Safety Laboratory (HSL) produced a Safety Climate Tool, which you can find at:
https://books.hse.gov.uk/Safety-Climate-Tool
Although this is not a free tool, it is very well developed. However, for an alternative, free resource, download
The Paper and Board Industry Advisory Committee’s Safety Opinions Survey from:
www.hse.gov.uk/paper/tools.htm
Perception or Attitude Surveys

These are survey questionnaires (often within a safety climate tool) containing statements which require responses
indicating agreement or disagreement. Respondents are asked to indicate to what extent they agree or disagree
with each statement, generally using a five-point scale that can then be coded to give a score. High scores represent
agreement and low scores disagreement.
It is not difficult to produce a questionnaire about general health and safety which would give some idea as to
the safety culture within an organisation. The questionnaire must be worded to avoid bias, and to obtain truthful
answers, confidentiality is necessary. When carried out properly, these questionnaires can identify underlying anxieties
and problems which would be difficult to identify by any other means. Take care, however, to make sure that the
questionnaires themselves do not create anxiety or suspicion in the minds of employees. When carried out regularly,
attitude surveys can identify trends and it is then possible to quantify how attitudes are changing.
Findings of Incident Investigations

Sometimes during an accident/incident investigation, the underlying cause is identified as ‘lack of care’. This may
indicate individual carelessness or, where carelessness is found to be the widespread cause of accidents/incidents,
then this may be an indicator of poor safety culture.
Where the same underlying cause keeps recurring, the safety manager has to introduce a process of education or
re-education of the workforce to encourage a change of attitude. The findings and lessons learnt from incident
investigation are invaluable in preventing similar occurrences, setting policy, formulating safe systems of work, writing
training materials and, after publication to the workforce, demonstrating company commitment to the principles of
good safety management.
Effectiveness of Communication
DEFINITION
COMMUNICATION
The transfer of information from one person to another, with information being understood by both the sender
and receiver.
The process of communication requires a sender, a receiver and feedback. Feedback is the part that is often left out of
the process and this is what leads to problems. Successful communication is measured by feedback, which allows the
sender to test whether the receiver has fully understood the communicated message.
Communication methods are written, verbal or visual, or a combination of all three. The method chosen must be
appropriate to the type of information to be communicated and its objectives, the sophistication of the audience
(receivers), and the structure and culture of the organisation.

Communication surveys can be used to find out how effectively information has been transferred to new members of
staff. A sample of comparatively new members of staff can be interviewed to identify how well they have assimilated
the company’s safety culture or how much they have retained from company health and safety training. This type of
survey can be done formally or informally.
Effective communication involves:
• Including everyone who should be included.

• Not overloading people with large quantities of information; prioritise anything urgent.
• Being brief, direct and keeping it simple.
• Being fast but not at the expense of accuracy.
• Being selective; sending only what is necessary.
• Encouraging feedback to ensure the message has been received and understood.
• Using as few links in the communication chain as possible to prevent distortion of the original message.
Evidence of Commitment by Personnel at all Levels
DEFINITION
COMMITMENT
A declared attachment to a doctrine or cause.
It is the goal of the health and safety professional to ensure commitment to health and safety by everyone within
an organisation. This commitment must start at the management board level. It is essential that management show
their commitment to safety as this sets the standard for the whole organisation. The workforce will only believe in
this commitment if they know that management is willing to sacrifice productivity or time in order to ensure worker
safety.
Evidence of commitment can be seen by management visibility. If managers are not seen on the shop floor or at
the ‘sharp end of activity’, workers may assume that they are not interested in the job or health and safety. Lack of
management visibility is seen as a lack of commitment to safety and this becomes part of the organisation’s safety
culture.
Visible commitment can be demonstrated by management:
• Being seen and involved with the work and correcting deficiencies.
• Providing resources to carry out jobs safely (enough people, time and money, providing appropriate PPE, etc.).
• Ensuring that all personnel are competent (providing training and supervision).
• Enforcing the company safety rules and complying with them personally (introducing safe systems of work and
insisting on their observance).
• Matching their actions to their words (correcting defects as soon as is reasonably practicable, avoidance of double
standards).

What May Promote a Positive Health and Safety Culture or

Climate
Management Commitment and Leadership
The most important thing is ‘leading by example’. As soon as management undermines the safety standards in order
to increase productivity, or ignores an unsafe act, then they lose employee respect and trust and the whole safety
culture of the organisation is threatened. It is important to ensure that management behaviour is positive in order to
produce positive results and a positive culture.
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. All newsletters, minutes of meetings,
notices, advertisements and brochures can include an appropriate reference
to safety; it could simply be reference to the organisation’s commitment to
safety (e.g. a safety phrase appearing on all notepaper) or, with respect to
meetings, it could be an opportunity for any safety concerns to be raised.
If safety is seen as an integral part of the business, then the profile of safety
will be raised.
Provision of Information
It is really important to provide information about health and safety matters
in the form of posters, leaflets or in staff newsletters.
Involvement and Consultation

It is vital to involve staff members in health and safety matters. Areas in
which staff representatives or health and safety representatives can be Health and safety law poster
actively involved include:
• Risk assessments.
• Workplace inspections.
• Accident investigations.
• Safety committee meetings.
It is also a legal requirement to consult with employees in good time regarding:
• The introduction of any measures that 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.
Involving and consulting with employees is an important process for getting employees to take ownership of health
and safety issues. The fact that they or their colleagues have been involved in health and safety matters encourages
respect for safety rules and improves attitudes towards safety. These values all help to produce a more positive safety
culture within the organisation.

Training
Training is vital to ensure that people have the right skills to carry out their job safely. Training also makes individuals
feel valued and is an important part of their personal growth and achievement. Employees who receive training are
more likely to be motivated and take newly learnt skills or ideas back to the workplace.
Promotion of Ownership
There are many ways to promote ownership in individuals. We have mentioned involvement and consultation already,
but simply talking to people and asking their opinion or their thoughts on a health and safety problem can encourage
them to think about health and safety and what they can do to improve it.
Setting and Meeting Targets

Setting safety targets for individuals or teams can have a positive effect on a safety culture. Usually, there will be an
incentive, perhaps a bonus, linked to performance-related pay or an award or prize. The target could be, for example,
to obtain a higher score in a health and safety inspection.
Aiming for the target should encourage people to work together in order to achieve it and this usually means people
talking about health and safety and ways to improve it.
Once the target is met, that standard must be maintained and further improvements encouraged by setting another
target. The targets must, however, be achievable in order to prevent employees becoming disheartened and
abandoning the target.
Factors That May Promote a Negative Health and Safety

Culture or Climate
There are a number of factors that may contribute to a negative health and safety culture or climate.
Organisational Change
Company reorganisations often leave individuals worried about job security and their position in the organisation.
Many people fear change and, unless it is handled correctly, will mistrust management and become suspicious of any
alterations to their role or environment (even ones that are beneficial).
Reasons for company reorganisation may be:
• A merger.
• Relocation of the business.
• Redundancies.
• Downsizing.
• External pressures over which the organisation has no power.
Companies may offer voluntary redundancies to make the job losses more acceptable but sometimes the
redundancies are compulsory. The company may also offer generous financial packages in excess of the statutory
minimum to soften the blow to employees. Problems may occur, however, when the retained staff have to work
with reduced manpower and resources. The remaining employees may feel threatened by the possibility of further
redundancies, leading to bitterness and anger. Further resentment may develop where shareholders and directors are
seen to benefit from the loss of colleagues who have left the business.

Where outside pressures are the cause of the reorganisation, employees may be more understanding than if the
changes are brought about by the need to improve profits.
Frequent reorganisations can be damaging to a company unless they are handled well. Increased workforce
dissatisfaction may lead to some employees leaving, which in turn can leave gaps in the operation which cause further
difficulties. This type of situation can lead to more accidents and incidents as well as increased sickness and absence
from work.
Lack of Confidence in Organisation’s Objectives and Methods

Most companies have objectives relating to productivity and safety.
If productivity appears to take precedence over safety, however,
then worker perception will be that the company is unethical and
untrustworthy with little commitment to safety, which will lead to a
subsequent deterioration in the safety culture.
Examples where workers may feel that safety has been compromised in
order to achieve productivity include:
Unsafe practices are sometimes ignored
• Safety improvements only made after incidents have occurred.
to improve productivity
• Double standards in the application of safety regulations by safety
advisers and management.
• Unsafe practices ignored in order to improve productivity.
• Permit-to-work systems not being operated as they should be.
• Changes made to safety rules during operation.
Uncertainty
Security is a basic human need. In an uncertain environment, people
generate feelings of insecurity. When security cannot be assured, humans
cannot achieve their full potential. Uncertainty about the future can lead
to dissatisfaction, lack of interest in the job and generally poor attitudes
toward the company and colleagues.
Uncertainty is often caused by management behaviour which sends

mixed behaviour signals to the workforce. If management is seen to
say one thing and then do something different, this undermines their
authority and credibility, e.g. managers using personal mobile phones
when company policy stipulates that they are banned, or failing to wear PPE.
Management Decisions That Prejudice Mutual Trust or Lead to

Confusion Regarding Commitment
Management decisions that are, or are perceived to be, inconsistent or poorly made can generate unrest and
distrust in an organisation. There may be good reasons for the decision which is why it is extremely important that
management are aware that good communication is an important part of the decision-making process.
Circumstances that could give rise to distrust and doubt about management commitment generally (these could
equally apply to decisions about safety) include:
• Where there are no rules or no precedents, decisions may appear to be arbitrary and inconsistent.
• Employees are expected to wear PPE, whereas visitors or managers are not.

• Refusal to delegate decision-making, leading to demotivation and diminution of a sense of responsibility in

subordinates.
• Constant rescinding by senior management of decisions made at lower levels of management.
• Delays in making decisions.
• Decisions affected by conflicting goals between management and worker.
• Decisions affected by conflicting goals between different departments.
• Lack of consultation prior to decision-making.
Changing the Culture

There are three factors that should be considered when managing a change in culture:
1. Dissatisfaction with the existing situation (e.g. too many near-misses).

2. A vision of the new safety culture.
3. Understanding how to achieve it.
Change is an inherent part of modern life but there are many people who find change difficult to deal with and
who are afraid of it. In order to effect change within an organisational culture, you have to plan the strategy and
communicate from the beginning in order to involve employees and not alienate them.
Planning and Communication

Planning for change should start at the top of the organisation but should encourage participation at all levels. There
should be clear objectives as to what is to be achieved by the proposed change, e.g. a cost-benefit analysis of the
changes suggested.
Plans for change should clearly designate who is responsible for initiating and implementing specified changes as well
as how each stage of the change process will be conducted. Effective communication between all those implementing
change is crucial.
To prevent rumours circulating and misunderstandings developing, it is important to publicise information relating
to the pending change as early as possible. Wherever possible, direct briefings, meetings or interviews should keep
managers and staff aware of proposed changes and the progress made as changes get under way.
Strong Leadership
Managers at all levels need to demonstrate strong leadership and not give inconsistent or mixed messages.
A Gradualist (Step-by-Step) Approach

One of the ways of effecting change in an organisational culture is by taking a gradualist (step-by-step) approach, with
changes phased in over a period of time. The main advantage of this approach is that it ensures that there is time for
adaptation and modification; it also allows time for the change to become part of the established culture.
The major disadvantage of this approach is that the changes take a relatively long time to implement. This can mean
that unsatisfactory conditions and mindsets may be left in place for longer than is desirable.

Action to Promote Change

• Direct
This is where positive action is carried out with the sole objective of effecting change, perhaps by setting
up a two-tiered system, i.e. a steering group and a working party. The steering group should consist of high-
level personnel (e.g. directors and heads of departments) who give broad objectives, set timescales and meet
approximately every three months. The working party, however, will meet every month and will consist of middle
management, first-line supervisors and union/worker representatives. The working party will carry the ‘message’
to the workforce and provide feedback.
The chair of the working party should also be a member of the steering party and this role is usually filled by a
safety professional who can act as the link between the two groups.
The pace of change should be dictated by the feedback given by the working party.
• Indirect
Indirect methods bring about change, but they are not necessarily the primary reason for carrying out the
method. For example, risk assessments are not carried out specifically in order to improve the safety culture, but
by training a proportion of the workforce in the risk assessment process and improving their risk perception, an
organisation will benefit from this heightened understanding of risk. This in turn will improve the understanding
of the importance of safety, the need for additional controls and in turn change attitudes. This is just one example
of a way that safety can move gradually from being the responsibility of the health and safety team, to being a
shared responsibility.
Strong Worker Engagement

Cultural change is not the sole responsibility of management; there also has to be significant commitment from
employees who must recognise the need for change.
Training and Performance Measurements

• Training courses can include information about new or impending safety legislation or safety technology, thereby
indirectly paving the way for future changes.
• Performance measurements can be introduced to encourage employees to have a greater interest and
involvement in health and safety. Where performance measurements improve over time, they can be linked to
an incentive scheme, but they should not be linked to accident/incident rates as this can lead to under-reporting.
Performance measurements are an inexpensive way of promoting health and safety, but they need the support of
management and unions to be successful.
Importance of Feedback
Feedback is crucial to ensure that any changes implemented are working successfully. Feedback from employees will
enable management to evaluate the new processes, and fine-tune them where necessary.
Changes to the Working Environment

The working environment can have a significant impact on the way workers feel about their workplace, and the
way that they in turn perceive they are valued. Imagine an organisation where the management team sit in palatial
air conditioned offices, whilst the workforce in the factory are in hot, cramped and poorly maintained conditions
– would that feel fair? What would that say about the way that the employees were valued? Equally, in a workplace
where the conditions may not be palatial but management listen to workers and make improvements to provide
better welfare facilities, good lighting, and a suitable rest area, the employees will feel cared for, and this will resonate
through the business.

Building Trust in the Workforce

When considering culture, the word “trust” regularly pops up as an issue – in organisations where there is perceived
mistrust of the management, it is hard to build a positive culture. Whilst there will be few organisations where all
workers are happy and receive everything that they desire at all times, the confidence that decisions are made fairly
and that the organisation has considered (if not always agreed with) the opinions of the workforce, will help gain a
level of mutual respect that will help to build the culture. Safety teams or committees can be excellent forums for this,
as providing a method that allows all voices to be heard is invaluable.
Problems and Pitfalls

In many cases, the introduction of change within an organisation is often
accompanied by problems such as conflict. Problems associated with
change include:
• Changing Culture Too Rapidly

Where changes have occurred too quickly, employees may feel
extremely vulnerable, insecure, confused and angry.
Where the changes have brought together new personalities, then

conflict between individuals may occur. Differences of temperament Change is often accompanied by
are at their most obvious when people are new to each other; a conflict
measure of tolerance may build up over time.
• Adopting Too Broad an Approach

Trying to do too much all in one go can dilute the resources so that little impact is seen. It is better to target
resources on fewer, manageable issues. It is important to be clear about what the objectives are at the start so that
everyone is aware of the changes that will occur.
• Absence of Trust in Communications

This is unsettling and demotivating. Inconsistent management behaviour can lead to mistrust and uncertainty
causing a complete breakdown in relations between management and the workforce. Poor communications in
periods of change can lead to misunderstanding and confusion, which can fuel conflict.
• Resistance to Change
Some people are more resistant to change than others. Older people tend to be more resistant than young
people, and people with heavy financial commitments tend to fear change as they need to feel secure.
Some people develop set patterns of thought and behaviour which can be difficult to overcome when change
occurs. This is known as perceptual set, and is the way in which observed information is processed by the
individual to fit their internal experience, attitude, expectations, sensitivity and culture.
All these factors need to be considered and dealt with as part of the change process.

HSE’s Safety Culture Maturity Model

The Safety Culture Maturity Model produced on behalf of the HSE in the UK by Dr Mark Fleming, was initially focused
on the oil and gas industry. In the study, Dr Fleming reviewed and revised previous safety culture maturity models and
decided upon 10 indicators of cultural maturity:
1. Management commitment and visibility.

2. Communication.
3. Productivity versus safety.
4. Learning organisation.
5. Safety resources.
6. Participation.
7. Shared perceptions about safety.
8. Trust.
9. Industrial relations and job satisfaction.
10. Training.
By assessing each of the indicators an assessment of cultural maturity can be established at one of five stages. There is
far more detail in the original report, but it has been summarised below:
1. Level 1: Emerging
Safety is seen as the responsibility of the safety department and not as a key business issue. Accidents are an
occupational hazard.
2. Level 2: Managing
Safety is seen as a business risk and solutions are based around compliance with procedures and engineering
controls. Accidents, though about average for the sector, are seen as preventable but the perception is largely that
these are due to the unsafe behaviours of the workers.
3. Level 3: Involving
The accident rate has fallen but is levelling off and management understands that their decisions can contribute
to accidents. The majority of staff see that they are responsible for their own health and safety and are willing to
work with management. Safety is monitored using data gathered by the organisation.
4. Level 4: Co-operating
The majority of employees understand the moral and financial
importance of safety and take responsibility for their own safety.
There is a significant shift towards using preventative measures
to reduce the risk of accidents, data is used effectively and safety
is considered outside of work as well as at work (for example, by
promotion of healthy lifestyles).
5. Level 5: Continually improving

Accidents are seen as preventable in the workplace and at home
and this is seen as a core business belief. The organisation is not
complacent about the fact that there has been a long period (several years) since the last major injury or high
potential incident and safety is always seen as being on the agenda. There are still measures to monitor the safety
performance but the processes are working well. Safety is seen as critical to the business by all employees.

MORE...
You can read the HSE’s Safety Culture Maturity Model report at:
www.hse.gov.uk/research/otopdf/2000/oto00049.pdf
The Concepts of Blame, No-Blame and Just Culture (Dekker)

In a ‘blame culture’, it is the belief of the employees that the organisation will shift the responsibility for health
and safety incidents onto them and so they are ‘blamed’ for events, whether or not they are within the control
of the employees. This can result in the under-reporting of incidents for fear of retribution. Conversely in a ‘no-
blame’ culture, the belief is that no action will be taken with regards to health and safety issues no matter how they
were caused. Clearly this can result in an environment where there is no accountability taken for incidents as they
are ‘nobody’s fault’. The balance lies somewhere in the centre, where incidents are reported and action is taken
proportionately.
Dekker developed the ‘Just Culture’ model and this has been refined in his subsequent papers. In essence, the Just
Culture model is about assessing the level of responsibility an individual may have for an event. At one end of the
scale, a reckless and intentional act which the person knows will violate procedures and causes willful damage, would
result in a high level of culpability. At the other end, a previously impeccable employee acting in line with custom
and practice, and finding a way to overcome an unworkable procedure, would be seen as having a lower level of
culpability as responsibility is shared with the organisation.
The Just Culture decision tree can be used to define the process, in order to determine the level of culpability that an
employee has, rather than leaving managers to make arbitrary decisions.

MORE...
You can access Dekker’s full article Just culture: who gets to draw the line? from:
https://sidneydekker.com/wp-content/uploads/sites/899/2013/01/JustCultureCTW.pdf
Behavioural Change Programmes

Why Behavioural Change Programmes are Used
Behavioural change programmes (sometimes known as “Behaviour Based
Safety Management”, “BBSM” or simply “Behavioural safety”) aim to
understand not only what an employee is doing but why they would
seek to do that. By understanding the motivation to work in an unsafe
or “at risk” manner, the organisation can remove barriers to safety and
enable workers to work safely at all times. Some organisations have
seen considerable success utilising the behavioural safety approach in
increasing understanding and engagement amongst the workforce.
The HSE states that behavioural safety programmes are commonly used Behavioural programmes can change
because: individual behaviour
• A significant number of accidents are caused by unsafe behaviours.

• They can increase management and worker participation in safety.
• They can improve the visibility of managers.
• Behaviours and attitudes can influence culture through perception.
• Behaviours determine the performance of systems.
Advantages and Disadvantages of Behavioural Change Programmes

The advantages of behavioural change programmes (based on the HSE’s concepts) are:
• It encourages and enables discussion of safety in the workplace.

• Management increase their visibility.
• Increased employee engagement in safety.
• Participants learn to observe and give constructive feedback.
• The team learn to act promptly on unsafe acts.
• It can improve knowledge of safety leadership.
• It introduces some aspects of human factors (such as understanding why people would violate rules to cut
corners).
• Can provide some leading indicators for safety.
• Can actually change behaviour (“cognitive dissonance”).
• It can identify and address dangerous situations.

Some potential disadvantages or pitfalls could be:
• The focus on the behaviours needs to be meaningful and not trivial.

• The programme will take real focus and effort, and some solutions which may be needed to remove barriers may
be expensive.
• The process may not be ‘owned’ by everyone.
• ‘Off the peg’ or consultant-led programmes can fail because of poor fit with local style/culture (UK/US), and if
this is not followed through and seen as a “fad”, it can be more harmful.
• If there is a lack of trust or a lack of a friendly, approachable management style then this will be unlikely to work
well.
• There is a tendency to focus on easy, low hanging fruit whilst ignoring more difficult safety problems.
• It can shift onus away from management onto individuals.
• The focus is on individual not management behaviour.
• There may be a suspicion of a blame culture.
It is important to focus on the safe/unsafe behaviours and not the desired outcome of the programme. So, if the
objective of such a programme is to reduce the incident/accident rate, then it should focus on safe behaviours (and
reward those) and not on the injury rate. If we rewarded a low injury rate, then this would encourage under-reporting
rather than safe behaviours.
Principles of Behavioural Change Programmes

There are many different types of behavioural change programmes
available, but all are based on the same fundamental principles.
The key principle is to positively reinforce the desired behaviour and

deter the undesired behaviour through the education and engagement
of the workforce.
The first step is to identify and clearly define the desired behaviour.
The behaviour should be specific, observable and easily measured; for
example, “wearing gloves” is not specific enough, a better behaviour
would be defined as “when opening the oven, the worker wears oven
gloves”. There should be a small number of clearly defined behaviours that the organisation wants to focus on – think
of these as “good safety habits” that you want to instill in your teams.

TOPIC FOCUS
Steps of a Behavioural Change Programme
• Step 1: Identify the specific observable behaviour that needs changing, e.g. increased wearing of hearing
protectors in a high-noise environment.
• Step 2: Measure the level of the desired behaviour by observation. To do this, observers will need to be
trained and go into the workplace to look at the current level of safe and unsafe behaviour.
• Step 3: Identify the cues (or antecedents) that trigger the behaviour and the consequences (or pay offs),
both good and bad, that may result from the behaviour. Remove barriers to safe behaviour that you identify.
• Step 4: Train workers to observe, record and reinforce the safety critical behaviour. This can be peer-on-
peer or involve managers, depending on organisational maturity.
• Step 5: Provide immediate feedback/praise to reward safe behaviour, and discuss concerns about any
“at risk” behaviours observed in the worker. All behaviours should be acknowledged – the strength of
the process is that nothing is ignored, and whilst observing, the observer delivers feedback whether
constructive or as praise.
• Step 6: Feedback safe/unsafe behaviour levels regularly to the workforce. Celebrate success together and
show the improvement that is being made.
Many behavioural change programmes identify a few key behaviours that have, perhaps, led to accidents previously,
or gave cause for concern – for example, the failure to wear gloves when handling knives. The desired behaviours are
then identified (such as ‘when handling knives, the worker wears cut-resistant gloves’) and the observers then observe
against this specific behaviour. If the operator is wearing their gloves, then positive reinforcement and thanks are
given. If the operator is not wearing their gloves, then the observer highlights their concern and discusses any barriers
to safety that could have resulted in the action. By being observed and given feedback regularly, workers’ behaviour
changes, such that the correct behaviours become almost good habits. At this point, a new behaviour may be added
to the observation sheet, and the process continues.

TOPIC FOCUS
The Observation Checklist
All programmes need behaviour which can be easily observed and assessed.
In a factory, a process involves loading a pallet with 25kg sacks of cement and then transporting the pallet to a
lorry for despatch.
A checklist is then developed to identify the expected behaviour and record the number of safe and unsafe acts.
Here is an extract:
Task Expected Behaviour Safe Unsafe Not Seen Comment
Loading pallet Loader wears safety gloves 3 1

Loader wears safety shoes 3 2
Loader adopts safe lifting 2 0
procedure
Loader places pallets only in 1 1
correct location
Transporting Driver sounds horn when 4 1
pallet by FLT approaching exit doors
Driver wears seatlbelt 4 2
Driver keeps forks lowered whilst 2 0
travelling
TOTAL 19 7
% safe 75 24
(FLT = forklift truck)
For each of the two tasks, a list of expected observable behaviours is identified. Observers then regularly visit
the workplace and observe the behaviour and record whether it was safe, unsafe or not seen. Observers may
include all workers and should not be just those with management or supervisory roles.
Following each observation, the feedback, either individually or as a team, in which safe behaviours are praised
and unsafe behaviours discussed. The worker(s) observed are invited to give feedback and to explain, for
example, why it was not feasible to wear gloves. The discussion may lead to suggestions as to how to change the
task to improve safety.
Clearly, the discussion will need to be handled carefully and should not create hostility.
Following a series of observations, the percentage of unsafe behaviour can be calculated and publicised:
Sum of safe observations

Percentage safe behaviour = × 100
Sum of safe + sum of unsafe behaviours
In a practical example, the wearing of seat belts on lift trucks had been required on a site for some years, yet routinely
the safety manager was told that this was “impractical” and “couldn’t be done”. Technical solutions such as alarms and
flashing lights were available to indicate if belts were being fastened: these were considered but it was known that by
simply plugging the seatbelt in and sitting on the belt then the system could be overridden.

The organisation could opt to discipline the workers into being safe, but like speed limits on public roads, that only
guarantees compliance with the “safety police” are present. The organisation instead opted to use behavioural safety.
By understanding the concerns of the workers (it makes the job too slow), the importance to the management team
(your life is worth more to us than our products), and by providing constant feedback (positive and guidance for non-
compliance), the same organisation created the safety habit of wearing a seatbelt in a very short space of time.
The Organisational Conditions Needed for Success in

Behavioural Change Programmes
Behavioural programmes should not be viewed as quick fixes and, unless they are properly resourced with overt
continuing management commitment, they are unlikely to succeed.
As the behavioural change process hinges on the ability to give and receive positive and negative feedback, the
organisation and its employees must be ready to accept this step. It may seem strange to have someone thanking you
for wearing PPE, but this positive feedback is a critical part of the process. Equally, any negative feedback is there for
guidance and so should also be received with an open mind, which can be a struggle if the safety culture is not well
developed.
Technological and physical

(accident frequency)
Safety performance
condition approaches
Work systems and

procedures
People centred and
cultural approaches
Time
Actioning behavioural change
This graph illustrates that, typically, organisations first consider the technical issues that affect safety, such as having
safe equipment and premises. When these are in place, they then turn to ensuring that the systems of work and
procedures are satisfactory. Unless these two approaches are in place, a behavioural programme is unlikely to work.
A behavioural programme is more likely to be effective if the reward/punishment is:
• Likely or even certain.

• Important to the individual.
• Given soon after the safe/unsafe act.
Feedback needs to be provided very soon after the safe/unsafe act so that the safe behaviour is reinforced, not only
to the individual but to all those affected, so that they appreciate the impact of the programme, e.g. collective results
published weekly.

In one published study, workers were provided with earplugs to protect them from very high noise levels. The initial
usage rate was only 35%. After a two-month programme in which the wearing of the plugs was rewarded with tokens,
the usage rate had increased to 90%. The scheme was finished and it was found that usage had been maintained a
further three months later. The initial discomfort often experienced by wearers of hearing protection had worn off
and when users removed the ear plugs, their heightened awareness of the high noise levels further reinforced the
desired behaviour.
STUDY QUESTIONS
8. Define the term ‘safety culture’.
9. How may the safety climate of an organisation be assessed?
10. Name three ways in which management commitment can be demonstrated.
11. Identify the features of a positive health and safety culture within an organisation.
12. Briefly explain what is needed to effect cultural change within an organisation.
13. Outline the steps of a behavioural change programme.

2.5 Traditional and Proactive Safety Management
Traditional and Proactive Safety Management

IN THIS SECTION…
• Outline the main differences between traditional and proactive safety management models.

Traditional Approach to Safety (known as Safety I)
In this section we will be looking at the work of Erik Hollnagel and
Sidney Dekker. We will all have experienced the traditional model of
safety (now known sometimes as ‘Safety I’). Safety here is defined as
the “absence of danger” and the focus is concentrated on accident
prevention, and that in practice means “ensuring as few things as
possible go wrong”. It is a natural instinct following an accident to
analyse and identify the root causes in order to put in place corrective
measures: indeed organisations such as the HSE and the Chemical Safety
Board (CSB) in the US, issue detailed accident investigation reports
which explain the failings and the corrective measures. These failures Failures could be as a result of a technical
fault
could be as a result of a technical fault, human error or a violation of the
system and we focus on identifying the failures and putting corrective actions in place, usually centred around a new
rule or technical solution which will require “compliance”.
Hollnagel points out that when we react to incidents, we ask “what went wrong?” but never “why does this usually
go right?” Returning to the HSE, the regulatory framework focuses on incidents and failures, despite the fact that the
number of failure events is very small. There are few success stories published, and as health and safety professionals,
we see far more “in court” headlines than we do proclamations by the HSE that organisations example excellent
safety performance.
Key Performance Indicators

Traditional safety key performance indicators (KPIs) are based around reactive measures: the number of incidents,
days since the last lost time incident, the number of days lost, etc., whilst making managers accountable for the safety
within their teams. This could, of course, result in the temptation to “cook the books” and manage the data to reduce
the number of incidents rather than actually address the issues – a challenge faced by safety professionals for decades.
People as Part of the Problem

‘Safety I’ considers only two modes of operation: success or failure. If the system works then that is because the safety
systems worked as they should, conversely if things go wrong it is because the system failed in some way. So as health
and safety professionals, we “find and fix”, whether through accident investigation or risk assessment, the focus is on
preventing further system failures to ensure success – people are seen as a problem to be managed and controlled.
This in turn generates a focus on compliance. We introduce more and more standardised, centralised procedures
and policies which we hold the managers accountable for delivering on their site, stipulating how the job should be
carried out without necessarily entirely knowing how the job should be done. This can result in frustration from the
workforce.

Traditional and Proactive Safety Management 2.5
Performance Variation
In ‘Safety I’, we monitor the performance of the system to reduce variability to try to ensure that everything is “safe”
and “normal”. This does however mean that the available data to monitor decreases as the system becomes “safer”.
There may be fewer incidents so the organisation believes it is “safer” but if we go back to the start of this section,
safety is far more than the absence of incidents.
Proactive Safety Management (known as Safety II or Safety

Differently)
Hollnagel refers to proactive safety as ‘Safety II’, Dekker uses a similar approach terming it ‘safety differently’, but it
is clear that both authors see that, in order to progress and truly improve safety, it is essential to look far beyond the
concept that safety is the absence of danger.
In proactive safety management, the emphasis is on creating a culture whereby people contribute to the safety
of their team, not by “keeping safe” but by engaging and making changes that they are involved in – safety is the
presence of positives, not just the absence of negatives.
In traditional safety, the emphasis as we have seen is on centralised and standardised policies and procedures that are
rolled out through the organisation – for example, in a supermarket chain there may be procedures which stipulate
the cleaning regimes, policies to control contractor activities and checklists which must be completed, monitoring the
fire safety provisions. Dekker highlights the successes that organisations have experienced by devolving responsibility
for safety to the teams, decentralising control by giving them some autonomy over how the safety performance is
improved. Part of this process is to declutter the systems, remove outdated procedures and streamline the processes
to make them more effective. In studies cited by Dekker, Origin energy reduced the size of their safety management
system by 90%, made safety an operational issue rather than a centralised function and in so reduced bureaucracy
which is so often a barrier to safety.
Reducing Risk-Based Decisions to the Lowest Possible Level

Managers often ask why workers aren’t engaged in health and safety and
what they need to do in order to improve employee engagement. Dekker
looks at this differently and points out that whilst managers ‘manage’
safety and instruct employees how to work safely, this is unlikely to make
them feel engaged and involved. Dekker encourages employers to think
of employees not as a problem, but as people able to create a solution
given the opportunity. He cites an example of the town of Drachten in
the Netherlands: this city had a square where there were frequent traffic
accidents despite multiple safety controls and signs clearly telling people what to do and how to behave (an example
of ‘Safety I’).
Traffic engineer Hans Monderman identified that telling people how to be safe wasn’t working, and that although
people did actually know how to be careful, the layers of controls were taking away their basic instincts to look after
each other. In his experiment, Monderman created a ‘shared space’, where there were few signs and signals, and
instead, the drivers and pedestrians were trusted to make good decisions to look after their own safety and that of
others. By reducing safety decisions so they are made by people, not managers, the accident rate was greatly reduced.
Shared spaces are being rolled out across Europe as a result.
‘Safety II’ considers this to be a continuous learning process – one of the keys to its effectiveness is the utilisation of
people as a solution, rather than the problem that they were in ‘Safety I’. When looking at an accident, too often the
findings are that the way the work was supposed to be done didn’t match the way it was actually being done; there
may be an alternative method that is better than the one prescribed, which is why the involvement of workers is so

essential. Workers are the experts in their field, and by asking them “what are your concerns?” and “what do you
need?” you are likely to achieve a better result than imposing a centralised solution for a problem that they don’t
think they have. By engaging with workers to utilise their experience, you will drive the safety culture forward and
further away from the traditional approach that safety is the responsibility of the safety team and instead towards a
view that safety is a delegated and shared responsibility.
MORE...
You can read more on Hans Monderman’s ‘squareabout’ and the effect of creating this shared space on the
accident rate on:
https://www.maharam.com/stories/rawsthorn_hans-mondermans-naked-streets
How Success can be Created

Dekker highlights in his work that Traditional Safety or ‘Safety I’ considers that:
• People are the problem.

• We need to tell them what to do.
• We count success by the absence of negatives.
When we reflect upon this we can see that many organisations still focus on statistics and records, such as the number
of days since the lost time accident, or hours worked without incident. Think about the person who has an accident
and as a result will ‘ruin the record’ – are they likely to report it? Perhaps this is one of the reasons why, when we ask
“do all accidents get reported?”, the usual answer is no.
The Deepwater Horizon oil rig disaster in the Gulf of Mexico occurred in April 2010. Executives from BP were on the
rig at the time of the disaster, celebrating 7 years without a lost-time accident, and the Federal Minerals Management
Service had awarded the operator a Safety Award For Excellence (SAFE award) just the year before. This goes to show
that past results are no guarantee of future success.
Rather than asking how incidents can be prevented, Dekker looks to see how success can be created. In ‘Safety
Differently’, people are not seen as a problem to be controlled but rather:
• People are the solution.

• Ask them what they need.
• Identify the positive capabilities amongst the team.
Dekker believes that with support and encouragement, the workforce can find a route to a truly safe workplace,
rather than the superficially safer one which displays a low number of incidents and then is surprised by a catastrophic
event. More minor events (truthfully reported) which are acted upon by the workforce, can generate an environment
where there are fewer major incidents.

The Four Varieties of Human Work

In ergonomics and human reliability, there are four varieties of human work and this is embraced by Hollnagel: work
as imagined, work as prescribed, work as disclosed and work as done.
1. Work as imagined
‘Work as imagined’ is (in simple terms) a mental model of work that we think is done. As managers we have an
idea about what the workers are doing, workers in turn have an idea about the work that the managers are doing,
and in reality both groups will be wrong to some extent. Work as imagined can be thought of as the view of the
way things should be carried out from the comfort of the desk, rather than “work as done” (what is happening in
practice).
2. Work as prescribed
‘Work as prescribed’ is the specification of the way that tasks and activities should be done; this can be as a result
of legal requirements, management decisions and policy makers and for this reason there is often a significant
difference between what should be done and what is actually done (work as done). This is generally the “safe and
correct” way to do the work, however as Hollnagel identified, there is usually more than one way to do the work
and that results in differences in the way the work is carried out. Other factors, such as the fact that we rarely
focus on one activity at a time, that the operational conditions are continually changing, and that people interpret
procedures differently, all result in a reality that what people actually do and what they should be doing frequently
(but not always) differ.
3. Work as disclosed
‘Work as disclosed’ is what we say about the work that we are doing. Whether written or verbal, the “nitty gritty”
of the job is something that we explain in different ways to different audiences. If a manager asks about a task,
what they are told could be closely linked to the work as prescribed, and similar could be assumed if talking to a
regulator. However if a union rep was discussing the activity, the picture that is painted to them could be entirely
different.
4. Work as done
Finally, ‘work as done’ is the actual activity as it is performed: it is simply what people do. It takes place in a
dynamic operational environment where the conditions are frequently changing and resources or conditions may
well not be as imagined. In some circumstances, organisations using operational experience to establish “work as
done” can be empowering and generate trust; however in other sectors, such as high risk environments (health,
rail, nuclear, etc.), such latitude is not feasible. By encouraging workers to disclose the way that work is done,
organisations can harness the expertise of the workers, and potential issues and pitfalls can be identified and
issues foreseen. In this way, analysis of the work as done can improve the safety of an organisation, however many
employees will still not disclose all of the “deviations” from the prescribed process. Whilst some may be gleaned
through observation, there are inherent difficulties in this due to the complex nature of the work that is being
carried out.
Low Likelihood, High Consequence Events

As traditional safety approaches focus on compliance, there is a temptation to monitor the small details which
often equate to high frequency, low potential events. This however can be frustrating for workers in high hazard
installations who may not see the significance of holding the handrail on the stairs or ensuring drinks are carried in
lidded cups. ‘Safety II’ moves away from this and concentrates on the low frequency, high potential events which are
often more relevant, which can improve engagement.

Resilience
‘Safety II’ approaches embrace the concept of resilience. In the basic sense, resilience is the ability of an organisation
or individuals to recover from an adverse situation without failure occurring. This was expanded upon by Hollnagel,
who defines resilience engineering as:
"The intrinsic ability of a system to adjust its functioning prior to, during, or following changes and disturbances, so that it can
sustain required operations under both expected and unexpected conditions."
Source: Hollnagel, E., Woods, D., Leveson, N., Resilience Engineering: Concepts and Precepts, 2006.
Effective safety systems clearly need to be designed to be resilient so that situations are anticipated and responses
developed, and workers are able to adapt to unexpected circumstances without incident – for example pilots having
checklists to follow and manuals covering emergency situations. They train for hours on situations and routines that
they hope they will never need for the one-in-a-million event.
Performance Variation
Finally whereas in ‘Safety I’ the emphasis is on compliance and adherence
to procedures, in ‘Safety II’ it is understood that variation is inevitable
– even within well established processes people will naturally find
slight modifications to their working methods or environments. The
difference is that in ‘Safety I’ this is likely to be hidden, but in ‘Safety II’
it is considered useful. If we revisit the role of an airline pilot, they have
extensive training in the emergency protocols, yet still situations arise
where the pre planned routines wouldn’t work; the January 15th 2009
landing of a plane successfully on the Husdon river was a case in point,
and was only achieved due to a deviation from the standard process.
The variations that occur, such as adaptations to procedures, should be monitored and managed, and if useful and
appropriate, changes are carried out in other areas as a result of the sharing of this knowledge. Humans have the skills
and ability to adapt and develop processes, and therefore by listening to the workforce to find out how work can
best be carried out, rather than constraining work with extensive rules and guidelines, people are seen as part of the
solution rather than a variable that needs to be controlled – the whole basis for ‘Safety II’.
Limitations of Traditional and Proactive Safety Management

Traditional safety management is also known as “reactive” management
– by definition, actions arise only in response to an incident or a
concern. Clearly this means that it is too late to prevent the incident, and
as (hopefully) organisations will have few incidents, there will be limited
data to react to in order to make improvements.
Traditional safety is seen as bureaucratic and compliance driven –

procedures are developed which are supported by checklists and audits,
and these all flow from a centralised function. This is not particularly
motivating for the workforce who may feel that this authoritarian “we
Traditional safety management methods
are Safety and we know best” approach isn’t taking their concerns and can be authoritarian
opinions on board.

Proactive safety relies not on what has actually happened, but on what the organisation thinks could happen. In any
workplace predicting future events is at best difficult, and not all eventualities can be anticipated. Accordingly, great
efforts can be made to prevent a predicted event which may not arise and this use of resources (not just financial
but also time and people) may be seen as an unnecessary drain on the organisation. Of course the future remains
uncertain – every safety professional knows that making assumptions means that sometimes you will naturally be
wrong, meaning that incidents could still occur.
For many organisations who have managed with ‘traditional safety’ for decades and feel that they are doing “just
fine”, the move to ‘Safety II’ or proactive safety may seem alien. It is hard to change, especially when the traditional
safety KPIs show a relatively low accident rate, which signals in the world of ’Safety I’ that all is well. Reacting to
problems and “fire fighting” can be exciting, and it is certainly still a more common method of managing safety,
however it is clearly better not to have fires in the first place. Despite the evidence, it may still prove difficult to
convince traditional managers and organisations to move away from ’Safety I’ and embrace ‘Safety II’.
The Effect of Safety Management on Culture

The links between the different styles of safety management and the safety culture of an organisation is clear:
whether you embrace ‘Safety I’ or ‘Safety II’, organisations have to learn from their mistakes, it would be negligent
to do any less and for this reason ‘Safety II’ does NOT replace ‘Safety I’ entirely. Being an improving organisation is
still an essential indicator of safety culture. By adopting the proactive stance of ‘Safety II’, managers move away from
authoritarian, centralised control of safety and towards a vision where safety is truly part of the day to day rhythm
of a business. Where would you feel safer: the oil and gas installation that does a frenzied tidy up and gets their
documents ready for an audit by the centralised safety team, breathing a sigh of relief once they leave so life can
return to normal? Or one who owns the processes themselves, monitors them and makes improvements based upon
the experience and knowledge of their staff, who are truly involved in the safety goals and ambitions?
MORE...
More information on the ‘Safety I’ and ‘Safety II’ models can be found at:
www.england.nhs.uk/signuptosafety/wp-content/uploads/sites/16/2015/10/safety-1-safety-2-whte-papr.pdf
‘Safety Differently: The Movie’ demonstrates the ways Dekker’s concepts have been used in real organisations.
You can find this video at:
www.youtube.com/watch?v=moh4QN4IAPg&t=4s
STUDY QUESTIONS
14. If the focus in Traditional safety or ‘Safety I’ is on control and compliance, what is the focus of the ‘Safety II’
or ‘Safety Differently’ approach?
15. What are the four varieties of work?

2.6 Risk Perception
Risk Perception

IN THIS SECTION...
• Know how perception of risk can affect health and safety in an organisation.

Human Sensory Receptors
The natural senses are:
• Sight.
• Hearing.
• Taste.
• Smell.
• Touch.
(Note that there are others, such as the sense of temperature and the sense of acceleration.)
Personal safety involves reacting to the signals sent by our human sensory receptors to the brain.
For example, the eyes send small electrical signals to

the brain, where the visual image is constructed and
interpreted. Sometimes the eyes see an image one way
and the brain interprets it differently. Consider this
example of an optical illusion:
Which centre dot is larger?
They are, in fact, the same size.
Each of the other senses also works by sending signals

to the brain. There is a time interval between the signal
being sent from the sensory receptor and the brain Optical illusion
making the person aware of the situation. Remember
that the senses are the main way that people get a warning of danger.
Sensory Defects and Basic Screening Techniques

You will be aware, on occasions, of not seeing or hearing something that was very plain to someone else. Sensory
defects increase with age and failing health and some people may need spectacles and hearing aids to compensate for
these deficits. The safety professional probably needs to be more concerned about those who don’t know that they
have sensory defects or who try to forget about them.
People also have the ability to shut out things that they are not interested in, or screen out those things that they
consider are not worth concentrating on. For example:
• Someone may live within two miles of a motorway, but really has to concentrate to hear the traffic on it.
• A worker is able to filter out background noises in a workshop and maintain a conversation.
• When driving a car, or a work machine, or typing at a keyboard, most of the operations are done in ‘auto-pilot’
mode. This saves effort and allows us to concentrate on other things, or think ahead.

Risk Perception 2.6
Screening is a useful asset to have, but it is the reason for many accidents. You cannot expect 100% concentration on
safety matters from others if you seldom give 100% attention yourself.
The Process of Perception of Danger, Perceptual Set and

Perceptual Distortion
Perception of Danger
DEFINITION
PERCEPTION
The recognition and interpretation of sensory stimuli, based chiefly on memory.
Research into the perception of danger by individuals and groups shows that there is a clear distinction between how
we perceive risks to personal safety, dangers to health, and dangers to society. Individuals who take part in hazardous
sports and activities may be very reluctant to take even a small risk in the work situation.
The factors involved in perception are:
• Signals from the Sensory Receptors

Our eyes, ears, nose, touch and perhaps taste make us aware of the situation, but these signals can be misleading
if we suffer from a sensory defect.
• Expected Information from the Memory

We have an expectation of what to see and hear; this signal is from the memory. We sometimes see things which
are not there, and don’t see things which are. This signal can also be misleading, particularly if it is affected by
stress, alcohol, drugs, fatigue or just familiarity.
These two signals combine to give us a ‘picture’ of the situation of hazard, which is then processed by the brain.
We then take, or decide not to take, action.
Perceptual Set
This is sometimes called a ‘mindset’. We have a problem, and immediately perceive not only the problem, but also the
answer. We then 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 are now so pleased with our intelligent solution that we fail to
see alternative causes and solutions. This is a basic cause or factor in many accidents and disasters.
Students often get such mindsets when answering examination questions and assignments. You have prepared
yourself well for a particular type of question. This seems to be there on the examination paper and you immediately
set about writing the answer. Later, when discussing this with others or re-reading the question, you wonder how you
could have missed the point. The examination committee spent a great deal of effort to make it perfectly clear what
was needed, but all to no avail.
The same thing can happen in work situations. For example, a signaller was expected to check that there was a red
light at the back of every train which passed his signal box. He had never seen a situation where this was not so in the
10 years that he had been doing his job. However, on one occasion, part of the train had become uncoupled, but he
distinctly remembered checking and ‘seeing’ the red light as the train passed, even though this was impossible. This
then resulted in a following train colliding with the part of the train that had become uncoupled. This was a typical
case of mindset or perceptual set.

2.6 Risk Perception
Perceptual Distortion
Everyone’s perception of a hazard is faulty because it gets distorted. Things that are to our advantage always tend to
seem more right than those that are to our disadvantage. Management generally tend to have different perceptions
of hazards from those of the workers. However, when it affects work rates, physical effort or bonus payments,
workers also suffer from perceptual distortion.
Errors in Perception Caused by Physical Stressors

In examining the cause of errors in perception, we also need to consider
the effects of fatigue, overwork, overtime, stresses from the workplace,
and stresses from home and outside activities. Shift work is a major factor.
Our bodies operate best when we have a regular routine. There is an
inbuilt clock (the circadian cycle – the internal body clock which dictates
when the body should be active and when it should rest), and the pattern
of work, rest and sleep is upset by a change of work pattern. It is even
possible that we are locked into a seven-day pattern.
Perception is affected by having to keep awake and alert when the body
feels that it is time to sleep. Fatigue is more than tiredness of the muscles
and the mind; there is a physical, mental and psychological dimension.
Fatigue can lead to errors in perception

Perception and the Assessment of
Risk, Perception and the Limitations of Human Performance,
Filtering and Selectivity as Factors for Perception
If there are problems in our basic perception of a situation, then there are going to be errors in our perception of risk.
In assessing a risk, there is safety in numbers. One’s faulty perception of a risk could be corrected by another person’s
clearer perception of an issue. Perception also depends on knowledge and experience. A group will usually have more
to contribute than an individual.
Perception and the Limitations of Human Performance

Even when we have achieved perfection in the realm of perception (and this is very unlikely), we still have to put the
solution into effect. As human beings, we have limitations in knowledge, strength, physical and mental ability. We
have plenty of excuses for getting things wrong.
The major problem is that legislation, the courts, the media and the public at large, expect perfection in the realm of
health and safety. Representatives of the media will ask: ‘Can you guarantee that this will never happen again?’ when
investigating an industrial accident situation. We can only say something like: ‘We have learnt from this mistake and
we consider the possibility as now remote’.
Filtering and Selectivity as Factors for Perception

Our senses are continuously receiving information and the brain is processing it. However, we cannot keep our mind
on all that is coming to us all the time: we use a filter mechanism.
Information passed to higher levels of management is also filtered. From all the information available, only the vital
elements are passed on.

Risk Perception 2.6
In much the same way, workers are continuously screening out those items that are not of immediate interest. For
example, in a noisy workshop, an operator will tend not to hear the background noise. If a person ‘speed reads’ then
they do not see each individual word, rather they quickly scan a page, only seeing words that convey vital information.
For instance, if they were looking for some information about ‘filtering’, they could rapidly scan an article and be
stopped by the occurrence of the word ‘filter’, without reading the whole article.
Filtering and selectivity are vital human activities, since we often tend to do many activities in ‘auto-pilot’ mode. From
a safety point of view, however, the process of filtering and selectivity presents a danger. While concentrating on a
particular topic, to the selective exclusion of others, we can easily miss a vital signal which should have warned us of
danger. However, we do tend to notice changed situations. Danger signals and warnings are more likely to be noticed
if they involve loud bells or klaxons and flashing rather than fixed lights.
STUDY QUESTIONS
16. Outline, with examples, how the human sensory receptors react to danger.
17. Explain how failings in the human sensory and perceptual process may lead to accidents.

2.7 Human Failures and Human Factors and Improving Human Reliability
Human Failures and Human Factors and Improving

Human Reliability

IN THIS SECTION...
• Understand how human failures and factors are classified, connected, and can contribute to incidents, and how
human reliability in the workplace can be improved.

The Classification of Human Failure with Reference to
HSG48
The UK HSE publication, Reducing error and influencing behaviour (HSG48), identifies two types of predictable human
failure: errors and violations.
Errors
Errors are actions or decisions that were not intended and involved a deviation from an accepted standard, which led
to an undesirable outcome.
Errors can be further split into several types, based on Rasmussen’s skill-, rule- and knowledge-based behaviour
theory – see later in this section.
Errors
Skill-based Errors Mistakes
Rule-based Knowledge-based
Slips of Action Lapses of Memory
Mistakes Mistakes
Types of error

Human Failures and Human Factors and Improving Human Reliability 2.7
TOPIC FOCUS
Skill-Based Errors
(Note: the term ‘skill’ as used by Rasmussen (and here) is not used in the way people generally understand it.)
These types of error occur in very familiar tasks which require little conscious attention, e.g. an experienced
driver driving on a familiar road. Errors can occur when we are distracted or interrupted:
• Slips: failures in carrying out the actions of a task. Examples include:

–– Performing an action too soon or too late.
–– Leaving out a step or series of steps from a task.
–– Carrying out an action with too little or too much strength.
–– Performing the action in the wrong direction.
–– Doing the right thing but with regard to the wrong object (or vice versa).
• Lapses: forgetting to carry out an action, losing a place in a task or forgetting what we had intended to
do. These are often linked to interruptions or distractions. Using a simple checklist can help to reduce the
likelihood of lapses occurring.
Possible prevention strategies for skill-based errors include: verification checks, such as checklists; feedback;
warning signals if wrong action is selected; design of routines to be distinct from each other; and supervision.
Mistakes
These are where we do the wrong thing believing it to be right. The failure involves our mental processes that
control how we plan, assess information, make intentions and judge consequences:
• Rule-Based Mistakes
These occur when our programme is based on remembered rules or procedures. We have a strong
tendency to try to use or select familiar rules or solutions. Errors occur if:
–– No routine is known that will solve the new situation, so we don’t know what to do.
–– We try to apply the usual remembered rules and familiar procedures because of familiarity with similar
problems from previous experience, even when they are not appropriate.
–– The wrong alternative is selected, or there is some error in remembering or performing a routine.
Possible prevention strategies include: simple, clear rule sets; system designed to highlight unusual or
infrequent occurrences; clear presentation of information.
• Knowledge-Based Mistakes
These may occur in unfamiliar situations where no tried-and-tested rule exists. They are often related to
incomplete information being available or misdiagnosis where, when facing new or unfamiliar situations, we
are trying to solve problems from first principles. Errors occur when:
–– Some condition is not correctly considered or thought through, or when the resulting effect was not
expected or is ignored.
–– There is insufficient understanding or knowledge of the system.
–– There is insufficient time to properly diagnose a problem.
Possible prevention strategies include: training; supervision; use of checking systems; provision of sufficient
time and knowledge.

Violations
Violations are a deliberate deviation from a rule or procedure, such as driving too fast or removing a guard from
a dangerous piece of machinery, both of which increase the risk of an accident. Health risks are also increased by
rule-breaking: a worker who does not wear ear defenders in a noisy workplace increases their risk of occupational
deafness.
TOPIC FOCUS
There are three types of violation:
Routine
A routine violation is the normal way of working within the work group and can be due to a number of
(sometimes overlapping) factors, including:
• Cutting corners to save time and/or energy – which may be due to:
–– Awkward, uncomfortable or painful working posture.
–– Excessively awkward, tiring or slow controls or equipment.
–– Difficulty in getting in or out of maintenance or operating position (posture).
–– Equipment or software that seems unduly slow to respond.
–– High noise levels that prevent clear communication.
–– Frequent false alarms from instrumentation.
–– Instrumentation perceived to be unreliable.
–– Procedures that are hard to read or out of date.
–– Difficult to use or uncomfortable PPE.
–– Unpleasant working environments (dust, fumes, extreme heat/cold, etc.).
–– Inappropriate reward/incentive schemes.
–– Work overload/lack of resources.
• Perception that rules are too restrictive, impractical or unnecessary (particularly where there has been a lack
of consultation in the drawing up of the rules).
• Belief that the rules no longer apply.
• Lack of enforcement of the rules (e.g., through lack of supervision/monitoring/management
commitment). In certain cases, the violation may even be sanctioned by management ‘turning a blind eye’
in order to get the job done (related to cutting corners, see above).
• New workers starting a job where routine violations are the norm and not realisi ng that this is the incorrect
way of working. This in itself may be due to culture/peer pressure or a lack of training.
(Continued)

TOPIC FOCUS
Situational
Situational violations are where the rules are broken due to pressures from the job such as:
• Time pressure.
• Insufficient staff for the workload.
• The right equipment not being available.
• Extreme weather conditions.
Risk assessments should help to identify the potential for such violations as will good two-way communications.
Exceptional
Exceptional violations rarely happen and only occur when something has gone wrong. To solve a problem,
employees believe that a rule has to be broken. It is falsely believed that the benefits outweigh the risks. Means
of reducing such violations could include:
• Training for dealing with abnormal situations.

• Risk assessments to take into account such violations.
• Reduction of time pressures on staff to act quickly in new situations.
HSG48 provides a powerful model for showing the type of human errors and violations that can be predicted from
consideration of organisational, job and individual factors. Such a model can be used both in risk assessments and
accident investigations to suggest the control measures required to prevent either an occurrence or a recurrence.
MORE...
You can download the HSE’s Reducing error and influencing behaviour (HSG48) from the HSE website, at:
www.hse.gov.uk/pubns/books/hsg48.htm
The Application of Cognitive Processing

Cognitive Processing
Decisions have to be made during any working situation; these decisions
can be regarded as on-line and off-line processing:
• On-line processing involves those decisions which have to be made

as a work process is in operation. Since the human brain can only
really deal with a few matters at the same time, operations and the
decisions involved tend to be grouped. For example, a machine will
be set up to perform a sequence of operations. Once set in motion,
it may be difficult to stop the operation until the sequence has been
completed. On-the-spot decisions of this type have to be made
without too much thought, and so tend to be skill-based. A wrong
decision or a missed danger signal can lead to situations where the
condition is quickly made worse. Trial and error involves on-line
A work process in operation
processing.

• Off-line processing involves those decisions which can be made after consideration of a number of alternatives.
It is often possible to consider, and reject, unsuitable alternatives without the need to try them out first. Often
this will involve knowledge and intelligence. Problems occur when we assume that we have correctly interpreted
the data available and come up with a solution to the situation. We then fail to search for alternatives, and opt for
a wrong course of action. Other errors occur when we attempt to solve a complicated problem mentally, when
really it requires a more detailed, written-down, mathematical treatment, or a group decision might be more
sensible. Our mental capacity not only depends on knowledge, intelligence and ability, but also on our fatigue
levels and our mental state at the time. It is not easy to make correct decisions under situations of pressure, stress
or panic.
Knowledge-, Rule- and Skill-Based Behaviour (Rasmussen)
TOPIC FOCUS
Rasmussen’s model suggests three levels of behaviour that explain the human error mechanisms:
• Skill-based behaviour describes a situation where a person is carrying out a tried-and-tested operation
in automatic mode. A competent cyclist can ride a bicycle without any conscious effort or an experienced
driver can change gear without thinking of the sequence of events involved. Little or no conscious thought
is required; in fact, thinking about the task makes the task less smooth and efficient and increases the
chance of error. In this situation, errors occur if there are any problems, such as a distraction.
• Rule-based behaviour is at the next level; the situation where the operator has available a wide selection
of well-tried routines (i.e. rules) from which appropriate ones can be selected to complete the task, i.e. if X
happens, then I do Y. An example is obeying The Highway Code when driving; if there is a red traffic signal,
the rule is to stop. In this situation, errors occur if the wrong rule is applied.
• Knowledge-based behaviour is for situations where a person has to cope with unknown situations, where
there are no tried rules or skills. The individual, using their experience and perhaps trial and error, tries to
find a solution to solve a novel situation. In these circumstances, the chance of error is the greatest.
What are Human Factors? (with reference to HSG48)

Job Factors
Role of Ergonomics in Job Design
Ergonomics is concerned with ‘fitting the job to the worker’ rather than expecting the individual worker to adapt to
the job.
Influence of Process and Equipment Design on Human Reliability

Human beings are unreliable – how unreliable depends on the individual and the work environment. Consider the
effect that being in a very hot environment has on your work performance; or, when you have had a large lunch, how
your output is affected by a feeling of sleepiness. However, much can be done to minimise such effects by improving
the environment and making the task such that errors are minimised. This is achieved by careful design of any
controls.
Workers and machines are each better at some things than the other. Ideally, you want to use the strengths of both
to minimise possible weaknesses; together they represent the ‘system’ for meeting the requirements. This can be
illustrated diagrammatically as in the following figure.

Statement of objectives
Separation of functions
Allocation of functions
(Human) Human-machine interface (Hardware)

Development of design Development of
personnel equipment
System integration
System design process
Ultimately, every piece of plant can be represented by what is often

called the HMI, or ‘human-machine interface’. Ergonomics is the study
and design of this interface, such that the operator can perform their
duties efficiently, in comfort and with minimum error.
Grouping of displays and dials next to their controls, and consistency in

these displays – for example, all moving the same way for increase – are
important in allowing the operator to form a mental picture of what is
actually happening in the plant under that person’s control:
Displays and dials should be consistent
• Displays should be arranged so they can be scanned with minimum
effort.
• Display dials should be the appropriate type for the reading (digital v. analogue).
• Dials should have identified areas for normal and abnormal readings to make it easier to see if something is
starting to wander, e.g. a fuel gauge in a car.
• Bulbs and other indicators should be shielded from glare so that their status cannot be confused.
Consistency is important in the action of control devices; we all expect to turn something on and increase some
variable, by turning a knob clockwise. Relative positioning of control devices and displays is important. People expect
to see a reaction to an action, even if it is only a light that indicates the action is being acted upon (the lift call-button
effect) and, of course, they should be within easy reach of the operator. Controls should be organised and laid out so
as to logically follow the process. They should be clearly marked or labelled. The number of controls should generally
be kept to a minimum.

Emergency arrangements should be distinctive so that emergency stop controls can be easily located, and any audible
warnings should take account of expected background noise levels.
Possibly the most important aspect is the worker’s immediate working

space and environment. Reliable work cannot reasonably be expected
from an operator who has a headache or a sore back within an hour of
starting work. Factors such as noise, dust, smell, vibration, temperature
(and temperature changes), lighting levels (and glare), and humidity all
contribute to a worker’s ability to concentrate. Psychological factors,
such as the degree of concentration necessary, and the ability to mentally
rest and ‘coast’ for a short period, are also important. Also, remember
the importance of providing chairs, if appropriate, to avoid fatigue from
prolonged standing. The appropriate grouping and display of
controls is vital
The layouts of controls, displays and seating for convenience of operation are often overlooked.
To ensure that the strengths of worker and machine are utilised, a Fitts List (named after Paul Fitts, who developed
the technique) is produced for the system.
Example of Fitts List

Activity Machine Human
Speed Much superior Lag > 1 second
Power Consistent, large, 2 hp for 10 seconds
constant, standard and
precise forces 0.6 hp for minutes
0.2 hp over day

Consistency High Not reliable, must be monitored
Reasoning Good deductive Good intuitive

Input sensitivity Some outside human Wide range, good pattern
range (e.g. X-rays) identification
(hp = horsepower)
Note that this is given as an example for a system that requires the given ability. Each system will require a Fitts List
developed to suit its specific requirements for actions to be performed, although, with practice, such a list does not
take long to produce.
The Worker and the Workstation as a System

In ergonomics, the worker, the machine and the working environment may be considered as the elements which
together comprise a system.

When considering the ergonomic ‘fit’ of the workplace to the worker, there are a number of factors to take into
account:
ENVIRONMENT
Fumes/Gases Heat/Cold Glare/Darkness Vibration Noise
WORKER
MACHINE
Display Bells Switches
Dials Buzzers Knobs
Counters Hooters Levers
Gauges Lights Pedals
Ergonomic ‘fit’
Elementary Physiology and Anthropometry

The skills of an ergonomist include:
• Anthropometry
This is a study of human measurements, such as shape, size, and range of joint movements. A machine must be
designed for the person. Since no two people are the same, a design is required that will suit, or can be adapted
for, a wide range of sizes of individuals. It is typical to design for a range which suits most people, which usually
includes all but 10% of people at either end of the measurement scale. Group characteristics must also be
considered, e.g. the average height of people varies between different populations.
• Physiology
This is a study of the calorific requirements of work (how much energy is needed) and body functions, the
reception of stimuli, processing and response. The operator and machine must be complementary. A person must
not be expected to do more than the human body is capable of. Some things are best done by a person; other
things by a machine.
Physiology includes a study of the operation of machines. A person can operate two foot controls when
sitting, but only one when standing. An investigation by Cranfield Institute of Technology determined the ideal
dimensions of the average operator of a horizontal lathe – ‘Cranfield man’ would need to be 1.35m tall and have
a 2.44m arm span.
The ergonomist should make a contribution at the design stage to try to prevent problems occurring later.
Degradation of Human Performance Resulting from Poorly Designed Workstations

The British Standard 3044:1990, Guide to ergonomics principles in the design and selection of office furniture,
is one example of the help available to designers. The HSE leaflet INDG90, Ergonomics and human factors at work, aims
to help employers and managers to understand ergonomics and human factors in the workplace by giving examples
of ergonomic problems and simple, effective advice about how to solve them.

Workstations are usually designed for the ‘average’ person. If a doorway was designed just for the average person,
then some of the population would have problems getting through.
Workstations need to be capable of adjustment. Unsuitable workbench height causes the operator to develop
musculoskeletal problems:
• If the workbench is too high, the operator has to adopt an unnatural posture, with the elbows away from the
body and the shoulders raised. This causes discomfort in the shoulders and neck.
• If the work surface is too low, the operator will have to lean forward. This causes neck and lower back problems.
• Repetitive movements, particularly those requiring the operator to exert force or use an unnatural action, can
lead to upper limb disorders. One problem is tenosynovitis or inflammation of the tendons of the hand and wrist.
This is a common problem with keyboard operators.
Ergonomically Designed Control Systems

• Production Process Control Panels
The operator of a production process control panel must be able to operate the panel from a safe place. For some
production processes, this may be from an adjacent area or, for more dangerous operations, the panel will be located
at a safe distance or even within an enclosed area away from the production area. Noise, dust and fumes must all be
considered.
The operator must be able to reach all the dials and switches, easily. Emergency controls must be clearly identifiable
and easy to operate. The operator must also have a view of the production area so that they can see what is
happening and react, as necessary.
MORE...
The Chartered Institute of Ergonomics and Human Factors offers more information on ergonomics, find out
more at:
www.ergonomics.org.uk/
• Crane Cab Controls

A crane driver has to be in absolute control of the load that is being
moved because the slightest slip of the controls may result in damage to
buildings, materials or people. For this reason, it is vital that the controls
in the cab are within easy reach and move in straight lines to permit ease
and delicacy of control. The driver must be provided with an adjustable
seat (to fit accurately 90% of all possible sizes) so that they have a full
view of the working area.
The driver must also be protected from the ingress of dust, fumes
and heat from the external environment. The provision of filtered and
refrigerated air, where necessary, ensures cool and comfortable working
conditions.
A crane driver must have a full view

of the working area

• Aircraft Cockpit
It is vital that a pilot can interface easily with all the controls in the cockpit. The controls/displays must be fitted
around the cockpit in a logical way so that the pilot can easily reach and see the more important controls/displays
(e.g. speed and altitude dials), while they may need to move to reach the less important ones. It is important that
safety-critical switches cannot be inadvertently operated. These should be designed so that there has to be a
positive action by the operator in order to initiate them.
Emergency controls must be clearly identifiable, easy to use and situated in a suitable location. The emergency
controls must be accessed quickly to prevent unnecessary delay in stopping the activity that they control.
It is also important that the pilot can adjust their position to obtain the best field of vision and enable quick
responses for movement of the various controls. For this reason, the pilot must be able to alter the height and
position of their seat to ensure that the controls are in comfortable reach. The temperature, ventilation and
lighting in the cockpit must also be adequate and these must be adjustable to suit the individual.
• CNC Lathe
The CNC lathe is computer-operated using a keypad or keyboard. It is important, therefore, to ensure that the
operator can access the keypad or keyboard easily and that they can use the keys comfortably. For this reason,
the operator must be able to adjust their operating position, (i.e. chair height and position), as well as the actual
position of the keyboard.
Matching the Job to the Person

Physical Match
Workstations should be designed to be wherever possible adjustable to suit the individual using them. Control of the
workstation and working environment by the workers may not always be totally possible but even relatively small
changes can result in huge improvements. In many supermarket checkout operations, the staff can only make slight
adjustments to the chair height at their workstations. In some organisations however, workstations are much more
adjustable; workers can sit, stand, walk and use the hand scanner or use the barcode scanner on the belt, all of which
can help to reduce the stresses placed upon them in a working day.
Mental Match
It is often said that the world would be boring if we were all the same, and this is just as important to remember when
assigning tasks to individuals. Some people relish dealing with facts and data, others would much rather deal with the
written word. Some love engaging with people, others would not describe themselves as “a people person” at all. We
all have different skills – some may struggle with maths or literacy which can be managed in many roles, but, for
example, a technician who can’t carry out basic calculations may not be able to safely operate a production process.
These are just some of the considerations organisations should be making when assigning tasks to individuals.
Task Complexity
The complexity of the task can have a significant effect on the propensity
for human error. Tasks that involve complex calculations, decisions or
diagnoses will present more opportunities for such error. Such tasks
should be broken down into simpler units to give greater clarity.
Tasks should be broken down to give

clarity

Application of Task Analysis

Task analysis is a process that identifies and examines tasks performed by
humans as they interact with systems. It is a means of breaking down a
task into each individual step and is a technique that looks at an activity
in detail. The activity in question may be one where a number of people
have injured themselves. By breaking the task down into each step, the
cause of the injury may become apparent and a better way of completing
the task may be identified. Each step can be examined in detail to try to
identify where human error might occur. Could slips occur by performing
an action too soon or by leaving out a step from a task? Is it possible to
make a mistake by selecting a wrong alternative? Once the possibility of Task analysis
human error has been identified, the task can be modified to reduce its likelihood.
For example, consider the school cooks who produce hundreds of hot meals per day. A number of incidents have
occurred, which on the surface seem unrelated, e.g. back strain, burns, slips and trips. Looking more closely, however,
it seems that all the accidents have occurred while removing or putting items in the oven. After breaking down each
step, it becomes apparent that the oven door does not always stay fully open so the cook has to balance the trays of
hot food while trying to keep the door open. This sometimes means holding the food in an awkward manner (leading
to back strain) or spilling the food (leading to slips and trips) or being burnt by the oven door. In this simple example,
it may be possible just to fix the door so it stays open, or to change the procedures, or it may mean someone has to
hold the door open while another person removes/replaces the food.
By breaking down a task, you can see exactly what happens without making assumptions about some of the steps.
Individual Factors
Relationship Between Physical Stressors and Human Reliability
Stress can be caused by a number of factors, including physical stressors, such as extremes of heat, humidity, noise,
vibration, poor lighting, restricted workspace, etc. The presence of physical stressors has a negative effect on people
and means that errors are more likely to occur.
Physical stressors affect how comfortable a person is and their ability to concentrate and may even make them feel
unwell. Different people may be affected by varying degrees of the physical stressor.
For example, some people are not affected by increased room temperature, while others start to feel uncomfortable
and may become restless after a few degrees’ rise. Pregnant workers are more likely to be affected before other
members of the workforce. However, if the temperature continued to rise, then more and more people would be
affected and the likelihood of errors occurring would rise too as concentration levels dropped. In addition to this,
people are more likely to lose their tempers or have decreased levels of patience which, again, may lead to errors or
incidents occurring. Eventually, a very warm working environment may result in fainting or heat exhaustion, which
could have serious implications in a high-risk environment.
Some environments are very warm by their nature, such as working in a busy kitchen. Procedures should be in place
to ensure that individuals are protected from excessive heat, for example: regular rest breaks away from the heat,
availability of cold drinks, good air circulation, etc.
In order to prevent errors, or reduce them as far as possible, you need to ensure that the working environment is
as comfortable as possible. Where physical stressors are likely to be a problem, (e.g. in a noisy environment), other
controls must be in place to prevent them affecting an individual’s ability to work safely. These controls may be in the
form of suitable PPE, limited time within the environment, or regular breaks.

Effects of Under-Stimulation, Fatigue and Stress on Human Reliability

Stress is the reaction that people have to excessive pressure and occurs when they worry that they can’t cope. Stress
can affect performance and an individual’s ability to make decisions and work effectively.
Both work overload (having too much to do or the work being too difficult) and work underload (routine, boring and
under-stimulating tasks) can be sources of stress:
Under-Stimulation
With advances in technology, jobs can become more monotonous and controlled if they are designed to minimise
skill requirements, maximise management control and minimise the time required to perform a task. Such jobs are
likely to create negative attitudes and poor mental and physical health. It is only through re-designing such work that
improvements can be made in the quality of working life and the performance on the job.
Fatigue
Fatigue can be defined as ‘weariness after exertion’ or can occur after repeated periods of stress. Severe fatigue can
lead to poorer performance on tasks requiring attention, decision-making or high levels of skill. Shift work, working at
night or extended hours can all result in fatigue and have an adverse effect upon health. For safety-critical work, such
as train driving, the effects of fatigue can give rise to increased risks.
Shift work, especially night-working, can impact on safety. During the night, job performance may be poor and tasks
completed more slowly. The hours between 02.00 and 05.00 are the highest risk for fatigue-related conditions. Sleep
loss can lead to lowered levels of alertness. Sleep debt, which is a build-up of sleep loss, leads to reduced levels of
productivity and attention. These effects can also affect early morning shift workers and people who are on call.
MORE...
You can find further information on the effects of fatigue on human performance at:
www.hse.gov.uk/humanfactors/topics/fatigue.htm
Stress
DEFINITION
STRESS
The reaction that people have to excessive pressure or other types of demands placed on them.
The introduction of new systems can also be a source of stress where complicated technology and the absence of
training and support can exert undue pressure on individuals. There are also factors intrinsic to the job that can act as
stressors, such as:
• Poor physical working conditions (e.g. high levels of noise, poor ventilation).
• Working inconvenient and excessive hours.
• Working on a repetitive and fast-paced task.
• Having a job which involves risk or danger.

When attempting to improve job satisfaction and reduce stress levels,

organisations often focus on the individual worker by providing stress
management courses and employee assistance programmes. These are
attempts to deal with the problem on an individual basis, whereas the
longer-term solution is to consider organisational and job design issues in
order to deal with the underlying work-related causes of stress.
The Effect of Personal Attitudes

The risk perception of individuals will be very different based upon their
knowledge, experience and personality. A safety professional who has studied disasters may be very concerned when
discovering that a manufacturing organisation doesn’t have a permit to work process in place, whereas an engineer
who has worked there for years with seemingly no incidents may not see what all of the fuss is about. Personality,
attitudes and habits can also play a part in defining the way an individual responds to a safety situation; we can
influence someone’s attitude to safety through training, by increasing awareness through high impact interventions
and by coaching and mentoring; the Speed Awareness courses operated by the police force for drivers caught
speeding are intended to do exactly that. Someone’s personality, however, is fixed – if you are a reckless person
who likes to break rules, an organisation can no more change that than they could make a grumpy person jolly!
Organisations must know their workers and ensure that the right people are in the right roles.
Organisational Factors
The Effects of Organisational Factors on Health and Safety Culture
When investigating accidents all too often we hear of organisational failings which have resulted in poor decision
making. Individuals may know what they should do, an organisation may espouse “safety first” as a mantra
emblazoned on t-shirts and stickers, but what if managers and supervisors are demonstrating that safety is less
important than delivery times? Will employees feel that they need to cut corners to get the job done? More effective
organisations engage with their workers to ask their opinions and promote safety, clearly demonstrating that “getting
the job done” does not mean ”getting the job done at all costs”. Organisations need to understand the impact that
the safety culture can have on individual behaviours.
Organisational Factors that Affect Human Reliability

• Patterns of Employment
These days, it is accepted practice for workers to be on short-term contracts and this clearly has an effect on
individuals seeking job security. Some people in this position may suffer from stress due to the lack of job security,
particularly if they have always had a ‘permanent’ job in the past. Other people acknowledge that there are now
few ‘jobs for life’, and take short-term contracts in their stride.
Short-term contracts often mean that the employer can choose to retain the best workers. Where there is a good
safety culture in place, this will often mean workers who perform well and safely. Where the safety culture is poor,
this may mean workers who work the quickest will be kept on. So, the type of organisation will determine how
the individual will work in order to ensure that their contract is renewed. On the other hand, where short-term
contracts are in place, there may be little loyalty from the workforce and so turnover of staff (particularly good
performers) may be high.
‘Permanent’ contracts may lead to complacency in the workforce, in which case the employer needs to ensure
that individuals achieve their potential and work toward the company goals. There are many ways of encouraging
improved performance, e.g. reward and incentive schemes.

The way the work is organised between people can also have a major
effect on performance. Where people work in small teams with some
variety to their tasks then this can build comradeship and a good
working environment. However, where people work alone, work can
become a lonely place and the tasks can become monotonous.
• Payment Systems
The way in which people are paid can have an effect on the way they
work. For example, piecemeal workers are paid by performance;
Lone working can be lonely and tasks
abattoir workers are often paid per animal slaughtered, so for them,
can become monotonous
speed is of the essence because, the faster they work, the more they
get paid. While safety may not be the top priority, they understand
that their own safety is paramount because if they injure themselves, they won’t be able to work and then they
won’t get paid. So, by default, personal preservation may lead them to work more safely.
This is really the same for all self-employed people. On the other hand, employed people who still get paid if they
are absent from work may not think about their own safety in these terms, and so may or may not work more
safely.
• Shift Work
Shift work has a great effect on an individual’s performance. In addition to fatigue and stress, individuals may find
that their social lives and family life are affected. The effects of this will rather depend on the individual and their
circumstances, as well as the shift pattern itself. If, however, an individual is unhappy at home, then this will often
spill over into their work life and performance may be affected.
Shift workers (especially night workers) may experience negative effects on their health:
–– Gastrointestinal problems are more likely to occur due to eating snack meals during work hours.
–– Respiratory problems, such as asthma, tend to be worse at night, as do allergic reactions.
–– Lung function also declines at night, especially for those people with chronic respiratory problems. Clearly,
where people’s health is affected, performance may also be affected.
Shift work interferes with the body’s natural circadian rhythm. Even when working nights, the body still reduces
it’s temperature in the early hours of the morning, reduces blood pressure and stops digestion, which leads to an
individual feeling sleepy and less alert.
Shift workers need adequate rest between shifts as well as regular rest days to ‘recharge their batteries’. The shift
pattern itself may also affect individuals. Shift patterns that alter once a week are likely to be more difficult to
adjust to rather than those that change more rapidly or more slowly.
Effect of Weaknesses in the Health and Safety Management System on

the Probability of Human Failure
Inadequacies in Policy
Organisations must appreciate that they need to consider human factors as a distinct element which must be
recognised, assessed and managed effectively in order to control risks. For this reason, human factors must be
considered and included in the company health and safety policy; if they are not, then it is more likely that these
important factors that can affect the way in which individuals work, will be overlooked and human failure is more
likely to occur.

For example, some of the common organisational causes of human failure include:
• Inefficient co-ordination of responsibilities.

• Poor management of health and safety.
Both of these stem back to inadequacies in policy. If the health and safety policy defines the responsibilities correctly
and the ways in which health and safety are to be managed, then failure is less likely to occur due to these causes.
Setting of Standards
The setting of standards and the use of benchmarking, is a feature of any health and safety management system.
Recognising human error is essential in such areas as identifying foreseeable misuse is a necessary element of a
suitable and sufficient risk assessment.
Information
The availability of information within an organisation or system is vital
and the information should be:
• accurate;
• timely (e.g. it is no good being informed of a new procedure three
weeks after the implementation date); and,
• relevant.
Too much information can be overwhelming and will mean that the
important bits may get overlooked.
Too much information can be
Providing the right information, at the right time, and to the right overwhelming
people, is not easy but it goes a long way to ensuring a good working
system and one where the employees feel involved and appreciated. One example is ensuring written instructions
(including warning signs) are clearly understood by everyone, including those with a poor understanding of English.
Anyone who has worked for a company where information was not provided adequately knows the confusion and
mistrust this can cause.
The information required may range from the structure of the organisation and the responsibilities within it, to the
operating instructions for a piece of equipment.
Planning
The proper planning of a system ensures that it works effectively, and so all aspects of it must be taken into account.
This includes the inputs, the outputs, the work in the middle (production/processing), as well as the effect of the
environment. All these areas need to be looked at to see how they affect the system or how the system affects them.
Different scenarios should be considered so that the system can operate in changing circumstances.
For efficient working, system planning must take account of relationships between processes, (i.e. the organisation
and communications), and the ability to adapt to change. This might include:
• Proper work planning, including the task steps as well as relationships with other tasks – to remove unnecessary
work pressure.
• Properly integrated procedures and safe systems of work.
• Proper co-ordination.
• Communications – two-way to allow feedback for improvements and clarification.

Responsibilities
To implement an effective system, everyone involved must understand their role and how it integrates into the
system. Each person must also appreciate the effect on the system as a whole if they don’t play their part. Unless
responsibilities are clearly defined and understood, then there will be an increased risk of tasks not being fulfilled, e.g.
maintenance. This will have a consequential effect on safety and health.
Monitoring
Feedback and monitoring of a new system is vital to ensure that the system works and that, where necessary,
improvements are made. Human error is significantly reduced by providing proper, timely feedback to the individual
or group.
Influence of Formal and Informal Groups

Formal Groups
You will remember that we looked at formal and informal organisations earlier in this Learning Outcome.
Formal organisations:
• Are established to achieve set goals, aims and objectives.

• Have clearly defined rules, structures and channels of communication.
• Are often divided into productive and non-productive, productive organisations being involved in the production
of goods and services.
To be successful, an organisation has to have clearly defined objectives and be positive in aiming to achieve them in
the most efficient manner. Where this positive direction is lacking, an organisation is likely to fail.
Nearly all organisations are hierarchical in structure, i.e. they have different levels of authority and responsibility within
their structure.
The simplest way of depicting such a functional hierarchy is with a line diagram (or organisation chart) similar to the
one that follows.
Managing Director
Executive Executive Executive Executive

Director, Director, Director, Director,
Marketing Production Finance Personnel
Personnel Training Health and Safety

Manager Officer Practitioner
Functional hierarchy

Organisations also make use of matrix charts to depict organisational structure. In the figure below, staff functions are
shown across the top and line functions down the side. Interaction takes place where the functions cross.
PERSONNEL FINANCE SALES
SITE A
SITE B
SITE C
Matrix chart of organisational structure
Concentric circle charts (see the following figure) show the management functions to be the hub of the organisation
around which all other decisions and functions revolve.
Concentric circle chart

Informal Groups
The organisation chart shows the formal organisation of the company
and indicates the direction of communications. There will also be formal
working groups and committees. In a large organisation, this can be
cumbersome and some decision-making processes use informal routes.
The health and safety professional needs to be aware of these informal
methods.
Although a formal structure would suggest that they might communicate

with the works foreperson by reporting to the human resources manager,
who contacts the managing director, who then passes the information or Grapevines are useful for passing on
instruction to the foreperson via the production manager and supervisor, gossip but not important information
in practice the safety professional goes directly to the foreperson and, if necessary, reports this using the formal
channels.
Within any organisation there is a ‘grapevine’. This is usually very effective in passing on gossip and information.
Since the source is difficult to trace, the information might not be totally reliable. So, superimposed on the formal
organisational structure is 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, such as the church, golf club, or local pub.
• Valuable experience or expertise.
Organisational Communication Mechanisms and Their Impact on Human

Failure Probability
Every organisation depends upon an intricate communication network; the bigger the organisation, the more
elaborate the system. The precise form of the network will vary from company to company. The following networks
and the direction of communication they deal with are the most common, although, in practice, the communication
system in a particular company will inevitably be far more complex. Communication systems vary in their complexity,
reliability and formality.
Modes of Communication
Communication can be either one-way or two-way.
In one-way communication:
• Sender identifies the message.

• Sender transmits the message.
• Receiver receives the message.
• Receiver interprets the message.
Although this is quick and gives the perception of efficiency and control, there is no opportunity for feedback and the
assumption is that the receiver has paid adequate attention.
Examples include: a tannoy message in a factory, a safety poster, following written or e-mail instructions.

In two-way communication, there is the opportunity for the receiver to transmit information or questions back to
the original sender and for the sender to respond such that a conversation takes place. Although more complex and
time-consuming, two-way communication is likely to be more effective and reliable by placing the onus on both
parties rather than one. Achieving a mutual understanding between the two parties ensures that the correct message
is received and understood and contributes to an improved safety culture.
Examples include: a one-to-one meeting, a toolbox talk with the opportunity for questions, or a telephone call.
Shift Handover Communication

Shift-working and shift handovers are characteristic of many organisations, not only in the process industries but
also in healthcare. During shift handover, relevant information has to be communicated to maintain the continuity
of the activities; if this fails, there is the risk of serious consequences. A key factor in the Piper Alpha disaster in
1988 (discussed in more detail later on) was the failure in the permit-to-work system such that the oncoming shift
members were unaware of the removal of a safety valve. This failure led to actions that initiated the disaster.
In 2004, the British Medical Association published guidance on good practice handovers in healthcare and detailed
five questions:
1. Who should be involved?

–– All key personnel at all grades.
2. When should handover take place?
–– At fixed times, of sufficient length and arranged to allow both the off-going and on-going shifts to attend
within their working hours.
3. Where should it take place? Board
–– Close to the most used work sites so that there is room for both sets of
staff to attend.
Principal
4. How should handover happen? Executive
–– A specific formal format should be devised and consistently followed.
5. What should be handed over? Departmental
Managers
–– This might include written notes as well as electronic information.
Organisational Communication Routes

Middle Managers
• Vertical Communication
The amount of communication downwards tends to exceed that going
upwards:
Supervisors
–– Downwards
Communication will usually be made along the lines of authority, from
Managing Director down to Section Leader and on to the clerk and First-Line Supervisors
shop-floor worker (see following figure).
At each managerial level, there must be responsibility for passing on

information. Each superior level must be responsible for ensuring full, Employees
accurate knowledge and understanding at the next subordinate level.
The importance and use of communication must, therefore, be included Vertical communication –
in any management training programme. downwards and upwards

The passing ‘downwards’ of some directive, communication or instruction, implies temporary ‘storage’ of
that information in the mind, or the ‘in-tray’, of all intermediate handlers. Careful consideration must be
given, therefore, to the most appropriate type of information storage and display system.
Some senior staff believe that the only effective way to pass information is by word of mouth. They think they
are the only really effective communicators in the organisation, but this can mean that they find themselves
with no time to make decisions because all their time is taken up ensuring that the decisions they have made
have been passed on to all concerned.
Office
Manager
Invoicing Ledger Costing Wages Services

Supervisor Supervisor Supervisor Supervisor Supervisor
Costing Estimating Stock Control Bought Invoices

Senior Clerk Senior Clerk Senior Clerk Senior Clerk
Clerks Clerks Clerks Clerks
Vertical communication within a department
–– Upwards
Communication upwards is equally important in any organisation – ideas, suggestions for improvements, and
opinions on existing systems, communications and techniques are all important for management to consider
and use.
Office and shop-floor workers are in direct contact with the actual work carried out and can often see ways
to improve processes and production. The regular flow of such ideas has been of considerable value to
organisations in reducing costs, cutting production times, introducing improved layouts and in creating an
atmosphere of co-operation and goodwill between employees and management.
Research has shown that it is in the upward flow of information that the greatest shortcomings exist,
especially in recent years, with the use of management information systems and the selection and processing
of the ‘vital’ information managers need to have.
Whereas downwards communications are usually ‘directives’, i.e. they initiate action by subordinates, upward
ones are usually ‘non-directive’, i.e. they report results or give information, but are not necessarily intended to
prompt action.
Although the amount of downwards communication is usually greater than that going up, managers should
encourage an increase in the flow upwards, although much depends on the time the manager has available to
deal with the upwards communications.
• Horizontal Communication
Information is also channelled horizontally, both within a department and between departments.
We give information to and receive it from colleagues in our own department and we have contacts with our
opposite numbers in other departments. These communications are of the greatest value in administration,
particularly in affecting co-ordination (see the following figure).

Remember that information flow is subject to variation in speed and quantity; activity will vary according to the
time of day, the day of the week, and the month or quarter.
The characteristic of feedback is vital in effective communications. It should inform the sender of information
that their message has been understood and acted upon, hopefully in the expected manner, bringing about the
planned objective.
Purchasing
Despatch and
General Office Transport
Accounts and
Costing Sales
Research and
Development Production
Internal communications – horizontal
• Inward and Outward Communication

–– Inward
Here, we see the effect of all the personal face-to-face calls on people at all levels in the organisation: the
incoming telephone calls and emails from people of all kinds making contact with various members of staff,
and postal correspondence arriving daily in the post room.
–– Outward
The amount of communication outwards from any organisation is sometimes grossly miscalculated. Outgoing
communications are both formal and informal, both explicit and implicit.
In this same category, we can include the behaviour of responsible members of staff when they are off
company premises; their behaviour and expressed attitudes may be seen as reflecting those of their
organisation.
Outward communications also include the various kinds of advertising and promotional devices the
organisation uses.

Contribution of Human Failure and Human Factors to

Incidents
No study of human error will be complete without some consideration of major incidents. In each case, you need to
consider the part played by human error. An investigation usually apportions blame, but although some blame will
be attached to those who are directly involved, the majority of the blame is usually placed on those in responsible
management positions. Safety professionals usually carry some responsibility as well.
Kegworth Air Disaster

A Boeing 737 airliner had taken off on a routine flight from London
to Belfast. There had previously been a problem with vibration in the
right-hand engine, and the maintenance log showed that this had been
attended to. The pilot had read the maintenance log before take-off. The
air-conditioning on a 737 is driven mainly from the right-hand engine.
During the flight, the pilot detected vibration and an excess of smoke
and fumes, and he throttled back the right-hand engine. This stopped
the smoke and vibration. This seems to have been just a coincidence but
seems to have confirmed in the pilot’s mind that he had dealt with the
problem. The right engine was shut down. There is some suggestion that
a warning light showed that there was a fire in the right-hand engine. The pilot obtained permission to land at East
Midlands Airport near Nottingham and Derby. It was then found that the wrong engine had stopped: the problem
was in the opposite side engine which had suffered a turbine blade detachment. The pilot would have had little
difficulty landing the plane with one engine, but now had to attempt to land it on one faulty engine. They crash-
landed 900 metres short of the runway on the M1 motorway near the village of Kegworth. There were fatalities and
injuries.
The key factors leading to the disaster included:
• The crew did not deal with the initial engine problem in accordance with what training they had.
• Other crew on board observed the flames from the left-hand engine but did not inform the flight crew.
Piper Alpha North Sea Oil-Rig Explosion

On 6 July 1988, there was a disastrous fire on the Piper Alpha oil rig in
the North Sea; 167 men were killed and many who survived were injured
and traumatised.
The rig was operated by Occidental Petroleum (Caledonian) Limited.

Piper Alpha was part of a linked operation involving four rigs. The
operation involved gas, compressed gases and crude oil. The various
operations on Piper Alpha were in modules which were stacked on top of
each other. The helicopter landing pad was on the highest level, and on
top of the main accommodation module.
There were 226 men on the platform; 62 were working the night shift,
and the majority of the others were in the accommodation modules.
• At 22:00 hours, there was an explosion followed by a fireball that 167 men were killed in the Piper Alpha
explosion
started from the west end of B-module. This was quickly followed by
a series of smaller explosions. The emergency systems, including fire
water systems, failed to operate. Three Mayday calls were sent out, and the personnel assembled on D deck. The
radio system and the lighting then failed.

• At 22:20 hours, there was a rupture of the gas riser of the Tartan supply (another rig – but the pipeline was
connected to Piper Alpha), followed by another major explosion, with ignition of gas and crude oil.
• At 22:50 there was a further explosion with a collapse of much of the structure.
There was a mass of photographic evidence taken from the other rigs and ships in the area, but some problems in
fixing the exact time of each. The enquiry was very thorough, but unable to come up with clear conclusions. Gas
detection equipment was working, but some water systems had been turned off, and some welding operations were
in progress. The report criticised the platform design, and the lack of safety systems. It called for major changes in
disaster planning and auditing.
• Failure in the permit-to-work system.

• Design failure in that the rig containment wall was fire-resistant but not blast-resistant.
• Other rigs did not shut down and continued to feed into Piper Alpha, fuelling the fire.
• Inadequate emergency procedure for rig evacuation.
Herald of Free Enterprise

The Herald of Free Enterprise sailed from Zeebrugge harbour for Dover with both inner and outer bow doors open.
Water flooded in, causing the ferry to capsize. The Assistant Bosun was responsible for closing the doors but had
fallen asleep. The Captain assumed that the doors were closed unless told otherwise. There was pressure on ferries to
sail as quickly as possible.
• Design failings, in that roll-on, roll-off ferries were inherently unsafe and top-heavy.
• Reduction in the complement of officers, with long working schedules.
• No automatic monitoring of critical areas such as the bow doors.
• Poor emergency procedures, particularly provision of lifejackets.
Ladbroke Grove (Paddington Rail Disaster)

On 5 October 1999, a local passenger train passed a red signal and continued into the path of a high-speed train. The
ensuing collision and subsequent fire resulted in the deaths of 31 people, with many injured.
A joint investigation by the Health and Safety Executive (HSE) and British Railway Police identified a number of
significant problems associated with the signalling system.
Among these was the positioning of a particular signal that was exceptionally difficult to read in comparison with
other signals. It was also suggested that the driver’s perception could have been affected by the sun reflecting on the
signal lenses.
Additionally, there was some debate about whether the Automatic Warning System (AWS) could have given
misleading warnings which led to them being disregarded.
One of the main conclusions was that the misinterpretation of the information presented by the signal was a
significant factor. The competence of the driver was not questioned as they had been fully trained, although they
were relatively inexperienced.

Three Mile Island (USA)

Three Mile Island nuclear power plant is near Middletown, in
Pennsylvania, USA. In March 1979, the reactor core went into meltdown,
but there were only small releases of radioactivity and no deaths/injuries.
The reactor was a Pressurised Water Reactor (PWR), which is a very
common design throughout the world (other than in the former Soviet
Union). In this design, the primary coolant water is kept pressurised so
that it does not boil. The primary coolant water passes the heat onto a
secondary water system (via a heat exchanger), which is allowed to boil –
the steam driving a turbine to generate electricity.
To summarise, the incident started with a failure of the secondary circuit – which prevented heat removal. This caused
the reactor to shut down and the pressure in the primary circuit to increase. This in turn triggered the opening of
a pressure relief valve which, unfortunately, stuck open instead of closing again when the pressure had reduced. As
it happened, the signals on the operating consoles indicated that the valve had shut (the lamp was triggered by the
circuit signal to the valve rather than the actual valve position). The continued escape of the coolant through the
valve allowed the core to overheat.
Coupled with this was the confusing instrumentation available to the operators. There was no coolant level indicator
– instead it was inferred from levels elsewhere in the system (but these levels had actually been raised by bubbles of
steam). Alarms began to sound but, at that stage, the nature of the unfolding incident was not recognised as a ‘loss
of coolant’ incident. Immediate actions included reducing the coolant flow in the core (their training had emphasised
the danger of too much coolant and, of course, they believed, from the instrumentation, that the pressure relief valve
was shut); this made things worse. If they had done nothing, the plant would have cooled down on its own. Instead,
the core continued to overheat and the fuel began to melt.
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,
and 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.
Initiatives for Improving Individual Human Reliability in the

Workplace
Human reliability may be improved by:
• Motivation and reinforcement.

• Incentive and reward schemes.
• Increasing job satisfaction.
• Appraisal schemes.
• Selecting appropriate individuals for the job:
–– Matching skills and aptitudes.

–– Training and competence assessment.

–– Ensuring fitness for work.
• Health surveillance.
• Support for ill health, including stress-related illness.
Motivation and Reinforcement

People are motivated by different things, for example some will be motivated by financial rewards, some by the
opportunity to develop and some by the allocation of responsibility or status. The reinforcement theory of
motivation states that the consequences to individuals drive their behaviour – we are likely to repeat something that
we were rewarded for and are less likely to do something that resulted in a punishment, known in the past as the
“carrot and stick” approach to management. This is highly simplified however, because not all positive reinforcement
will work on all people and our responses to punishment may not be permanent.
Positive reinforcement in the simplest terms is “giving people something

they want” – this could be a financial reward as a bonus or an incentive,
but equally it could be thanks or praise. We will look at the challenges
with incentive and reward schemes in the next section. The temptation
can be to use high cost rewards – certainly they work initially, but if
people don’t truly believe it is better to follow a procedure and they are
just doing it because if they do they may get a bonus, then the behaviour
is likely to evaporate should a bonus not be given as it wasn’t ingrained
as a habit. Often it is better to give low “cost” high ”value” rewards,
such as recognition, praise and thanks or small tokens – employees
are encouraged to develop the safety habit, they feel good that it was noted and are much more likely to keep that
behaviour going. This is the basis of behavioural safety which we touched upon earlier. Stop noting that people are
doing the right thing, and that good behaviour will potentially stop too (we call this “extinction”).
Conversely, negative reinforcement works by catching someone doing something wrong and punishing them for
it – it is the method used by police forces and it is not unheard of for the phrase “safety police” to be used in the
workplace for the same reason: someone was breaking a rule, they were caught and punished. However just as crimes
still occur, people will still break the rules because the negative reinforcement is only given if people are caught. The
reinforcement theory of motivation relies on a lot of feedback being given!
Workplace Incentive and Reward Schemes
DEFINITION
INCENTIVE
An incentive is really an inducement that provides a motive for someone to do something, usually in the form
of some sort of reward for achieving a particular goal or milestone.
(Note that the words ‘incentive’ and ‘reward’ in this context are routinely used interchangeably.)
Workplace incentive or reward schemes can be a good way of motivating employees to focus on the job and conform
to the organisational goals. The incentive encourages employees to work harder in order to receive a payment or
benefit. For example, achieving a set target or exceeding that target may mean that individuals receive a financial
bonus or a prize. The scheme may operate on an individual basis or as a team effort, in which case the incentive
would be for the team to achieve the target. The incentive scheme may be set up so that a winning team or individual
is identified every month, for example, and the winner is given a prize. This type of incentive motivates individuals to
work harder but also motivates teamwork.

Some pay schemes work by paying a very low actual salary but having bonus payments which are paid when targets
are met, e.g. sales jobs. The motivation to sell more is clearly through the financial gain.
Piecemeal work, where workers are paid per work unit completed (e.g. for each sheep sheared) encourages
individuals to work quickly so that they can earn more money. This may have implications with respect to safety as the
workers are not encouraged to necessarily consider safety as their first priority.
Incentive schemes aimed at improving safety are more difficult as they may need to monitor the results over a
reasonable time period, such as one year. Incentive schemes can often lose their momentum and their effectiveness
over time. For this reason, it is important to either keep the time periods short or continue to keep the momentum
high.
Incentive schemes for safety may relate to obtaining improved ‘scores’ during routine audits or inspections. This type
of incentive would be aimed at ensuring all members of the workforce made their work area as safe as possible and
that work was carried out in a safe manner.
Avoid incentives aimed at reducing accidents specifically (i.e. where measurement would be a decrease in accident
rates), as this may result in under-reporting of accidents in order to obtain the incentive.
Job Satisfaction
For some people, job satisfaction is all that they require to be motivated.
Job satisfaction is also very individual to each person:
• Some people are satisfied with a good working environment and
regular rest breaks.
• Other people require challenging, stimulating work where they
receive positive feedback.
One motivation theorist, Frederick Herzberg, identified particular
Some workers need more challenging
motivating factors which, when present, increase satisfaction from
work than others
work and provide motivation toward superior effort and performance.
These include recognition, responsibility, achievement, advancement,
and the work itself, and are distinct from other factors that increase dissatisfaction when absent, but when present
do not result in positive satisfaction and motivation. Herzberg termed these ‘hygiene’ factors. They include type of
supervision, salary/wages, working conditions, company policies, rules, etc.
Appraisal Schemes
DEFINITION
APPRAISAL SCHEME
A formal means of placing value on achievement or effort and is generally carried out on an annual basis. The
results may be used to determine the level of a pay rise or a promotion.
Appraisal schemes usually involve the employee filling in a self-appraisal form which is discussed at an interview with
their manager. A report is produced at the end of the interview with a copy being provided to the employee and to a
senior manager, and a copy placed in the employee’s personal file.
The self-appraisal form may request information about what the employee feels they have accomplished in the
past year and their high and low points. It may also ask what areas the employee is dissatisfied with and what
improvements they would like to see. The form may also ask about the employee’s aspirations for the coming year.

In this way, the employee is given an opportunity to identify what areas of their job they are satisfied with and what
areas they are dissatisfied with. They may also come up with ideas to improve their job or to improve themselves,
such as additional training. This scheme gives the manager an opportunity to discuss with the employee their
thoughts on the employee’s progress, and give praise and encouragement where required.
Some appraisal schemes give the employee the opportunity to comment on their manager. This needs to be
anonymous if there is a chance of reprisal.
Appraisal schemes are an excellent way of finding out what problems exist within a workplace and, therefore, give
the opportunity for improvement. They also provide a measure of the safety culture within an organisation. More
importantly, they allow the employee to comment on their own progress and to voice their opinions. Employees in
appraisal schemes will often feel more motivated than those not in such a scheme, particularly where hard work and
improvements are rewarded.
Selection of Individuals
Matching Skills and Aptitudes
An employer may wish to select only those workers who will conform to their safety standards – either existing
workers for new or different tasks, or prospective employees. This selection process is often by interview (at least in
part) and sometimes involves aptitude tests.
Be aware that selection in this way may not lead to large improvements in reliability because people may behave
differently once they have the job.
Some of the best selection techniques involve competency-based interviewing which identifies the skills, talents and
abilities required by the job and may assess:
• Effectiveness of communication (verbal and written).

• Problem-solving ability.
• Ability to use technology.
• Whether they provide input or views on safety issues.
• Whether they follow safety instructions.
• Teamwork.
Training and Competence Assessment

On-the-Job Training
On-the-job training provides trainees with experience which is a
combination of work-based knowledge and skills development. As the
trainee gains experience, the range and complexity of tasks that they can
undertake without detailed guidance increases. The process of learning
can be improved by:
• Demonstration.
• Coaching (carrying out tasks with guidance).
• Projects.
The instructor assesses the competence of the trainee as their skill level increases.

This training is effective, providing the trainee is shown the correct way of carrying out the task; bad habits can
develop from the start if the trainee is placed with someone who does not follow the correct procedures.
Off-the-Job Training
Off-the-job training is carried out away from the work environment in a number of ways:
• Lectures: one-way communication in which all the talking is done by the lecturer. It is a good way of teaching a
large number of students simultaneously. The limitations are:
–– There is a very low rate of retention. Adequate back-up notes are essential.
–– Students may not understand the presentation and be unable to seek clarification.
• Seminars: where discussion is encouraged and students can learn from the instructor and from each other. The
number of students who can usefully take part at one seminar is a limiting factor.
• Programmed instruction: provided through a combination of distance-learning or open-learning packs, computer
or audio-visual programmes with no direct involvement of an instructor. However, many distance learning
packages do have access to tutors for advice or assistance through email or telephone contact.
Fitness for Work

Some jobs, often called ‘safety critical’, involve activities that require
a person’s full, unimpaired control of their physical and mental
capabilities. For example, a tower crane operator will need:
• To be able to climb safely up the mast to the cab.

• Good eyesight.
• To not suffer from any condition that might make them prone to
lose consciousness.
In such circumstances, the employer would require a full medical Good eyesight is essential for a crane
operator
assessment of the prospective employee by an occupational health
professional. Although the results of the assessment are confidential to
the worker and the safety professional, the employer can expect to be given a general report specifying whether the
prospective employee is:
• Fit for work.

• Fit for work with restrictions.
• Temporarily unable to meet the fitness standard.
• Unable to meet the fitness standard for work to carry out specific jobs.
MORE...
You will find further information on psychosocial and organisational factors in the ILO Encyclopedia, specifically
in Part V: Psychosocial and Organizational Factors, at:
www.iloencyclopaedia.org/part-v-77965/psychosocial-and-organizational-factors

STUDY QUESTIONS
18. According to Rasmussen’s model, what are the three levels of behaviour?
19. Explain the term ‘ergonomics’ and discuss how the poor application of ergonomics might lead to injury and
occupational ill health.
20. What features are present in an ergonomically designed crane cab control system?
21. What effects might shift-work have on an individual’s performance?
22. Outline the differences between formal and informal groups within an organisation.
23. How did human error contribute to the Piper Alpha disaster?
24. Identify four different methods by which employees can be motivated.

Summary
Summary

2.1: Organisational Structures
In this section, we have identified:
• In a formal organisation, the organisation’s structure is based on relationships from the chief executive down.
This hierarchical structure is represented by the company organisation chart, or organogram.
• The informal organisation is represented by individual and group behaviour, and depends on the quality of
personal relationships.
The organisation can be viewed as a system; different parts of an organisational system are functionally interrelated –
change in one part affects other parts of the organisation.
Conflict may arise as a result of individual goals not being consistent with those of the organisation.
2.2: Leadership
In this section, we have defined the following:
Safety leadership is “the process of influencing the activities of an individual or a group in efforts toward goal achievement in a
given situation”.
Types of safety leadership include:
• Transformational.
• Transactional.
• Authentic.
• Resonant.
2.3: Consultation
In this section, we have outlined:
• The role of consultation within the workplace and the principles established in ILO Convention C155, Article 20
and ILO recommendation R164.
• Consultation may be compromised by peer group pressure, tokenism and areas of conflict.
2.4: Health and Safety Culture & Behavioural Change Programmes

In this section we have looked at:
Health and safety culture may be defined as a system of shared values and beliefs about the importance of health
and safety in the workplace.
Health and safety climate is an assessment of people’s attitudes and perceptions at a given time.
A positive health and safety culture can be promoted by various factors, such as: the commitment of management, a
high business profile, provision of information, involvement and consultation, training, promotion of ownership and
the use of targets.

Summary
A negative health and safety culture can also be affected by various factors, such as: organisational change, lack of
confidence in an organisation’s objectives and methods, uncertainty and inconsistent management decisions.
A change in attitudes can be achieved by planning and communication, and should be introduced using a gradualist
approach. Action to promote such a change can be direct or indirect.
Behavioural change programmes endeavour to change individual worker behaviour by positively reinforcing desired
behaviour and deterring undesired behaviour:
• Specific observable behaviour to be changed is identified and then measured.

• The cues that encourage the behaviour and resulting consequences are identified.
• Safe behaviour is encouraged/rewarded.
• Unsafe behaviour is challenged.
Such programmes rely on:
• Observations by supervisors and other workers.

• Providing prompt feedback to improve behaviour.
2.5: Traditional and Proactive Safety Management

• Traditional Safety (‘Safety I’) where there is a focus on reactive responses to incidents and learning from past
errors and mistakes. The solutions are often compliance based and result in the monitoring of negative outcomes,
such as days since the last lost-time accident, number of days lost, etc. In this outlook people are seen as a
problem to control.
• Proactive Safety (‘Safety II’ or ‘Safety Differently’) as outlined by Hollnagel and Dekker considers that safety
is the presence of positives, not the absence of negatives. There is a belief that by devolving responsibility to
workers and removing unnecessary bureaucracy, and by allowing or trusting workers to make sensible decisions,
they will take care of their own safety and that of others. People are seen as a solution to be utilised rather than a
problem, and by asking workers “what do you need?” and listening to the workforce, consensus can be reached
as to how best to work safely. Finally, in ‘Safety II’ the positives are measured rather than the negatives, as it is
understood that past safety successes and low-incident rates are no guarantee of future safety performance.
The four varieties of human work (‘work as imagined’, ‘prescribed’, ‘disclosed’ and ‘as done’), and we looked at the
way that ‘work as done’ can be used to identify risks that would otherwise be missed.
Low likelihood and high consequence events that are often missed in traditional safety approaches, how worker
resilience can help to recover from adverse events, and how performance variation can be monitored and seen as a
way to develop processes through sharing of information.
The limitations of Traditional and Proactive Safety approaches: Traditional Safety is reactive and can be seen as
authoritarian as it is seen as compliance driven. By comparison, Proactive Safety can’t foresee all events; the predicted
situations may in reality never occur and therefore the resources used to “prevent” them are in effect wasted.
Proactive Safety is based upon predictions which could be flawed, and in many cases organisations may find the
approach to be difficult to implement as it is not a common approach, and therefore management may struggle to
adapt to this way of thinking.
The effects of Proactive Safety management on culture.

Summary
2.6: Risk Perception

In relation to human sensory receptors:
• Each of our senses works in the same way by sending signals to the brain.
• We tend to screen out things we are not interested in.
• Sensory defects increase with age and ill health.
When perceiving danger:
• Perceptual set is dangerous because we assume both the danger and the solution without seeing the real issues.
• Our perception of hazards can be distorted.
• Errors of perception can be caused by physical factors, such as fatigue and stress.
2.7: Human Failures and Factors & Improving Human Reliability

In this section we have looked at how human failures and factors can contribute to incidents and how human
reliability can be improved. We have outlined:
HSG48 identifies two types of human failure: errors (accidental) and violations (deliberate):
• Errors are actions or decisions which were not intended, involved a deviation from an accepted standard, and
which led to an undesirable outcome.
• Errors can be characterised as: slips, lapses and mistakes.
• There are three types of violation: routine, situational and exceptional.
Rasmussen’s model of skill-, rule- and knowledge-based behaviour states that:
• Skill-based behaviour describes a situation where a person is carrying out an operation without the need for any
conscious thought.
• Rule-based behaviour is at the next level – a situation where the operator has rules which they can apply to deal
with a specific situation.
• Knowledge-based behaviour is for situations where there are no tried rules or routines or the necessary skills.
Trial and error may be the only method available.
The design of the work environment can have an effect on human reliability. The following are some issues to
consider:
• Displays should be arranged so they can be scanned with minimum effort.

• Consistency is important in the action of control devices.
• Factors such as noise, dust, smell, vibration, temperature, lighting levels and humidity all contribute to a worker’s
ability to concentrate.
The ergonomist’s skills include:
• Anthropometry – a study of human measurements, such as shape, size, and range of joint movements.
• Physiology – a study of the calorific requirements of work (how much energy is needed) and body functions, the
reception of stimuli, processing and response.

Summary
Human performance can deteriorate due to poor design of workstations, such as those that are too low, or too high.
Work that involves repetitive movements can lead to upper limb disorders.
Task analysis is a process that identifies and examines tasks performed by humans as they interact with systems. By
breaking the task down into each step, the cause of an injury may become apparent, and the analysis may identify a
better way of completing the task.
Physical stressors affect how comfortable a person is and their ability to concentrate and may even make them feel
unwell. These include: extremes of heat, humidity, noise, vibration, poor lighting, restricted workspace, etc.
Fatigue can be defined as ‘weariness after exertion’ or can occur after repeated periods of stress. Severe fatigue can
lead to poorer performance on tasks requiring attention, decision-making or high levels of skill.
Weaknesses in the safety management system increase the probability of human failure. These include failures in:
• Policy.
• Planning.
• Setting of standards.
• Information.
• Responsibilities.
• Monitoring.
Groups, both formal and informal, within an organisation affect the control of risks.
Communication mechanisms within an organisation vary in their complexity, reliability and formality.
Communication between and within groups is important. It can be:
• Horizontal or vertical.
• Inward and outward.
In many major disasters, such as the Herald of Free Enterprise, human error has been shown as a major contributory
factor.
The way in which work is organised for individuals with respect to shift patterns, means of payment and patterns
of employment can have an important effect on the way they carry out their job.


Learning Outcome 3
Once you’ve read this learning outcome, you will be able to:
• Assess, develop and maintain individual and organisational health and safety
competence.


Contents
Competence, Training, Information and Supervision 3-3

The Meaning of Competence 3-3
The Difference Between Training and Competence 3-3
The Circumstances when Training is Likely to be Required 3-3
The Groups of People Having Specific Training Needs 3-4
The Relationship Between Competence and Supervision 3-5
Circumstances Where There are Specific Training Needs for Certain Hazardous Types of Work Equipment 3-6
The Scope of Information Required for the Safe Use and Operation of Work Equipment 3-9
The Methods by Which Information and Instructions Regarding the Operation and Use of Work
Equipment can be Easily Understood by Those Concerned 3-9
The Requirements for Training Lift Truck Operators 3-11
High Reliability Organisations (HRO) 3-13

What is a HRO? 3-13
Characteristics of a HRO 3-14
Lessons That Other Organisations Can Learn From HROs 3-15
Summary 3-16

Competence, Training, Information and Supervision 3.1
Competence, Training, Information and Supervision

IN THIS SECTION...
• Understand how providing information, instruction, training and supervision helps to develop and maintain a
competent workforce.

The Meaning of Competence
Competence can be defined as the ability to undertake responsibilities and perform activities to a recognised
standard on a regular basis. It is a combination of skills, experience and knowledge.
The Difference Between Training and Competence

Training is an important component of establishing competency but is not sufficient on its own. For example,
consolidation of knowledge and skills through training is a key part of developing competency.
MORE...
Information on human factors, including training and competence, is available at:
www.hse.gov.uk/humanfactors/topics/competence.htm
You will also find various links there to further sources of useful information on this topic.
The Circumstances when Training is Likely to be Required

It is an important requirement of some national legislation to ensure that
all persons who use work equipment receive adequate health and safety
training in how to use work equipment, the risks associated with such
use, and the precautions that need to be taken.
The requirements for adequate training will vary according to the job or
activity and the work equipment, but in general it will be necessary to:
• Evaluate the existing competence of employees to operate the work

equipment in use. Workers who use machinery and
• Evaluate the competence employees will need to manage or equipment must be adequately trained
supervise the use of work equipment.
• Train the employee to make up any shortfall between their existing competence and that required.
Circumstances when training is likely to be required include at induction, where there are changes in work activities,
where new equipment or technology is introduced, where the system of work changes, and when refresher training is
necessary.

3.1 Competence, Training, Information and Supervision
Induction
Training needs are likely to be greatest on recruitment. Recruitment and placement procedures should ensure that
employees have the necessary abilities to do their jobs safely or can acquire them through training. New recruits need
basic induction training on how to work safely, as well as arrangements for first-aid, fire, and evacuation.
Changes in Work Activities

Additional training is required if the risks to which people are exposed change due to a change in their work activities.
Consequently, people changing jobs or taking on extra responsibilities need to know about any new health and safety
implications.
Introduction of New Technology or New Equipment

The risks to which people are exposed may change due to the introduction of new technology or new equipment.
Again, persons employing new processes or new work equipment also need to know about the health and safety
implications of such changes.
Changes in Systems of Work

Even if work activities and work equipment remain unchanged, it is likely that the monitoring of health and safety
standards and revision of risk assessments will result in improvements to systems of work which will need to be
implemented through revised training of the relevant workforce.
Refresher Training
Refresher training should be provided, if necessary, because skills decline if they are not used regularly. A key example
of this is people who deputise for others on occasions, who will probably need more frequent refresher training than
those who do the work regularly.
The Groups of People Having Specific Training Needs

• Supervisors
In addition to the requirement to train users of work equipment, the employer also has a responsibility to ensure
that any employees who supervise or manage the use of work equipment receive adequate health and safety
training in how to use the work equipment, the risks associated with such use, and the precautions that need to
be taken.
• Young and Vulnerable Persons

Training and proper supervision of young people is particularly
important because of their relative immaturity and unfamiliarity
with the working environment. Induction training is of particular
importance since all employees should be competent to use work
equipment safely regardless of their age.
There may be national legislation relating to young people which sets

out specific requirements for their training. For example, in the UK,
the Management of Health and Safety at Work Regulations 1999
(MHSWR) contain specific requirements relating to the employment
of young people (under the age of 18), requiring employers to assess risks to young people before they start
work, taking into account their inexperience, lack of awareness of potential risks and their immaturity.

The Need for Training to be Carried Out Upwards in the Organisation

Much emphasis is placed upon the training of workers, however there also needs to be training for managers
and directors to ensure that they are competent in fulfilling their health and safety roles and are aware of their
responsibilities. Courses such as IOSH Managing Safely provide a good grounding in health and safety for managers
and supervisors, whilst the NEBOSH Certificate in Health and Safety Leadership Excellence can provide a more
strategic overview for senior managers and directors. Continuing professional development is also required for health
and safety professionals seeking chartered membership of organisations, such as IOSH, so it is clear that development
shouldn’t be limited to the workforce.
The Relationship Between Competence and Supervision

The relationship between competence, external (imposed) supervision, and self-supervision is illustrated in the
following diagram taken from the previous version of HSG65 (Successful Health and Safety Management):
Levels of supervision
Source: HSG65 Successful health and safety management (2nd ed.), HSE, 1997 (now superseded)

MORE...
The current version of HSG65 (third edition, 2013) adopts a Plan, Do, Check, Act approach and makes reference
to extensive HSE guidance on competence, which is available to read at:
www.hse.gov.uk/managing/competence.htm
Further information can be found in HSG65 Managing for Health and Safety; you can download this from:
www.hse.gov.uk/pubns/priced/hsg65.pdf
In deciding on the appropriate level of supervision for particular tasks, the level will depend on the risks involved, as
well as the competence of employees to identify and handle those risks. Consequently, external supervision will be
needed if employees are new to a job, undergoing training or doing jobs which present special risks. Some supervision
of fully competent individuals will always be needed to ensure that standards are being met consistently.
Circumstances Where There are Specific Training Needs for

Certain Hazardous Types of Work Equipment
We have already noted how important it is that all persons who use work equipment receive adequate health and
safety training in how to use that work equipment, the risks associated with such use, and the precautions that need
to be taken. For certain hazardous types of work equipment there are specific training needs outlined below.
Self-Propelled Work Equipment

As with the training required for all work equipment, the training
standard required for operators of self-propelled work equipment should
be adequate in ensuring the health and safety of other workers and
anyone else who may be affected by the work.
The Approved Code of Practice (ACoP) and guidance to the UK

Provision and Use of Work Equipment Regulations (PUWER), (L22),
specifically imposes minimum training obligations in relation to driver
training and states:
“You should ensure that self-propelled work equipment, including any attachments or towed equipment, is only driven by
workers who have received appropriate training in the safe driving of such work equipment.”
There is a further ACoP and guidance for those using lift trucks: (L117). This supports the PUWER ACoP in dealing
specifically with the training for rider-operated lift trucks and states that:
“Employers should not allow anyone to operate, even on a very occasional basis, lift trucks… who has not satisfactorily
completed basic training and testing as described in this ACoP, except for those undergoing such training under adequate
supervision.”
L117 also requires those providing the training to have undergone appropriate training in instructional techniques and
skills assessment, and to have sufficient industrial experience and knowledge of working environments to put their
instruction in context.

Those providing the training are also required:
• to have undergone appropriate training in instructional techniques and skills assessment; and,
• to have sufficient industrial experience and knowledge of working environments to put their instruction in
context.
Chainsaws
Chainsaws are potentially dangerous machines which can cause major
injury if used by untrained people. Anyone who uses a chainsaw at work
should have received adequate training and be competent in using a
chainsaw for that type of work. The training should include:
• Dangers arising from the chainsaw itself.

• Dangers arising from the task for which the chainsaw is to be used.
• The precautions to control these dangers, including relevant legal
requirements. Chainsaw
Woodworking Machines
The risks associated with the use of woodworking machinery are high since it relies on high-speed sharp cutters to do
the job which, in many cases, are exposed to enable the machining process to take place. Additionally, many machines
are still hand-fed.
Machine operators, those who assist in the machining process, and those who set, clean, or maintain woodworking
machinery should be provided with training.
All training schemes should include the following elements:
• General: instruction in the safety skills and knowledge common to woodworking processes.
• Machine specific: practical instruction in the safe operation of the machine, including in particular:
–– The dangers arising from the machine and any limitations as to its use.
–– The main causes of accidents and relevant safe working practices, including the correct use of guards,
protection devices, appliances and the use of the manual brake where fitted.
• Familiarisation: on-the-job training under close supervision.
Power Presses
Power press
Power presses are among the most dangerous machines used in industry. Amputation or serious injury can result
from accidents caused by trapping between the tools of a power press and the guarding mechanisms are subject to
continuous wear.

Persons appointed to inspect power presses require training which includes suitable and sufficient practical instruction
in relation to each type of power press and guard and/or protection device used.
Press operators are most likely to need training when they are recruited. However, training is also required:
• If the risks to which people are exposed change.

• If new equipment or technology is introduced.
• If the system of work changes.
Training is also required for people who supervise or manage the use of power presses. Such training should include
the safe operation of the press and the risks posed to the person carrying out the work (e.g. the press operator, setter
or appointed person), as well as the quality of the inspection and test carried out by the appointed person.
Abrasive Wheels
Abrasive wheel
One of the main risks associated with the use of abrasive wheels is injury resulting from breakage. Accident statistics
indicate that nearly half of all accidents involving abrasive wheels are due to an unsafe system of work or operator
error. Consequently, training is required both in the use and in the mounting of abrasive wheels.
Any training programme should cover at least the following:
• Hazards and risks arising from the use of abrasive wheels and the precautions to be observed.
• Methods of marking abrasive wheels with their type, size and maximum operating speed.
• How to store, handle and transport abrasive wheels.
• How to inspect and test abrasive wheels for damage.
• The functions of all the components used with abrasive wheels such as flanges, blotters, bushes, nuts.
• How to assemble abrasive wheels correctly to make sure they are properly balanced and fit to use.
• The proper method of dressing an abrasive wheel.
• The correct adjustment of the work rests on pedestal or bench grinding machines.
• The use of suitable personal protective equipment, e.g. eye protection.

The Scope of Information Required for the Safe Use and

Operation of Work Equipment
The employer has to ensure that all persons who use work equipment,
and also those who supervise or manage it, have adequate health and
safety information, or if necessary, written instructions on the use of the
work equipment.
This information should cover:
• All health and safety aspects arising from the use of the work
equipment, including conditions under which the work equipment
may be used. For example, some work equipment is designed for use Providing information for the safe use
in harsh or wet conditions, the majority is not and this information and operation of machinery
should be provided to workers tasked with using it.
• Any foreseeable abnormal situations that could arise, such as blockages in feed hoppers or leaks from hydraulic
systems, and the action that should be taken in response. This would include provision for breakdown, and
maintenance issues should be considered.
• The methods to deal with them.
• Any additional information obtained from experience of using the work equipment.
Consequently, the employer has to make available all relevant health and safety information and, where appropriate,
written instructions on the safe use and operation of machinery to their workforce. Workers should have easy access
to such information and instructions and be able to understand them.
Such written instructions can include:
• Information provided by manufacturers or suppliers of work equipment, such as instruction sheets or manuals,
instruction placards, warning labels and training manuals.
• In-house instructions.
• Instructions from training courses.
The Methods by Which Information and Instructions

Regarding the Operation and Use of Work Equipment can be
Easily Understood by Those Concerned
Information and instructions should be easily understood by those
concerned. Written instructions should be available to the people directly
using the work equipment and also other appropriate people such as
maintenance staff.
Supervisors and managers also need access to the information

and written instructions. The amount of detailed health and safety
information they will need to have immediately available for day-to-day
running of production lines will vary, but it is important that they know
what information is available and where it can be found.

Information can be verbal where this is considered sufficient, but where there are complicated or unusual
circumstances, the information should be in writing. Other factors that need to be taken into consideration include:
• the degree of skill of the workers involved;

• their experience and training;
• the degree of supervision; and
• the complexity and length of the particular job.
The information and written instructions should:
• Be easy to understand.
• Be in clear English and/or other languages if appropriate for the people using them.
• Be set out in logical order with illustrations where appropriate.
• Use standard symbols where appropriate.
Special arrangements may be needed for employees with language difficulties or with disabilities which could make it
difficult for them to receive or understand the information or instructions.
TOPIC FOCUS
Warnings
It may be necessary for work equipment to incorporate warnings or warning devices for reasons of health and
safety. If so, these warnings should be unambiguous, easily perceived and easily understood.
Examples include:
• Notices such as:

–– Positive instructions (e.g. ‘hard hats must be worn’).
–– Prohibitions (e.g. ‘not to be operated by people under 18 years’).
–– Restrictions (e.g. ‘do not heat above 60ºC’).
• Warning devices which are:
–– Audible (e.g. reversing alarms on construction vehicles).
–– Visible (e.g. a light on a control panel indicating that a fan on a microbiological cabinet has broken down
or a blockage has occurred on a particular machine).
–– An indication of imminent danger (e.g. a machine about to start) or development of a fault condition
(e.g. pump failure or conveyor blockage indicator on a control panel).
–– The continued presence of a potential hazard (e.g. hotplate or laser on).

The Requirements for Training Lift Truck Operators

Operator training should include three stages:
1. Basic Training
This includes the basic skills and knowledge required for safe operation
of the type of lift truck and attachments which the driver will use. This
should be training off-the-job.
2. Specific Job Training

This should cover knowledge of the workplace, any special
requirements of the work to be undertaken and the use of specific
attachments. Again it should be training off-the-job and is often
combined or integrated with basic training. The training should include controls of the lift truck to be used;
routine inspections of the truck, which should be carried out by the operator; use of the truck in various locations
such as gangways, loading bays, slopes and rough terrain; problems of working in poor weather; site rules such
as one-way systems, speed limits, work near overhead lines and excavations; and work to be undertaken, such as
loading particular vehicles and using working platforms on forks.
3. Familiarisation Training
This is training on-the-job where the driver operates the truck using the skills learnt, under close supervision and
under normal working conditions.
MORE...
Further information and guidance on lift trucks can be obtained from the following HSE publications:
INDG457 Use lift trucks safely: Advice for operators, which covers operating, people, loads and slopes, and is
available at:
www.hse.gov.uk/pubns/indg457.pdf
L117 Rider-operated lift trucks: Operator training and safe use: Approved Code of Practice and guidance, which includes
information on legal requirements, operator training, lift-truck features, safe use, how to protect pedestrians
and guidance on maintenance and thorough examination, and is available at:
www.hse.gov.uk/pubns/priced/l117.pdf
INDG462 Lift-truck training: Advice for employers, which explains who should be trained, who to consult, training
content, authorisation and assessment, refresher and conversion training, record keeping and how to choose an
instructor, and is available at:

STUDY QUESTIONS
1. Explain the difference between competency and training.
2. Outline the main circumstances when training is likely to be required.
3. Explain the relationship between competence, external (imposed) and self-supervision.
4. Explain why woodworking machine operators require specific training and what such training should
include.
5. The employer has to ensure that all persons who use machinery, and also those who supervise or manage
it, have adequate health and safety information, or if necessary, written instructions on the use of the work
equipment. What should this information cover?
6. Outline, with examples, the types of warnings or warning devices that might be needed for health and
safety purposes in relation to work equipment.

High Reliability Organisations (HRO) 3.2
High Reliability Organisations (HRO)

IN THIS SECTION...
• Recognise the characteristics of and what can be learnt from the High Reliability Organisations (HROs).

What is a HRO?
The concept of high reliability organisations (HRO) has been around for some time. The HSE report High Reliability
Organisations: A Review of the Literature (RR899) sought to evaluate the existing literature around HROs, and defined
HROs in many ways, such as:
• They are hyper complex systems, comprising a number of interdependent processes and systems which are tightly
coupled together.
• HROs have a potential for catastrophic consequences in the event that there is a failure with far reaching
consequences.
• Whilst the system components are interdependent, the interaction between the system components is
unpredictable and/or invisible.
Containment of unexpected events: Just culture:
• Deference to expertise • Encouragement to report without fear of blame
• Redundancy • Individual accountability
• Oscillation between hierarchical and flat/decentralised • Ability to abandon work on safety grounds
structures • Open discussion of errors
• Training and competence
• Procedures for ‘unexpected’ events
Definition:
• Tight coupling
Problem anticipation:
High Reliability • Catastrophic
• Preoccupation with failure consequences
Organisations
• Reluctance to simplify • Interactive complexity
• Sensitivity to operations
Learning Orientation:
Mindful Leadership:
• Continuous technical training
• Bottom-up communication of bad news
• Open communication
• Proactive audits
• Root Cause Analysis of accidents/incidents
• Management by exception
• Procedures reviewed in line with knowledge
base • Safety-production balance
• Engagement with front-line staff
• Investment of resources
MORE...
The HSE’s High Reliability Organisations: A Review of the Literature report can be obtained in full from:
www.hse.gov.uk/research/rrpdf/rr899.pdf

3.2 High Reliability Organisations (HRO)
Characteristics of a HRO
RR899 identifies the following characteristics of an HRO:
Containment of Unexpected Events

HROs are able to contain unexpected events through:
• Using people with expertise and skill to make safety critical decisions regardless of rank in emergency situations.
This may require the movement between traditional, hierarchical structures and a flatter structure in emergencies.
• Having back-up systems (redundancy) which can take over in the event of a failure and the ability to cross check
critical decisions.
• Investing in the training and competence of staff who could be involved in the decision making.
• Developing well-defined procedures for unexpected events.
Effective Problem Anticipation

• HROs are seen as being preoccupied with failure, in that they take even minor (or seemingly trivial) warnings as
an indication that a problem could be occurring.
• When problems arise, the organisation refuses to simplify and rely upon “operator error” as the cause, but seeks
to find the true nature of the failure.
• Being sensitive to the organisation’s operations by engaging effectively with front-line staff.
Just Culture
We have already explored the concept of “just culture” in Learning
Outcome 2, but RR899 identifies:
• In a just culture organisation, people can report incidents without

fear of blame.
• People feel personally accountable for their safety and the safety
performance of the organisation.
• Staff are empowered to stop work on safety grounds if they feel it is
appropriate.
• Errors are discussed openly and there is an effective follow up of corrective actions as a result of safety incidents.
Learning Orientation Through Continuous Technical Training

• There is a continual drive to carry out technical training.
• There is open and effective communication of the findings of safety investigations, e.g. following on from
incidents.
• The organisation carries out rigorous root cause analysis after any accidents or incidents.
• Updating procedures to reflect the knowledge of the organisation.

High Reliability Organisations (HRO) 3.2
Mindful Leadership
• Ensuring that any messages which could be perceived as “bad news” are communicated to the workforce in a
“bottom up” manner.
• Proactively engaging in audits to test the system, especially after incidents.
• Managing by exception – allowing teams to manage situations themselves, and only stepping in if action is
needed. In this approach, managers make strategic decisions but leave the operational management to their
teams.
• Engaging with the workforce and front-line staff through site visits.
• Investing in safety resources and managing the balance between productivity and safety.
Lessons That Other Organisations Can Learn From HROs

There are some elements of the HRO philosophy which can be utilised in other organisations, however the practices
can’t be considered appropriate in all situations. Some studies have suggested that principles such as redundancy
can result in complacency in mainstream organisations, which could in fact be detrimental. There are fundamental
questions over the transferability of some processes to mainstream organisations. More significantly however, there
may be questions as to the financial benefit (cost vs. reward) of adopting such philosophies, especially for smaller,
lower risk organisations. Whilst perhaps seen as desirable, it may unfortunately not make “sense” in all circumstances
to adopt the HRO principles wholeheartedly, though elements, of course, could be highly beneficial.
STUDY QUESTIONS
7. What are the five characteristics of HROs?
8. What do we mean by ‘effective problem anticipation’?

Summary
Summary

3.1: Competence, Training, Information and Supervision
In this section, we have:
• Defined training and competence and considered the circumstances where training will be required:
–– Induction.
–– Changes in work activities.
–– Introduction of new technology or equipment.
–– Changes in systems of work.
–– Refresher training.
• Considered the groups of people in a workplace who have specific training needs, in particular supervisors and
young and vulnerable people.
• Identified the relationship between competence and supervision (external and self-supervision).
• Outlined the circumstances where specific training needs are required for hazardous work equipment.
• Examined the information required for the safe use and operation of work equipment, which should cover health
and safety aspects arising from the use of the work equipment, any limitations on its uses, difficulties that could
arise and the methods to deal with them.
• Noted that information and instructions regarding the operation and use of work equipment must be readily
comprehensible to those concerned.
• Outlined the requirements for lifting truck operators.
3.2: High Reliability Organisations

The HSE defined HROs in many ways, such as:
• They are hyper complex systems, comprising a number of interdependent processes and systems which are tightly
coupled together.
• HROs have a potential for catastrophic consequences in the event that there is a failure with far reaching
consequences.
• Whilst the system components are interdependent, the interaction between the system components is
unpredictable and/or invisible.
• The main characteristics of HROs are:
–– Containment of unexpected events.
–– Effective problem anticipations.
–– Just Culture.
–– Learning through continuous technical training.
–– Mindful leadership.
• The lessons that other organisations can learn from HROs.

Unit ID1
Suggested Answers - Part 1
No Peeking!
Once you have worked your way through the study questions in this book, use the suggested
answers on the following pages to find out where you went wrong (and what you got right),
and as a resource to improve your knowledge and question-answering technique.
© RRC International Unit ID1: Suggested Answers - Part 1 1

1 Suggested Answers to Study Questions
Learning Outcome 1

Question 1
The main limitation of using legislation as a means of ensuring acceptable standards is that there is little incentive
to go beyond minimum legal requirements. The government has to employ enforcement officers and introduce
sanctions which may be imposed by the courts.
Question 2
Prescriptive legislation has clearly defined requirements which are more easily understood by the dutyholder and
enforced by the regulator. It does not need a higher level of expertise to understand what action is required, and
provides a uniform standard to be met by all dutyholders.
However, it is inflexible and so, depending on the circumstances, may lead to an excessively high or low standard. In
addition, it does not take account of the circumstances of the dutyholder and may require frequent revision to allow
for advances in knowledge and technology.
Goal-setting legislation allows more flexibility in compliance because it is related to the actual risk present in the
individual workplace. It is less likely to need frequent revision and can apply to a much wider range of workplaces.
It is, however, much more difficult to enforce because what is ‘adequate’ or ‘reasonably practicable’ are much more
subjective and so open to argument, possibly requiring the intervention of a court to provide a judicial interpretation.
Dutyholders will also need a higher level of competence in order to interpret such requirements.
Question 3
The two main no-fault compensation schemes are employers and government schemes. In employer schemes,
employers pay premiums to insurance companies who pay compensation to the injured worker. In government
schemes, the government or a government agency provides the benefits.
Question 4
The two categories of compensatory damages are special and general damages.
Special damages can be relatively easily quantified because they 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.
• Building costs, if property has had to be adapted to meet the needs of the injured person.
• Necessary travel costs associated with the case.
General damages include future expenditure and issues which cannot be precisely quantified. They include:
• Loss of future earnings as a result of the incapacity.

• Future medical costs.
• Pain and suffering before and after the trial.
• Loss of quality of life (e.g. loss of mobility, inability to engage in sports which had been pursued before the loss).
• Loss of future opportunity (e.g. reduced likelihood of being able to secure suitable employment).
2 Unit ID1: Suggested Answers - Part 1 © RRC International

Suggested Answers to Study Questions 1
Question 5
Punitive damages are awarded to punish and deter the defendant and other similar persons from such conduct that
harmed the claimant. They are awarded by reference to the defendant’s behaviour and aim to deter similar conduct
in the future and to signify disapproval.
Question 6
Enforcement ensures that dutyholders:
• Deal immediately with serious risks.

• Comply with the law.
• Are held to account if they fail in their responsibilities.
Question 7
Consistency is not a simple matter due to factors including:
• The degree of risk.

• The attitude and competence of management.
• History of incidents.
• Previous enforcement action.
Question 8
The main role of the ILO is to promote rights at work, encourage decent employment opportunities including good
health and safety standards, enhance social protection and strengthen dialogue in handling work-related issues.
Question 9
A convention is an agreement in international law which has to be ratified by member states. A recommendation, as
the name suggests, does not require ratification by member states.
Question 10
An ILO code of practice contains practical recommendations intended for all those with a responsibility for
occupational safety and health in both the public and private sectors. A code of practice is not a legally binding
instrument and is not intended to replace the provisions of national laws or regulations, or accepted standards.

Question 11
Roles and responsibilities of national governments imposed by Occupational Safety and Health
Recommendation (R164) 1984 are:
“(a) issue or approve regulations, codes of practice..... on occupational safety and health and the working environment,
account being taken of the links … between safety and health, … and hours of work and rest breaks ...;
(b) review legislative enactments concerning occupational safety and health and the working environment,... in the light of
experience and advances in science and technology;
(c) undertake or promote studies and research to identify hazards and find means of overcoming them;
(d) provide information and advice, in an appropriate manner, to employers and workers and promote or facilitate
co-operation between them and their organisations, with a view to eliminating hazards or reducing them as far as
practicable; where appropriate, a special training programme for migrant workers in their mother tongue should be
provided;
(e) provide specific measures to prevent catastrophes, and to co-ordinate and make coherent the actions to be taken
at different levels, particularly in industrial zones where undertakings with high potential risks for workers and the
surrounding population are situated;
(f) secure good liaison with the International Labour Occupational Safety and Health Hazard Alert System set up within the
framework of the International Labour Organisation;
(g) provide appropriate measures for handicapped workers.”
Copyright © International Labour Organisation 1981
Question 12
Roles and responsibilities of enterprises imposed by Occupational Safety and Health Recommendation (R164)
1981 are:
“(a) 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;
(b) to give necessary instructions and training, taking account of the functions and capacities of different categories of
workers;
(c) to provide adequate supervision of work, of work practices and of application and use of occupational safety and health
measures;
(d) to institute organisational arrangements regarding occupational safety and health and the working environment adapted
to the size of the undertaking and the nature of its activities;
(e) to provide, without any cost to the worker, adequate personal protective clothing and equipment which are reasonably
necessary when hazards cannot be otherwise prevented or controlled;
(f) to ensure that work organisation, particularly with respect to hours of work and rest breaks, does not adversely affect
occupational safety and health;
(g) to take all reasonably practicable measures with a view to eliminating excessive physical and mental fatigue;
(h) to undertake studies and research or otherwise keep abreast of the scientific and technical knowledge necessary to comply
with the foregoing clauses.”

Question 13
Roles and responsibilities of workers imposed by Occupational Safety and Health Recommendation (R164) 1981
are:
“(a) take reasonable care for their own safety and that of other persons who may be affected by their acts or omissions at
work;
(b) comply with instructions given for their own safety and health and those of others and with safety and health procedures;
(c) use safety devices and protective equipment correctly and do not render them inoperative;
(d) report forthwith to their immediate supervisor any situation which they have reason to believe could present a hazard and
which they cannot themselves correct;
(e) report any accident or injury to health which arises in the course of or in connection with work.”
Question 14
Employers’ bodies represent the interests of employers. In the UK the main body is the Confederation of British
Industry (CBI). The CBI helps create and sustain the conditions in which businesses in the UK can compete and
prosper for the benefit of all. The CBI is the main lobbying organisation for UK business on national and international
issues, including health and safety practices and standards.
Question 15
A trade union is an organisation of workers who have formed together to achieve common goals in key areas such
as wages, hours and working conditions. The trade union negotiates with the employer on behalf of its members.
This may include the negotiation of workplace safety and health issues and policies. In the UK, unions may appoint
safety representatives from among the workers who may investigate accidents, conduct inspections and sit on a safety
committee.
Question 16
The media can influence health and safety by:
• 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 duty holders 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. Incidents with lesser consequences may be publicised within the area in which
they occurred. Such publicity increases the awareness of occupational health and safety issues and reminds duty
holders 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.

Question 17
In the UK a number of good neighbour 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.
Question 18
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. If problems arise, it
can more easily keep its own internal affairs private. It also avoids the significant national expense of establishing an
enforcement agency.
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...”.
Question 19
The functions of the board of an organisation which ensure the effective governance of health and safety include:
• A demonstration of commitment to occupational health and safety and an appreciation that it is as important as
other business objectives.
• Health and safety is reviewed at board level.
• Those in the organisation at all levels have access to and receive competent advice.
• All staff including board members are trained and competent in their health and safety responsibilities.
• The workforce, in particular health and safety representatives, are adequately consulted and that their concerns
reach the right level within the organisation including, where necessary, the board.
• Systems are in place to make sure that health and safety risks are assessed and suitable control measures
introduced and maintained.
• There is an awareness of what activities take place in the organisation, including those of contractors.
• Regular information is received regarding matters such as accident reports and cases of work-related ill health.
• Targets are set which allow the organisation to improve standards and to benchmark its performance against
others within the same business sector.
• Changes in working arrangements that have significant implications are brought to the attention of the board.

Question 20
The legal reasons for ensuring that third parties are covered by health and safety management systems are that C155
(Article 17) and accompanying R164 (Article 11) state:
“Whenever two or more undertakings engage in activities simultaneously at one workplace, they should collaborate in applying
the provisions regarding occupational safety and health and the working environment, without prejudice to the responsibility of
each undertaking for the health and safety of its employees. In appropriate cases, the competent authority or authorities should
prescribe general procedures for this collaboration.”
The implication is that account is taken of third parties who happen to be working on the same premises. This
invariably will involve the exchange of information (on hazards, etc.) as well as the co-ordination of emergency
arrangements and sharing of procedures.
Question 21
There are two main economic implications of neglect of OHS in the workplace, which are:
• 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 a lack of economic resources available for
health and safety purposes both at national and workplace levels.
• It is not difficult to compare the costs of preventing accidents with the costs arising from them (compensation,
lost production, increased insurance premiums, overtime, legal fees, fines, etc.). Prevention of accidents and ill
health is an investment which attracts enormous dividends both for the individual employer and the national
economy as a whole.
Question 22
The role of the loss adjuster is to assess the claim initially and confirm that the claim is, in fact, covered by the policy.
Their role throughout the process is to confirm the amount that should be paid in settlement.

Learning Outcome 2

Question 1
The formal structure is represented by the company organisation chart, the distribution of legitimate authority,
written management rules and procedures, job descriptions, etc. The informal structure is represented by individual
and group behaviour.
Question 2
Internal influences include financial status, production targets, trades unions, and organisational goals and safety
culture.
Question 3
External influences include the bodies that are involved in framing legislation and those agencies responsible for
its enforcement. Other organisations that may exert an influence on health and safety in the workplace include
the courts through their decisions, trade unions by promoting the health and safety of their members, insurance
companies by influencing company control measures, professional organisations and various pressure and campaign
groups. Public opinion also has a significant influence.
Question 4
(a) Transformational:
• People will follow a person who inspires them.
• A person with vision and passion can achieve great things.
• The way to get things done is by injecting enthusiasm and energy.
(b) Transactional:
• People are motivated by reward and punishment.
• Social systems work best with a clear chain of command.
• When people have agreed to do a job, a part of the deal is that they pass all authority to their manager.
• The prime purpose of a subordinate is to do what their manager tells them to do.
(c) Resonant:
• Leading with the understanding of the emotional state of the organisation.
• If the leaders are positive and enthusiastic this will be amplified through the business.
• There are four types of resonant leadership: visionary, coaching, affiliative, and democratic.
Question 5
Article 20 of Convention C155 states that co-operation between management and workers and/or their
representatives within the undertaking shall be an essential element of organisational and other measures taken in
pursuance of Articles 16 to 19 of this Convention.

Question 6
The four stages of consultation as outlined by the HSE publication HSG263 are:
1. Get started: Prepare

2. Get organised: Plan
3. Get it done: consult and involve
4. Get it right: keep improving
Question 7
The external bodies that health and safety professionals may need to liaise with are (any four of the following):
• Local government enforcement agencies.

• Architects and consultants.
• The fire department.
• Contractors.
• Insurance companies.
• Clients and customers.
• The public.
• Equipment suppliers.
• The media.
• The police.
• Medical professionals.
• Hospital staff.
Question 8
A definition of ‘safety culture’ should centre on a description of the attitudes, values and beliefs which members of an
organisation hold in relation to health and safety, and which, when taken together, produce an organisational culture
that can be positive or negative.
Question 9
The most common way to assess safety climate is by using a tool which includes a questionnaire survey asking workers
the extent to which they agree or disagree with a number of statements which reflect the management of health and
safety.
Question 10
Management commitment can be demonstrated by (any three from):
• Managers being seen and involved with the work and correcting health and safety deficiencies.
• Providing resources to carry out jobs safely.
• Ensuring that all personnel are competent.
• Enforcing the company safety rules, and complying with them personally.
• Managers matching their actions to their words.

Question 11
A positive health and safety culture is characterised by:
• Management commitment and leadership.

• High business profile to health and safety.
• Provision of information.
• Involvement and consultation.
• Training.
• Promotion of ownership.
• Setting and meeting targets.
Question 12
The following are needed to effect cultural change:
• Good planning and communication.

• Strong leadership.
• A step-by-step approach.
• Action to promote change.
• Strong worker engagement.
• Ownership at all levels.
• Training and performance measurements.
• Feedback.
• Changes to the working environment.
• Building trust in the workforce.
Question 13
The steps of a behavioural change programme relating to safety are:
Step 1: Identify the specific observable behaviour that needs changing, e.g. to increase the wearing of hearing
protectors in a high-noise environment.
Step 2: Measure the level of the desired behaviour by observation.
Step 3: Identify the cues (or triggers) that cause the behaviour and the consequences (or pay offs) (good and bad)
that may result from the behaviour.
Step 4: Train workers to observe and record the safety critical behaviour.
Step 5: Praise/reward safe behaviour and challenge unsafe behaviour.
Step 6: Feedback safe/unsafe behaviour levels regularly to the workforce.

Question 14
Rather than centralised control, ‘Safety II’ looks to devolve responsibility for safety to the teams, by decentralising
control and giving them some autonomy over how the safety performance is improved. In ‘Safety II’, people are the
solution not the problem.
Question 15
The four varieties of work are:
1. Work as imagined.
2. Work as described.
3. Work as disclosed.
4. Work as done.
Question 16
Human sensory receptors react to danger in the following ways:
• Sight – observation of a warning sign.

• Hearing – sound of an audible alarm.
• Taste – recognition of a toxic substance in food.
• Smell – identification of a hazardous gas release.
• Touch – identification of a hot surface.
Question 17
Perceptual set: sometimes called a ‘mindset’. A person has a problem and immediately perceives not only the
problem, but the answer. They then set about solving the problem as they have perceived it. Further evidence may
become available, which shows that their original perception was faulty, but they fail to see alternative causes and
solutions. This is a basic cause or factor in many accidents and disasters.
Perceptual distortion: the perception of a hazard may be faulty because it gets distorted. Things that are to
someone’s advantage always tend to seem more right than those that are to their disadvantage. Management
generally tend to have a different perception of hazard from that of workers, and when it affects work rates, physical
effort or bonus payments, the worker also suffers from perceptual distortion.
Question 18
The three levels of behaviour in Rasmussen’s model are:
• Skill-based - the person carries out the operation in automatic mode. Errors occur if there are problems such as
machine variation or environmental changes.
• Rule-based - the operator is multi-skilled and has a wide selection of well-tried routines which can be used. Errors
occur if the wrong alternative is selected or if there is some error in remembering or performing a routine.
• Knowledge-based - a person copes with an unknown situation where there are no tried rules or routines. Trial
and error is the only method.

Question 19
Ergonomics is the study of the relationship between workers and their environment, ensuring a good ‘fit’ between
people and the things they use. Essentially, it involves ‘fitting the task to the worker’ rather than ‘fitting the worker to
the task’. The order of operations and work practices can be modified so that each person is working to full efficiency.
Poorly designed work equipment and unsafe practices may result in injury and occupational ill health. These may
include:
• Equipment not suited to body size.

• Operator not able to readily see and hear all that they need to.
• Lack of understanding of the information that is presented to the employee.
• Equipment or system causing discomfort if used for any length of time.
Question 20
The following features are present in an ergonomically designed crane cab control system:
• The controls are within easy reach of the driver and are moved in a straight line to allow ease and delicacy of
control.
• The seat is adjustable so that the driver has a good view of the operations.
• The environment of the cab protects the driver from dust and fumes, etc.
Question 21
Shift-work can be very demanding on an individual and can affect their performance in the following ways:
• Fatigue and stress: poorer performance on tasks requiring attention, decision-making or high levels of skill.
• Sleep loss and sleep debt: lower levels of alertness, and reduced levels of productivity and attention.
• Health problems: asthma, allergic reactions and respiratory problems tend to be worse at night, and so it is likely
that performance will be affected where an individual’s health is affected.
• Social life/family life: work performance may be affected if the individual is unhappy at home due to the
constraints of shift work.
• Natural circadian rhythm: when working nights, the body still reduces body temperature in the early hours of
the morning, reduces blood pressure and stops digestion which can lead to an individual feeling sleepy and less
alert.
Question 22
Formal groups are established to achieve set goals, aims and objectives. They have clearly defined rules, structures
and channels of communication.
Informal groups superimpose on the organisation 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.
Question 23
There were many human errors that contributed to the severity of the Piper Alpha incident, including poor hazard
analysis, deficiencies in the permit-to-work system, inadequate training in the use of permits and emergency response
procedures, and a perceived lack of command by the offshore installation manager on the Tartan rig.

Question 24
Ways that employees could be motivated include:
• Workplace incentive schemes: encourage employees to work harder in order to receive a payment or benefit.
• Reward schemes: offer a reward for improvement or reaching a target in a particular area.
• Job satisfaction: some people only require job satisfaction to be motivated. Job satisfaction is very individual to
each person.
• Appraisal schemes: a formal means of placing value on achievement or effort. It is generally carried out on an
annual basis and the results may be used to determine the level of a pay rise or a promotion.

Learning Outcome 3

Question 1
Competence can be defined as the ability to undertake responsibilities and perform activities to a recognised
standard on a regular basis. It is a combination of skills, experience and knowledge.
Training is an important component of establishing competence but is not sufficient on its own. For example,
consolidation of knowledge and skills through training is a key part of developing competence.
Question 2
Circumstances when training is likely to be required include:
• On joining an organisation (induction).

• On promotion (particularly into a managerial or supervisory role).
• Changes in or taking on new work activities.
• If the risks to which people are exposed change due to a change in their working tasks.
• Introduction of new technology or new equipment into the workplace.
• Changes in systems of work.
• Refresher training for routine or specialist roles.
Question 3
Where an activity is carried out by highly competent staff and the degree of risk is low, then self-supervision will be
adequate. However, where competence levels are low and the work activity involves a significant level of risk, then
close supervision will be required to ensure that the work is carried out safely. Some supervision of fully competent
individuals will always be needed to ensure that standards are being met consistently.
Question 4
Woodworking machine operators require specific training because the risks associated with the use of woodworking
machinery are high. The machines rely on high-speed sharp cutters to do the job and in many cases those cutters are
exposed to enable the machining process to take place. Additionally, many machines are still hand-fed.
All training schemes should include the following elements:
• General - instruction in the safety skills and knowledge common to woodworking processes.
• Machine-specific - practical instruction in the safe operation of the machine, including in particular:
–– The dangers arising from the machine and any limitations as to its use.
–– The main causes of accidents and relevant safe working practices, including the correct use of guards,
protection devices, appliances and the use of the manual brake where fitted.
• Familiarisation - on-the-job training under close supervision.

Question 5
This information provided by the employer for the work equipment should cover:
• All health and safety aspects arising from the use of the work equipment.
• Any limitations on these uses.
• Any foreseeable difficulties that could arise.
• The methods to deal with them.
• Any additional information obtained from experience of using the work equipment.
Question 6
Types of warnings or warning devices that might be needed in relation to work equipment include:
• Notices such as:

–– Positive instructions (e.g. ‘hard hats must be worn’).
–– Prohibitions (e.g. ‘not to be operated by people under 18 years’).
–– Restrictions (e.g. ‘do not heat above 60ºC’).
• Warning devices which are:
–– Audible (e.g. reversing alarms on construction vehicles).
–– Visible (e.g. a light on a control panel that a fan on a microbiological cabinet has broken down or a blockage
has occurred on a particular machine).
–– An indication of imminent danger (e.g. a machine about to start) or development of a fault condition (e.g.
pump failure or conveyor blockage indicator on a control panel).
–– The continued presence of a potential hazard (e.g. hotplate or laser on).
Question 7
The five characteristics of HROs are:
1. Containment of unexpected events.

2. Effective problem anticipations.
3. Just culture.
4. Learning through continuous technical training.
5. Mindful leadership.
Question 8
By 'effective problem anticipation' we mean taking even minor (or seemingly trivial) warnings as an indication that
a problem could be occurring and by engaging with front line staff to understand the organisation’s operation.
When problems do occur, the organisation doesn’t accept 'operator error' as a cause but seeks to find out why that
occurred.

-
RRC Study Text
NEBOSH
International Diploma for Occupational
Health and Safety Management Professionals
Unit ID1 - Part 2

Know - Workplace Health and Safety Principles (INT)
June 2021
NEBOSH INTERNATIONAL DIPLOMA FOR
OCCUPATIONAL HEALTH AND SAFETY
MANAGEMENT PROFESSIONALS
UNIT ID1 - PART 2

CONTRIBUTORS
Zoe Neasham, BSc (Hons), CMIOSH, Dip2.OSH
© RRC International ACKNOWLEDGMENTS

All rights reserved. RRC International is the trading name of The Rapid RRC International would like to thank the National Examination Board
Results College Limited, Tuition House, 27-37 St George’s Road, in Occupational Safety and Health (NEBOSH) for their co-operation in
London, SW19 4DS, UK. allowing us to reproduce extracts from their syllabus guides.
These materials are provided under licence from The Rapid Results This publication contains public sector information published by the
College Limited. No part of this publication may be reproduced, stored Health and Safety Executive and licensed under the Open Government
in a retrieval system, or transmitted in any form, or by any means, Licence v.3 (www.nationalarchives.gov.uk/doc/open-government-
electronic, electrostatic, mechanical, photocopied or otherwise, licence/version/3).
without the express permission in writing from RRC Publishing.
Every effort has been made to trace copyright material and obtain
For information on all RRC publications and training courses, visit: permission to reproduce it. If there are any errors or omissions, RRC
www.rrc.co.uk would welcome notification so that corrections may be incorporated in
future reprints or editions of this material.
RRC: ID1 - Part 2
Whilst the information in this book is believed to be true and accurate
ISBN for this volume: 978-1-912652-42-6 at the date of going to press, neither the author nor the publisher can
First edition June 2021 accept any legal responsibility or liability for any errors or omissions
that may be made.
Contents

Hazard Identification Techniques 4-3
Types of Hazard Identification Techniques 4-3
The Importance of Employee Input 4-5
Managing Health and Safety Risks 4-7

The Meaning of the Term Sensible Risk Management 4-7
Principles of and Differences Between Qualitative, Semi-Quantitative and Quantitative Assessments 4-8
How to Engage Employees At All Levels in the Risk Assessment Process 4-11
When Dynamic Risk Assessments/Situational Awareness Should be Used 4-11
The Link Between the Outcomes of Risk Assessments and the Development of Risk Controls 4-13
Factors Affecting the Choice of Sensible and Proportionate Control Measures 4-13
Organisational Arrangements for Implementing and Maintaining an Effective Risk Assessment Programme 4-14
Acceptability/Tolerability of Risk 4-16
Risk Management 4-19

Organisational Risk Profiling 4-19
Why Health and Safety Risks Must be Integrated into Main Business Risk 4-21
The Concepts of Avoidance, Reduction, Transfer, and Retention With/Without Knowledge Within a Health and
Safety Management System 4-21
Factors to be Considered in the Selection of an Optimum Solution Based on Relevant Risk Data 4-25
The Principles and Benefits of Risk Management in a Global Context 4-28
Summary 4-30
2-3
Contents

Loss Causation and Quantitative Analysis of Data 5-3
The Underlying Principles Connecting Causes with Outcomes 5-3
Loss Causation Theories/Models, Tools and Techniques 5-5
Root Cause Analysis Tools 5-9
The Quantitative Analysis of Accident and Ill-Health Data 5-14
Measuring and Monitoring 5-17

The Meaning of Key Performance Indicators and Their Role in Setting Business Objectives 5-17
Types, Benefits and Limitations of Leading and Lagging Indicators 5-18
The Assessment of the Effectiveness and Appropriateness of Health and Safety Objectives and Arrangements 5-19
Making Recommendations, Based on Performance, for the Review of Current Health and Safety
Management Systems 5-22
The Benefits of Measuring What Goes Right (Proactive Safety Measurement) 5-22
The Distinction Between, and Applicability of, Active/Reactive, Objective/Subjective and
Qualitative/Quantitative Performance Measures 5-23
Health and Safety Monitoring and Measurement Techniques 5-25
Collecting and Using Sickness Absence and Ill-Health Data 5-26
The Role, Purpose and Key Elements of Health and Safety Monitoring and Measuring Techniques 5-28
The In-House Health and Safety Professional’s Role in Audits Carried Out by External/Third Parties 5-30
Comparison of Previous Performance Data 5-31
Use and Benefits of Benchmarking 5-32
Reviewing Health and Safety Performance 5-32
Summary 5-35

Health and Safety Professional Skills 6-3
The Role of the Health and Safety Professional 6-3
The Distinction Between Leadership and Management and How This Can Apply to a Health and
Safety Professional 6-8
The Health and Safety Professional’s Role in Enabling Work Activities As Part of Proportionate and
Sensible Risk Management 6-12
The Health and Safety Professional’s Role in Change Management 6-13
The Meaning of the Term ‘Ethics’ 6-14
Effective Communication and Negotiation Skills 6-15
Influencing Ownership of Health and Safety at all Levels of an Organisation 6-17
The Use of Different Types of Communication Media Available to Promote the Health and Safety Message 6-19
Procedures for Resolving Conflict and Introducing Change 6-22
Ensuring Roles and Responsibilities are Clear, Understood By All Workers and Implemented 6-23
The Health and Safety Professional’s Use of Financial Justification to Aid Decision Making 6-24
Cost-Benefit Analysis in Relation to Risk Control Decisions 6-25
Summary 6-29
Contents

Societal Factors 7-3
Economic Climate 7-3
Government Policy and Initiatives 7-3
Industry/Business Risk Profile 7-3
Globalisation of Business 7-3
Migrant Workers 7-3
National Level of Sickness Absence and Incapacity 7-4
Societal Expectations of Equality 7-5
Corporate Social Responsibility 7-7

What is Corporate Social Responsibility (CSR) 7-7
The Four Types of CSR 7-7
The Benefits for Organisations From CSR 7-8
Organisational Change 7-9

Why Organisational Change Needs to be Effectively Managed 7-9
Use of the Kubler-Ross Change Curve to Manage the Change Process 7-9
Key Principles of Managing Organisational Change 7-11
Summary 7-14

Supply Chains 8-3
Definition of “Contractor” 8-3
Selection of Contractors 8-3
Managing Health and Safety Within Supply Chains 8-9
Awareness of Where Modern Slavery May Be Happening in the Supply Chain 8-12
Duty to Manage Modern Slavery in Supply Chains 8-13
Summary 8-15
Suggested Answers to Study Questions - Part 2
2-5

Learning Outcome 4
Once you’ve read this Learning Outcome, you will be able to:
• Understand risk management, including the techniques for identifying hazards, the
different types of risk assessment, considerations when implementing sensible and
proportionate additional control measures, and developing a risk management strategy.


Contents
Hazard Identification Techniques 4-3

Types of Hazard Identification Techniques 4-3
The Importance of Employee Input 4-5
Managing Health and Safety Risks 4-7

The Meaning of the Term Sensible Risk Management 4-7
Principles of and Differences Between Qualitative, Semi-Quantitative and Quantitative Assessments 4-8
How to Engage Employees At All Levels in the Risk Assessment Process 4-11
When Dynamic Risk Assessments/Situational Awareness Should be Used 4-11
The Link Between the Outcomes of Risk Assessments and the Development of Risk Controls 4-13
Factors Affecting the Choice of Sensible and Proportionate Control Measures 4-13
Organisational Arrangements for Implementing and Maintaining an Effective Risk Assessment Programme 4-14
Acceptability/Tolerability of Risk 4-16
Risk Management 4-19

Organisational Risk Profiling 4-19
Why Health and Safety Risks Must be Integrated into Main Business Risk 4-21
The Concepts of Avoidance, Reduction, Transfer, and Retention With/Without Knowledge Within a Health and
Safety Management System 4-21
Factors to be Considered in the Selection of an Optimum Solution Based on Relevant Risk Data 4-25
The Principles and Benefits of Risk Management in a Global Context 4-28
Summary 4-30

Hazard Identification Techniques 4.1
Hazard Identification Techniques

IN THIS SECTION...
• Recognise and apply different hazard identification techniques.

Types of Hazard Identification Techniques
Detection of Hazards
A hazard is anything that may cause harm, such as chemicals, electricity,
an open drawer, etc. It is important, at Diploma level, to appreciate the
difference between activities and hazards; for example, work at height is
an activity in which there may be a number of hazards involved, such as
an unprotected edge, a damaged ladder, high winds, etc. So, while a term
like ‘work off a ladder’ may be included in the UK HSE’s publication ‘Risk
assessment, a brief guide to controlling the risks’, it is considered by health and
safety professionals to be an oversimplification.
Before risk can be managed effectively, any hazards in the workplace Unprotected edges, chemicals and
have to be identified. Hazards missed at this stage will not be considered electricity are all hazards in the
later. There are various techniques that can be used to detect hazards, workplace
including: observation of tasks, task analysis, use of checklists during
inspections, and incident reports.
MORE...
HSE guidance on risk assessment is contained in INDG163(rev4) Risk assessment – A brief guide to controlling risks in
the workplace, available at:
Observation
Many hazard identification techniques rely on observation by the assessor(s) and are dependent on the experience
and knowledge of the assessor.
The analyst should observe the work being done, including work being carried out by groups of operators, looking
for:
• Actual and potential hazards – by observation and questioning.

• Less obvious, ‘invisible’ hazards – such as health dangers from fumes, gases, noise, lighting, etc.
• Behavioural aspects – rules and precautions for controlling any hazard or risk should be supplied by the operator,
their supervisor or a specialist, but are they being followed?
Task Analysis
Task analysis is used to analyse all aspects of a task (including safety), often with the intention of improving efficiency.
A job can also be analysed with the emphasis on safety or hazards. This is a useful method for identifying hazards
before work starts and can then be used as the basis for developing safe systems of work.

4.1 Hazard Identification Techniques
The assessor divides the task into a number of steps, considering each step separately. The results of this analysis can
be used to correct existing problems and to improve, among other things:
• Safe working methods, working instructions, worker protection, safety rules, emergency procedures, serviceability
of machinery and plant.
• Reporting of hazards, provision of information.
• Layout of work areas.
One possible approach is to use the SREDIM method. This stands for Select, Record, Evaluate, Develop Implement
and Monitor and is outlined in the topic focus box below:
TOPIC FOCUS
There is a useful abbreviation for task analysis, SREDIM:
• Select the task to be analysed.

• Record the steps or stages of the task.
• Evaluate the risks associated with each step.
• Develop the safe working method.
• Implement the safe working method.
• Monitor to ensure it is effective.
Checklists
To ensure a consistent and comprehensive approach to checking all
the safety elements to be covered during an inspection, a checklist
or inspection form is usually developed which covers the key issues.
Checklists should also be structured to provide a coherent approach to
the inspection process. This helps in the monitoring of the inspection
process and analysis of the results, as well as simplifying the task of
carrying out the inspection itself. Checklists do have some limitations in
that although they prompt the assessor when looking for hazards, any
hazard not identified in the list is less likely to be noticed.
The HSE in the UK has promoted the following ‘4 Ps’ structure to cover
the four areas concerned with work activities and risk creation:
• Premises, including:
–– Access/escape.
–– Housekeeping.
–– Working environment.
• Plant and substances, including:
Checklists help in the monitoring and
–– Machinery guarding. inspection process
–– Local exhaust ventilation.
–– Use/storage/separation of materials/chemicals.

Hazard Identification Techniques 4.1
• Procedures, including:
–– Permits to work.
–– Use of personal protective equipment.
–– Procedures followed.
• People, including:
–– Health surveillance.
–– People’s behaviour.
–– Appropriate authorised person.
(Note that the examples given are purely for illustration and are not intended to be a definitive list.)
While checklists are often included in safety procedures and manuals, do not think that they cannot be changed and
adapted. In particular, in terms of maintenance and safety inspections, the list should not act as a constraint on the
inspector(s) identifying other potential problems or hazards. Checklists should be reviewed regularly to take account
of recent or proposed developments in health and safety issues in the particular workplace.
Failure Tracing Techniques

The techniques we have described are usually more than adequate for most risk assessments. In more complex
systems, it may be necessary to use more structured methods to identify hazards. One powerful technique is called a
Hazard and Operability Study (HAZOP).
This breaks down a system such as a chemical process into different sections (known as nodes) and then
systematically asks what could go wrong in that section, what would be the consequences, and what measures could
be introduced to reduce the likelihood of the failure occurring or, if it does fail, might mitigate the consequences?
HAZOPS are a very thorough and detailed process which utilize a multidisciplinary team, comprising a HAZOP leader
(to drive the process), a recorder (who documents the findings in a HAZOP table), designers, engineers, operations
team members and safety professionals. For this reason, HAZOPs are typically used for high-hazard installations such
as chemical plants.
MORE...
You can find more information on the extensive range of hazard identification techniques in the Health and
Safety Laboratory report HSL/2005/58 Review of hazard identification techniques
This is accessible at:
www.hse.gov.uk/research/hsl_pdf/2005/hsl0558.pdf
The Importance of Employee Input

Rather than relying on one individual to undertake hazard identification, the HSE advocates the team approach to
risk assessment. It is important to involve employees who have relevant experience and knowledge of the process or
activity being considered, as they are likely to have the best understanding of the hazards and the way that the work is
usually done. There may also of course be situations where specialist assistance is needed, for example safety advisors
to help decide upon the best course of action, or engineers to advise on control options.
Involving employees also increases the ‘ownership’ of the assessment as, having contributed to the exercise, an
individual is more likely to appreciate the need for compliance with the control measures identified.

4.1 Hazard Identification Techniques
STUDY QUESTION
1. Giving two examples for each, identify the ‘4 Ps’ recommended by the HSE when preparing a checklist for
inspections.

Managing Health and Safety Risks 4.2
Managing Health and Safety Risks

IN THIS SECTION...
• Explain the principles of implementing and maintaining a sensible risk management programme.

The Meaning of the Term Sensible Risk Management
‘The concept of sensible risk management aims to balance the growing risk-averse attitude of society toward innovation and
development. Consequently, taking a sensible approach to risk management involves:
–– ensuring that workers and the public are properly protected

–– enabling innovation and learning, not stifling them
–– ensuring that those who create risks manage them responsibly and understand that failure to [do so] is likely to lead to
robust action
–– providing overall benefit to society by balancing benefits and risks, with a focus on reducing significant risks – both those
which arise more often and those with serious consequences
–– enabling individuals to understand that as well as the right to protection, they also have to exercise responsibility.
It is not about:
–– reducing protection of people from risks that cause real harm

–– scaring people by exaggerating or publicising trivial risks
–– stopping important recreational and learning activities for individuals where the risks are managed
–– creating a totally risk-free society
–– generating useless paperwork mountains.’
Source: Sensible risk management, Health and Safety Executive (HSE) www.hse.gov.uk/simple-health-safety/risk/index.
htm
The Importance of Applying Proportionality when Assessing and

Controlling Risk
Health and safety at work legislation is about reducing death, serious
injury and ill health in workplaces – it is about taking the necessary action
to reduce significant risks arising from work. However, in an increasingly
risk-averse society it often means simply banning activities.
The health and safety professional should be clear about what is a

legal requirement. Rather than attempt to stop or limit an activity, or
assume that it will have undesirable or unintended consequences, the
professional should therefore check whether the decision or the chosen
precautions are proportionate by considering the actual risks. The health and safety professional
needs to consider the actual risks of an
activity

4.2 Managing Health and Safety Risks
Understanding what the actual risk is involves considering the likelihood and consequences of something going
wrong, and this means thinking about:
• What type of incident the decision or precaution is intended to prevent.

• What injury or ill health could be caused.
• How likely it is to happen.
Organisations should take ownership of their risks and take proportionate steps to manage those risks so that
attention is focused on the significant risks that cause injury and ill health, and not the trivia or everyday low risks.
Principles of and Differences Between Qualitative, Semi-

Quantitative and Quantitative Assessments
Before we continue, let’s remind ourselves of the definitions of the following two terms:
• Quantitative – a measurement of magnitude is involved, e.g. there were four fatalities due to falls from height
over a 12-month period at Business X; the airborne concentration of formaldehyde in a workplace was measured
as 13ppm.
• Qualitative – no actual measurement is used. It involves describing the qualities, e.g. the airborne concentration
was high or serious; the injury sustained was minor.
There are conceptually two basic categories of risk assessment:
qualitative and quantitative. In practice, there is also a third category
which uses numbers to indicate rank order, called semi-quantitative.
Quantitative risk assessment uses more rigorous techniques in an
attempt to quantify the magnitude of the risk. Even in the high-hazard
industries (such as nuclear and chemical), most of the assessments are
not quantitative. However, they are often used to satisfy a regulator
that very unlikely events which, if they occurred, would have serious
consequences not only to the organisation but also to the public (such
Even in high hazard industries,
as loss of containment of radioactive material in a nuclear facility) have
assessments are not quantitative
been assessed. All risk assessments involve at least some element of
subjectivity or judgment.
The definitions used below are based on those from HSG190 Preparing safety reports.
Qualitative Risk Assessments

Qualitative risk assessments are based entirely on judgment, opinion and experience, including approved guidance,
rather than on measurements. They use technology-based criteria to establish if you have done enough to control
risks, i.e. ‘If I use this standard control measure I’m pretty sure the risk will be adequately controlled’. They allow you
to easily prioritise risks for further action but while they enable risks to be ranked against other risks, they do not
objectively estimate risks and so do not allow direct comparisons with external estimates.
A qualitative risk assessment is carried out by the risk assessor(s) making qualitative judgments with respect to the
likelihood and consequence associated with a particular loss event. This judgment may be made through observation
and discussion with employees as well as looking at other information, such as accident records. There are various
ways in which likelihood and consequence could be categorised; the following is a simple example.

Example
Consider a torn carpet in an office and the risks it creates. Before
somebody could possibly trip on the carpet, they have to walk in the
vicinity of the carpet, so the degree of exposure to the hazard is a key
factor. If the carpet is situated in the centre of a main walkway then the
likelihood of it causing an accident is much greater than if it is in a corner
of a little-used store room.
There are a number of possible outcomes should someone trip on it; the
severity categories might be:
• Minor: minor injury or illness with no significant lost time, such as a slight cut or bruise.
• Lost time: more serious injury causing short-term incapacity from work or illness causing short-term ill health,
e.g. broken limb.
• Major: fatality or injury/illness causing long-term disability.
We use our experience to qualitatively judge the most likely outcome. We need to be sensible here, otherwise we
will end up with the worst possible consequence always being death (or even multiple deaths) and the ability to
prioritise remedial action is defeated as a result.
In this example, the likely outcome could be that someone would be badly bruised with no significant lost time and
therefore ‘Minor’ would be chosen.
The likelihood of someone tripping over the carpet could be categorised by one of the following terms:
• Very likely.
• Likely.
• Unlikely.
In this example, we might judge that the likelihood of exposure to the hazard (coming into contact with the torn
carpet) and subsequently tripping might be ‘Likely’.
Think of our earlier equation for risk magnitude:
Risk = Likelihood (or Frequency) × Consequence (or Harm or Severity)
It follows then, that although no numbers are being used, it is easy to see that the risk of someone injuring themselves
on the torn carpet is moderate. For this reason, remedial action must be carried out to minimise the risk which in the
short term might involve using carpet tape to join the two ends. Where there are a number of hazards that have been
assessed in a similar way then it is possible to prioritise the remedial action so that the ones that pose the greatest risk
are resolved first.
Clearly, each organisation would need to come up with their own categories which reflect the types of injury that may
occur along with their likelihood frequency.
If the descriptors “Minor”, “Lost time”, “Major” are replaced arbitrarily with ‘1’, ‘2’ and ‘3’, respectively, this is still
a qualitative risk assessment since there is still no quantitative basis for the choice – just a switch of numbers for
words. So, don’t think that the mere presence of numbers somehow converts it into a more thorough quantitative
assessment.

Semi-Quantitative
In many risk assessments where the hazards are not few and simple, nor numerous and complex, it may be necessary
to use some semi-quantitative assessments in addition to the simple qualitative assessments.
This may involve measuring the exposure of a worker to a hazardous substance or noise which can then be used to
assess whether the risks to the workers are acceptable or not.
Semi-quantitative risk assessments may also use a simple matrix to combine estimates of likelihood and consequence
in order to place risks in rank order as shown here in a simple 3 × 3 matrix.
Matrix ranking risk in terms of likelihood and consequence
H=3 3 6 9
Likelihood M=2 2 4 6
L=1 1 2 3
Low = 1 Medium = 2 High = 3
Consequence
The likelihood and consequence are each characterised as low, medium or high and are assigned a number 1, 2 or 3,
respectively. The risk is determined by calculating the product of the likelihood and the consequence, so risks range
from 1 (low likelihood and low consequence) to 9 (high likelihood and high consequence).
The key point about such matrices is that they are used to rank risks, i.e. put them in order. They have no meaning in
terms of their relative sizes so it cannot be assumed that a risk value of 9 is nine times the size of a risk rating of 1.
Quantitative Risk Assessment

Quantitative Risk Assessments (QRAs) attempt 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 use advanced simulation or modelling techniques to investigate possible
accidents and will utilise plant component reliability data.
They are sometimes referred to as QRA or Probabilistic Risk Analysis (PRA).
DEFINITION
QUANTITATIVE RISK ASSESSMENT
This is the application of methodology to produce a numerical representation of the frequency and extent of a
specified level of exposure or harm, to specified people or the environment, from a specified activity. This will
facilitate comparison of the results with specified criteria.
The degree of quantification used is variable. This type of risk assessment typically uses advanced tools such as Fault
Tree Analysis (FTA) and Event Tree Analysis (ETA) (discussed in Learning Outcome 5). It relies heavily on having
suitable data to calculate the probability or frequency of a defined event.
QRAs are evidence-based (i.e. use ‘hard’ data) to be as objective as possible. It may not be possible to fully quantify
risks, especially for infrequent events. Despite the name, QRAs invariably involve some subjectivity; this is because
some broad assumptions may have to be made, e.g. in the application of human reliability assessment. This approach
is used for safety cases to establish that the risks have been fully identified and to justify that enough has been done
to reduce the risk to the lowest level reasonably practicable.

QRA is used in high-hazard chemical and nuclear installations, and in the offshore oil industry for specific risk
scenarios. They are included as part of their safety report requirements. Quantitative methods are also used in setting
Workplace Exposure Limits (WELs) for airborne contaminants.
For major hazard sites, such as large chemical installations, numerical

estimates of the probability or frequency of plant failure may be
calculated. This is at its most valid when it involves the use of component
reliability data, simply because the data is available (or can be measured)
and is often based on a large sample size and so is statistically valid.
The results of particular failure scenarios would then be considered, in
terms of the different possible consequences, perhaps using fault trees
and event trees (which may use component, structural, system and/
or human reliability data). Consequence itself is not usually quantified High-hazard installation
as such. Rather, many failure scenarios (perhaps several hundred), all
with different consequences are modelled and the probability or frequency of each scenario actually developing is
calculated. An example would be the failure of a chlorine storage vessel in a particular way with dispersion modelling
of several different release patterns for a toxic gas cloud. In such cases, the likelihood of harm resulting from all the
different potential causes of failure has to be rolled up into a single estimate of the risk from that installation.
How to Engage Employees At All Levels in the Risk

Assessment Process
The risk assessment process must be seen as a critical activity by all levels of the business rather than just as a “tick box
exercise”. Without employee engagement, the process is set to fail and become a file full of paperwork rather than a
safety critical process.
Management must encourage the use of the process by not only acknowledging the need for risk assessment, but
actively engaging with the process and, critically, allowing time for risk assessments to be carried out. Ultimately,
the completion of risk assessments will result in the need for additional controls in some areas which will require
resources.
Supervisors should be responsible for ensuring that the risk assessments in their area remain up-to-date and reflect
the process as it is carried out, rather than allowing the process to drift to the point that the risk assessments are no
longer representative of the activities.
Employees have a huge role to play in risk assessments too – whether they are process experts (the people who carry
out the activities) or in supporting roles, such as engineering or maintenance, the engagement of employees at all
levels is essential in order to make the process work effectively.
When Dynamic Risk Assessments/Situational Awareness

Should be Used
Dynamic Risk Assessments
Dynamic Risk Assessments (DRAs) are needed when work activities involve changing environments and individual
workers need to make quick mental assessments to manage risks. Police, fire-fighters, teachers and lone workers, for
example, often have to make swift risk judgments and identify controls, sometimes on their own and in high-pressure,
potentially stressful, environments. To deal with these situations, DRAs are required. DRA is “the continuous assessment
of risk in the rapidly changing circumstances of an operational incident, in order to implement the control measures necessary to
ensure an acceptable level of safety”.
Source: Dynamic management of risk at operational incidents, HMSO, 1998.

The Home Office’s 1998 Dynamic Risk Assessment Method sets out five stages:
1. Evaluate the situation: consider issues such as: what operational intelligence is available; what tasks need to be
carried out; what are the hazards; where are the risks; who is likely to be affected; what resources are available?
2. Select systems of work: consider the possible systems of work and choose the most appropriate. The starting
point must be procedures that have been agreed in pre-planning and training. Ensure that personnel are
competent to carry out the tasks they have been allocated.
3. Assess the chosen systems of work: are the risks proportional to the benefits? If yes, proceed with the tasks
after ensuring that goals, both individual and team, are understood; responsibilities have been clearly allocated;
and safety measures and procedures are understood. If no, continue as below.
4. Introduce additional controls: reduce residual risks to an acceptable level, if possible by introducing additional
control measures, such as specialist equipment or personal protective equipment.
5. Re-assess systems of work and additional control measures: if risks remain, do the benefits from carrying out
the task outweigh the costs if the risks are realised? If the benefits outweigh the risks, proceed with the task. If the
risks outweigh the benefits, do not proceed with the task, but consider safe, viable alternatives.
Situational Awareness
In the Leadership and worker involvement toolkit, the HSE defines Situational Awareness as: “being aware of what is
happening around you in terms of where you are, where you are supposed to be, and whether anyone or anything around you
is a threat to your health and safety”. Many accidents occur because we are unaware of our surroundings; this can be
because we are busy, distracted or overloaded, factors which are particularly important in emergency situations. The
toolkit recommends a SLAM approach:
The SLAM Technique

SLAM consists of four simple steps:
STOP Engage your mind before your hands. Look at the task in hand.
LOOK at your workplace and find the hazards to you and your team mates.
Report these immediately to your supervisor.
ASSESS the effects that the hazards have on you, the people you work with,
equipment, procedures, pressures and the environment. Ask yourself if
you have the knowledge, training and tools to do the task safely. Do this
with your supervisor.
MANAGE If you feel unsafe stop working. Tell your supervisor and workmates.
Tell your supervisor what actions you think are necessary to make the
situation safe.
You may wish to create your own SLAM prompt card for your workforce on site. Side A
could contain the SLAM technique as above. Side B could include key areas of risk to be
aware of on your site.
In order to improve situational awareness, many organisations have implemented a dynamic risk assessment process.
Sometimes known as “point of work risk assessments”, these are not as a replacement for risk assessments but as an
additional tool to check that it is safe to proceed.

The Link Between the Outcomes of Risk Assessments and

the Development of Risk Controls
The aim of the risk management process is to develop risk controls relevant to the risks being assessed. The outcome
of the risk assessment process follows from risk evaluation and involves making decisions about risk controls and the
priority for their implementation. Risk evaluation involves comparing the level of risk found during risk analysis (which
considers the causes and sources of risk, their consequences and the likelihood of occurrence) with established risk
criteria. This comparison then allows an informed decision to be made about the need for controls.
The risk assessment process may conclude the need to implement additional controls, change controls or continue
with no controls at all.
In order to decide which controls to implement, an assessment is needed based on the risk criteria:
• The relative cost benefits of the control options considered.

• Any regulatory requirements or social responsibility factors that might override a cost-benefit analysis.
• Any additional risks that might be introduced by a particular control.
• The development of risk control options, therefore, follows directly from the risk assessment process.
Factors Affecting the Choice of Sensible and Proportionate

Control Measures
TOPIC FOCUS
From your prior learning, you will remember that the basic Hierarchy of Control, as outlined by the HSE, is:
• Elimination: remove the hazard through redesign of the job, e.g. review the activity and eliminate the need
to work at height by working from ground level.
• Substitution: replace the dangerous with the less dangerous, e.g. changing a hazardous chemical for a non-
hazardous material.
• Engineering controls: these can include enclosures around the dangerous equipment such as guards, LEV
extraction, etc.
• Administrative controls: job rotation, work instructions and procedures.
• Personal protective equipment: this includes respiratory protective equipment.
Long Term/Short Term, Applicability and Costs

Those points which appear earlier in the list of control measures will
be the most effective in reducing the risk, but are usually the more
expensive and take much longer to put in place, so can be viewed as
long-term objectives. Although, in practice, it might be technically
possible to achieve total elimination of a hazard, the costs involved
and the benefits achieved may mean that it does not pass the test of
‘reasonably practicable’.

Many of the improvements in safety standards have been due to the reduction in the workforce and increasing
mechanisation. Computers can be used to control many operations and eliminate the use of people in risky situations.
However, they cannot think, and sometimes the choice is not between right and wrong (1 and 0 to a computer) but
between the lesser of two wrongs.
The methods shown lower in the list of control measures are usually the cheaper options. They can be put into
operation quickly, and give some measure of risk reduction, but their effect is of short duration. PPE, although near
the bottom of the hierarchy, may be acceptable for infrequent exposure, such as in maintenance tasks.
Proportionality
It is the responsibility of organisations to take ownership of their risks and therefore to take proportionate (sensible)
steps to manage those risks. This means focusing attention on the significant risks that cause injury and ill-health,
not the trivia or everyday low risks. Proportionality is achieved by concentrating on the real risks (those that are
reasonably likely to cause a significant level of harm), and not wasting valuable time and resources on unlikely events
with low-level outcomes.
Effectiveness of Controls
No one control measure can be 100% effective, so when evaluating which measure to adopt, you have to take into
account its effectiveness. PPE is of limited benefit because it only protects the person wearing it and not necessarily
all those at risk; it may be uncomfortable or inconvenient to wear. The more effective the control, the greater
consideration should be given to its use.
Legal Requirements and Standards

In some circumstances, legislation dictates the standard required. For example, if there is risk of rollover from mobile
work equipment such as a forklift truck, then the Provision and Use of Work Equipment Regulations 1998 require
a structure that ensures that the work equipment does no more than fall on its side.
Competence of Personnel and Training Needs

Clearly, the control measures adopted for a specific situation must be such that the user is competent to use them
without them creating a risk to the user or others. This may mean additional training and supervision are needed,
which are an added cost.
Organisational Arrangements for Implementing and

Maintaining an Effective Risk Assessment Programme
As risk assessment is a fundamental component of a health and safety management system, it is important that the
process of risk assessment is effectively managed. In Learning Outcome 3, we looked at what constitutes an effective
health and safety management system, including various models such as HSG65 Managing for health and safety. It is
sensible to use such a model for managing risk assessment.

TOPIC FOCUS
Plan
• Where you are now and where you need to be.
• What you want to achieve, who will be responsible for what, how you will achieve your aims, and how you
will measure your success – write down this policy and your plan to deliver it.
• Decide how you will measure performance – looking for leading and lagging indicators (active and reactive).
• Remember to plan for changes and identify any specific legal requirements that apply.
Do
• Profiling your organisation’s health and safety risks:
–– Assess the risks, identify what could cause harm in the workplace, who it could harm and how, and what
you will do to manage the risk.
–– Decide what the priorities are and identify the biggest risks.
• Organising for health and safety.
• In particular, aim to:
–– Involve workers and communicate, so that everyone is clear on what is needed and can discuss issues –
develop positive attitudes and behaviours.
–– Provide adequate resources, including competent advice where needed.
• Implementing your plan:
–– Decide on the preventive and protective measures needed and put them in place.
–– Provide the right tools and equipment to do the job and keep them maintained.
–– Train and instruct, to ensure everyone is competent to carry out their work.
–– Supervise to make sure that arrangements are followed.
Check
• Measuring performance:
–– Make sure that your plan has been implemented.
–– Assess how well the risks are being controlled and if you are achieving your aims.
• Investigate the causes of accidents, incidents or near-misses.
Act
• Review your performance:
–– Learn from accidents and incidents, ill-health data, errors and relevant experience, including from other
organisations.
–– Revisit plans, policy documents and risk assessments to see if they need updating.
• Take action on lessons learned:
–– Include audit and inspection reports.
Source: HSG65 Managing for health and safety, HSE, 2013. (www.hse.gov.uk/pubns/priced/hsg65.pdf)

Organisations need to have detailed arrangements for the delivery of an effective risk assessment programme – this
is not as the result of a single activity but as a result of a sustained and planned effort over a prolonged period. An
effective risk assessment programme requires:
• Procedures: these should detail how assessments are to be carried out, by whom and when, in order to ensure
that there is consistency in the approach adopted. Organisational complexities such as the authorization process
and the process by which actions are tracked will be included.
• Reporting protocols: the forms that are to be used should be defined, together with the method used to
calculate risk (qualitative, semi-quantitative, etc.)
• Training: personnel carrying out the assessment should be trained in risk assessments – this could be classroom
based sessions or as more practical training in the field (or as a combination).
• Competence: trained individuals should be encouraged to work as a team to gain an alternative perspective
during the risk assessment process, this will help to build competence. In addition, there should be oversight of
the process to calibrate the work of the assessors, in much the same way as the work of examiners is moderated
to ensure consistency!
• Responsibilities: there should be clear roles and responsibilities defined for the delivery of the programme.
Departmental managers and supervisors should be responsible for the delivery of the risk assessments in their
area, and the use of a risk assessment schedule can assist with this.
• Authorisation and follow up of actions: risk assessments should be reviewed by a competent person before
being authorized and issued. Revisions should also be authorized and controlled to ensure that the correct and
up-to-date version of any risk assessment is in use. Actions must be closed out in a timely manner and a suitable
system to monitor this should be implemented.
• Monitoring and review: risk assessments are not static documents, they require review after any incident or
change, which suggests that the assessment may no longer be valid or at a suitable interval as determined by
the organisation. The process and the individual assessments should therefore be monitored for signs that the
assessments are no longer effective.
Acceptability/Tolerability of Risk
The criteria by which we, as a society, decide which risks we are prepared to expect workers and members of the
public to live with, and those we are not, are set out in the HSE document Reducing risks, protecting people (R2P2).
Broadly speaking, we classify risks into three categories:
• Acceptable: no further action required. These risks would be considered by most to be insignificant or trivial and
adequately controlled. They are of inherently low risk or can be readily controlled to a low level.
• Unacceptable: certain risks that cannot be justified (except in extraordinary circumstances) despite any benefits
they might bring. Here we have to distinguish between those activities that we expect those at work to endure,
and those we permit individuals to engage in through their own free choice, such as certain dangerous sports/
pastimes.
• Tolerable: risks that fall between the acceptable and unacceptable. Tolerability does not mean acceptable but
means that we, as a society, are prepared to endure such risks because of the benefits they give and because
further risk reduction is grossly out of proportion in terms of time, cost, etc. In other words, to make any
significant risk reduction would require such great cost that it would be out of all proportion to the benefit
achieved.

When we discuss benefits we mean:

Unacceptable
Increasing individual risk and societal concerns

• Employment.
• Lower costs of production.
• Convenience to the public.
• Maintenance of a social infrastructure, e.g. Tolerable
supply of food or production of electricity. ALARP region
These three terms are best illustrated by the
‘Tolerability of risk’ figure.
You can see that the risks that fall into the Acceptable
tolerable region are described as being ‘As Low
As is Reasonably Practicable’, often referred to as
‘ALARP’.
Tolerability of risk
These are risks that society is prepared to endure
on the following assumptions:
• They are properly assessed to determine adequate control measures.

• The residual risk (after the implementation of control measures) is not unduly high.
• The risks are periodically reviewed to ensure they remain ALARP.
How, then, are tolerability limits defined?
Boundary Between Acceptable and Tolerable

The HSE believes an individual risk of death of one in 1
million per year or less for both workers and members
Increasing individual risk and societal concerns
of the public is broadly acceptable. This risk is very 1 in 1,000

low; indeed, using gas or electricity, or travelling by air Unacceptable per person/yr
(employee)
poses a much greater risk.
Boundary Between Tolerable and 1 in 10,000

per person/yr
Unacceptable Tolerable (public)
Here, there is a distinction between workers and the ALARP region

public: 1 in 1m per
person/yr
• For workers, the HSE proposes that an individual
risk of death of one in 1,000 per year represents Acceptable
the dividing line between what is tolerable for an
individual for any large part of their working life
and what is unacceptable (apart from exceptional
groups). Boundary limits
• For members of the public who have risks imposed on them who live, for example, next to a major accident
hazard, the figure is an individual risk of death of one in 10,000 per year, (i.e. 10 times less risk). This figure
equates approximately to the individual risk of death per year as a result of a road traffic accident.

MORE...
You can access the HSE publication Reducing risks, protecting people (R2P2) from:
www.hse.gov.uk/managing/theory/r2p2.pdf
You will also be able to find sample risk assessments at:
www.hse.gov.uk/simple-health-safety/risk/risk-assessment-template-and-examples.htm
STUDY QUESTIONS
2. Explain the concept of ‘sensible risk management’.
3. Explain the following categories of risk:
(a) Acceptable.
(b) Unacceptable.
(c) Tolerable.
4. List the factors that should be considered when choosing control measures.

Risk Management 4.3
Risk Management

IN THIS SECTION...
• Outline what should be considered in a risk management strategy for an organisation.

Organisational Risk Profiling
Purpose
The risk profile of an organisation is a key factor in determining the
approach that needs to be taken to manage its health and safety risks. In
simple terms, the ‘riskier’ the organisation, the more effort is needed to
manage those risks.
Every organisation will have its own risk profile, and knowledge of
the nature of the business will quickly conjure up what health and
safety issues need to be addressed, i.e. a call centre sited next to a light
engineering company in the same business park. Every organisation has a risk profile
which determines which health and
The risk profile is the starting point for determining the greatest health safety issues are greatest
and safety issues for the organisation. In some businesses, the risks will be
tangible and immediate safety hazards, whereas in other organisations, the risks may be health-related and it may be a
long time before the illness becomes apparent:
• The aim of risk profiling is to examine the nature and level of the threats faced by an organisation and the
likelihood of these adverse effects occurring (severity and likelihood). This establishes the likely level of disruption
and cost associated with each type of risk and enables the effectiveness of controls in place to manage those risks
to be assessed.
• The outcome of risk profiling is that significant risks have been identified and prioritised for action, and minor
risks simply noted to be kept under review. It also informs decisions about what risk controls measures are
needed.
• Risk profiling is a key activity for leaders and line managers so that they know the risks their organisations face,
rank them in order of importance and take action to control them.
Practicality
A risk profile examines the nature and levels of threats faced by an organisation. It assesses the likelihood of adverse
effects occurring, the level of disruption and costs associated with each type of risk, and the effectiveness of the
control measures in place.
The practical implementation of risk profiling in an organisation is driven at different levels.
Leaders need to:
• Identify who takes ownership of health and safety risks.

• Consider the consequences of the worst possible occurrence for the organisation.
• Ensure that risk assessments are carried out by a competent person.
• Maintain an overview of the whole process.
• Identify who will be responsible for implementing risk controls and over what timescale.

4.3 Risk Management
Managers should:
• Identify their health and safety risks and prioritise them.

• Ensure that risks are owned so that appropriate resources can be allocated.
• Consider groups that might be at increased risk, such as young or inexperienced workers, pregnant workers and
workers with a disability.
• Decide whether control measures in place are adequate or if further action is needed.
• Be prepared to implement interim measures to minimise the risks if some control measures are long-term.
• Report risk control performance regularly internally and consider whether it should be done externally.
• Make sure paperwork is kept to the minimum levels necessary.
• Review the organisation’s risk profile regularly.
Workers need to:
• Understand the organisation’s risk profile.

• Have the necessary information, instruction and training to deal with the identified risks.
• Be consulted in all parts of the organisation to ensure that all areas of risk have been identified.
Organisational Context
Risk profiling provides organisations with a detailed picture of the:
• Risks inherent in its operations.

• Effectiveness of the controls in place to mitigate the risk.
• Framework for monitoring its higher risk priorities.
Some organisations may be willing to accept or retain risk where others
may seek to implement risk management strategies to reduce or control,
transfer or avoid risk. A risk profile examines the level of
Every organisation has its own risk profile; in some, it may principally threat to an organisation
consist of immediate safety hazards, while in others the risks may be
predominantly longer-term, health-related issues. In addition, health and safety risks can range from high-hazard, low-
frequency events, such as major explosions, to low-hazard, high-frequency occurrences, such as slips and trips.
However, regardless of the specific nature of the workplace activities, the risk profile should include:
• The key strategic and operational health and safety risks.

• Quantification of these risks in terms of likelihood and severity.
• Identification of current controls and degree of effectiveness.
• Plans for required additional controls.
This enables the organisation to:
• Identify and prioritise the significant risks without giving minor risks unnecessary priority.
• Reduce these risks to an acceptable level.
• Minimise the associated paperwork and bureaucracy.

Risk Management 4.3
Why Health and Safety Risks Must be Integrated into Main

Business Risk
Health and safety has, for years, been considered an additional burden on businesses and organisations and
unfortunately treated as such. But after tragedies such as the Herald of Free Enterprise ferry capsize in 1987, it was
found that safety was not at the heart of decision making and was seen very much as secondary. As you will see from
the Formal Investigation Report: Herald of Free Enterprise extract below, it is plain that safety cannot be an afterthought in
modern organisations:
At first sight the faults which led to this disaster were the aforesaid errors of omission on the part of the Master, the Chief
Officer and the assistant bosun, and also the failure by Captain Kirby to issue and enforce clear orders. But a full investigation
into the circumstances of the disaster leads inexorably to the conclusion that the underlying or cardinal faults lay higher up in
the Company. The Board of Directors did not appreciate their responsibility for the safe management of their ships. They did
not apply their minds to the question: What orders should be given for the safety of our ships? The directors did not have any
proper comprehension of what their duties were. There appears to have been a lack of thought about the way in which the
HERALD ought to have been organised for the Dover/Zeebrugge run. All concerned in management, from the members of the
Board of Directors down to the junior superintendents, were guilty of fault in that all must be regarded as sharing responsibility
for the failure of management. From top to bottom the body corporate was infected with the disease of sloppiness. This became
particularly apparent from the evidence of Mr A. P. Young, who was the Operations Director and Mr. W. J. Ayers, who was
Technical Director. As will become apparent from later passages in this Report, the Court was singularly unimpressed by both
these gentlemen. The failure on the part of the shore management to give proper and clear directions was a contributory cause
of the disaster. This is a serious finding which must be explained in some detail.
Source: Formal Investigation Report: Herald of Free Enterprise, Secretary of State for Transport, 1989.
https://assets.publishing.service.gov.uk/media/54c1704ce5274a15b6000025/FormalInvestigation_
HeraldofFreeEnterprise-MSA1894.pdf
The Concepts of Avoidance, Reduction, Transfer, and

Retention With/Without Knowledge Within a Health and
Safety Management System
Risk management may be defined as: ‘The identification, measurement
and economic control of the risks which threaten the assets or earnings
of a company or enterprise.’
Risk control can be split into loss control and risk financing:
• Loss control:
–– Risk avoidance.
–– Risk reduction.
• Risk financing:
–– Risk retention.
–– Risk transfer.
A strategy may consist of one or a combination of these methods.
Risk control includes loss control and

risk financing

4.3 Risk Management
Avoidance or Elimination
• Risk avoidance is avoiding completely the activities giving rise to risk. For example, stop drinking alcohol at all (or
never start) to avoid the risk of being arrested for being drunk and disorderly; never travel by air to avoid the risk
of being involved in a mid-air collision.
• Risk elimination usually has a wider meaning; it implies removal of a risk without necessarily ceasing an activity
completely, e.g. redesign of a process to remove a particular risk without stopping the activity.
Risk avoidance or risk elimination is the best solution to the problem of
risk. In some cases, we will have estimated the risk of some particular
operation to involve the possibility of a fatality or serious personal injury.
This suggests that avoidance or elimination is an essential requirement.
In eliminating one risk, you could inadvertently introduce other risks. For
example, in automating a process by introducing robots to eliminate the
risk of manual handling, you will introduce some of the risks associated
with robots. Some hazards can be avoided by completing a task in a slightly different way. For example, providing a
chair for a supermarket checkout person (rather than expecting them to stand) can remove hazards associated with
physical fatigue.
Reduction
DEFINITION
RISK REDUCTION
Risk is not avoided or eliminated entirely, but attempts are made to reduce the frequency and/or severity
of a potential loss by use of typical safety control techniques, such as engineering solutions, procedures and
behavioural measures (training, etc.) to control risk at source.
Often, avoidance or elimination may not be possible or reasonably practicable, or even desirable (if, for example, it
would involve closing a factory with the loss of all jobs and high associated cost of redundancy). Risk reduction, while
not as effective, might be a more economically viable solution.
Risk Retention
Here, the loss is to be financed from funds within the organisation, so we have to consider where the funds are to
come from.
• Sources of Funds
Possible sources are:
–– Pay losses from current operating funds. Payments should be restricted to a maximum of about 5% of the
operating costs. Losses must be predictable.
–– Use an unfunded reserve, such as depreciation. This is where some large item of capital expenditure is written
off over a number of years. The problem is that the fund does not actually exist except as an accounting
convenience. There is no tax advantage and no actual ready cash.
–– Use a funded reserve, e.g. a fund of cash or easily obtained cash. It could be a group fund. There is no tax
advantage. It takes time to build up such a reserve, so care is required in the early years. There is low interest
on capital. If you wish to obtain a good rate of interest, you will have to give notice before you can withdraw
funds. The fund needs to gain interest, but should be readily available when required.

Risk Management 4.3
–– Insuring through a captive insurer (see later).

–– Borrowing to restore losses, which is not easy after a loss occurs. For example, if you had just had a large fire
at a factory, the bank would be reluctant to lend and would make a lot of expensive conditions.
–– Divert funds from planned capital investment; the company then uses funds set aside to buy an important
capital item because there is a loss which has to be paid for.
If you consider each of these options, you will realise that there is no readily available, inexpensive source of
finance to pay for any loss. On the other hand, there are some good reasons for considering risk retention.
• Advantages of Risk Retention

–– The full sum of insurance premiums is never paid out, so risk retention can be cheaper than insurance. The
insurance company has to make a profit both for future finance and for its shareholders. A millionaire does
not insure their car comprehensively; if it is damaged, they just buy another one. The good car driver or
employer pays, through their premiums, for the poor driver or employer. Insurance is profitable for poor risk
managers, but not for a good risk manager.
–– Retention reduces the cost of both processing claims and the detailed accounting required. The loss occurs
and you just pay out.
–– If costs are allocated to departments, management becomes more risk conscious. This is a vital feature in risk
management; it is pointless for a departmental manager to go all out for production profit and then have to
use their profits to pay for accidents and losses.
–– Losses are dealt with quickly.
You should think about each advantage and see whether it applies to your organisation.
Risk Retention – With or Without Knowledge

With knowledge means you have made a conscious decision to bear
the burden of losses; without knowledge means it is done without any
consideration whether or not to insure.
Every risk that is not transferred (to insurance) is a retained risk. Examples
are:
• Events that are insurable: you cannot get insurance for everything.
The insurance company has to be able to assess risk since they are in
the business of risk management. They may quote a premium above Many risks, including fire, can be insured
the value you wish to insure. If you can buy a new item for the price against
of the premium, it is pointless to insure. Take the risk instead.
• Losses not considered when setting up insurance: if you do not take into account a particular possibility, you
are retaining the loss. It is a case of accidental risk retention, or risk retention by default.
• Hazards deliberately not insured: you have to insure a car for third-party risks, but the choice to insure
comprehensively is left to you. Risk management is all about taking a risk, where you have been able to reduce
either the probability or the severity of a loss-making event.
• Losses outside the scope of the insurance: there are always exclusion clauses, and you do not realise their
significance until you need to make a claim. The good risk manager does not find themselves in such a situation.
• The part of the loss paid by the company (the excess): you can get cheaper insurance if you agree to pay the
first £x of any claim.
• The part of the loss which is above the limits of the contract: there is often an upper limit to an insurance
claim. The claimant pays if the loss exceeds that figure.

4.3 Risk Management
• The person or company is unable to pay full compensation: obtaining the cheapest insurance cover may not
be sound economy if your losses put them into bankruptcy.
Risk Transfer
Transfer involves transferring the risk to another party such as by insurance; the loss is financed from funds that
originate outside the organisation. The second main way is to engage a contractor who will take on the risks.
• Insurance
How can you reduce insurance premiums? One way is to retain losses; another way is to accept a voluntary excess
on insurance premiums and control losses.
Advantages of insurance are that the:
–– Loss will be dealt with smoothly. There will be a few forms to fill in and enquiries, but the procedures are well
known.
–– Cash is available. The insurer can get hold of the funds quickly, though will perhaps not release them as
quickly as you would like.
–– Insurers can provide advice. They are dealing with this type of problem all the time and can help you to
decide what is best.
• Use of Specialist Contractors
Sometimes, the best way of avoiding a hazard is to make use of specialist contractors, e.g. for the removal
of asbestos. In this way, the hazard is avoided by employees and the task is carried out professionally, and in
compliance with current legislation. A reputable company with suitably trained personnel and a good safety
record should be used.
Risk Sharing
Risk management is really a type of risk sharing and involves financing risks that are manageable and transferring
those that are not.
Methods include:
• A deductible portion of excess – you pay the first part of each claim.
• Re-insurance.
• Co-insurance – the insurer pays a percentage of the claim. This is
another way of reducing a premium. You share the risk with the insurer
by paying not only an excess but a percentage of the losses which fall
within a certain price range, paying another percentage of those in
another range, and the insurer paying all losses above a set figure.
An Important Point
A good risk manager will:
• Not insure where they have eliminated a risk.

A good risk manager will make savings
• Consider very carefully those areas where they have significantly in the area of insurance
reduced the risk.
• Pay for the retained risks where it is cheaper than insuring.
However, if they ask for insurance for just some risk, the insurer is going to be wary. They are only using insurance as a
last resort, so there must be a problem they cannot solve.

Risk Management 4.3
Circumstances When Each of the Above Strategies Would be Appropriate

• Risk Avoidance
If risks can’t be managed to an acceptable level, it might be necessary to not proceed with the activity. The
choice of avoiding an activity is limited in certain business sectors where there could be regulatory obligations to
provide certain services. If the costs of achieving a project are too high due to necessary risk control, then the only
response might be to end the project. However, risk avoidance as a business option should not be confused with
risk aversion, where sensible risk management has not been applied and the risks have been incorrectly assessed.
• Risk Retention
The risk is retained in the organisation where any consequent loss is financed by the company. Risk retention
with knowledge means that there is no further action planned to deal with it, perhaps because there are no
control options available or because the only options are unacceptable or cannot be implemented yet. Risk
retention is a conscious decision based on the findings of the risk evaluation process but should be kept under
review in case circumstances change.
Risk retention without knowledge because of a failure to identify or appropriately manage risks is not a viable
option since it is a consequence of an ineffective risk assessment system.
• Risk Transfer
This refers to the legal assignment of the costs of certain potential losses from one party to another, the most
common way being by insurance. It is also possible to transfer the whole risk to another organisation but there is
still the possibility that the organisation to which the risk is transferred might not manage the risk effectively. In
practice, risk transfer tends to be used in conjunction with one or more of the other risk management options.
• Risk Reduction
Here, the risks are systematically reduced through control measures, according to the hierarchy of risk control.
This is the most common way to manage risks and aims to reduce the likelihood and/or severity of undesired
consequences through preventive measures and/or contingency plans.
Factors to be Considered in the Selection of an Optimum

Solution Based on Relevant Risk Data
The selection of the optimum solution must take into account the type of organisation and the relevant risk data. The
risk assessment will be a vital part of the exercise. If the probability is high and the severity is also high, then it will be
important to do a great deal and spend a lot of finance to achieve a valid solution. If the probability or the severity is
low, then it will not warrant too great an expenditure.

4.3 Risk Management
Study the following table carefully:
Probability Severity Action

Definite High Eliminate
Medium Fund (cheaper than insurance)
Low No action – operating expense
High High Eliminate or reduce probability or severity
Medium Reduce severity
Low Retain as an operating expense
Medium High Reduce severity
Medium Reduce severity or transfer
Low High Fund or insure
Medium Fund

Remote Catastrophic Insure, or fold company
High Fund, insure, or fold company
Medium Fund or retain as an expense
Low No action
Other important factors include:
• Present State of Technology

With technology evolving all the time, new solutions become available; as computers have improved, the price
of this technology has reduced. The health and safety professional must keep up-to-date with technology and
consider how it can contribute to safety solutions.
• Public Expectancy
After a disaster, a journalist often asks: ‘Can you guarantee that
nothing like this will ever happen again?’ Remember that human
beings make mistakes, and no machine is infallible. Earthquakes occur
without warning, and we can do little to control the effects of freak
weather.
A major problem is that the general public is never realistic in

assessing relative risk. Car accidents cause more deaths than public
transport, but seldom hit the national headlines. Atomic energy is
probably one of the safest power sources. Most deaths are from ‘Can you guarantee that nothing like
cancer, heart disease and stroke, and very few are from industrial this will ever happen again?’
causes. Most people would make a poor job of rating industries by
their accident potential.

Risk Management 4.3
• Legal Requirements
‘Learning by accident’ is an apt way of describing how safety legislation has been developed over the years.
Industrial accidents and disasters are the basic reason for much of British legislation. Mines and factories were the
cause of fatalities, so legislation was enacted to control them. Now legislation is more general. This sets standards
that have to be adhered to; these are the basis of minimum standards. The selection of controls will need to
consider both criminal law and civil law. UK Regulations made under the Health and Safety at Work, etc. Act
1974 set out minimum standards for control of machinery, chemicals, electricity, radiation, etc. There may also
be contractual obligations that have to be met and will determine standards of control. The need for employer’s
liability insurance may require insurance companies to dictate the standards of health and safety in the workplace
that need to be achieved before insurance cover is provided.
• Economic State of the Company

The economic state of the company is no excuse for not meeting legal standards – it can be used as a reason for
not going for a higher standard. It is not good economic sense to skimp on safety, since all accidents produce
a loss. However, a company with vast profits can afford to spend more than one with financial restraints.
Companies’ economic goals will influence the approach to risk control. These may range from simple cost-
covering to survive, to profit maximisation. Risk management must balance the cost of controls against the
estimated reduction in potential loss from risks.
• Levels of Insurance Premiums

Premiums are set by the level of claims. The insurance company is in business to make a profit. Good companies
pay their premiums and do not make claims; it is the bad companies who benefit from insurance. If the premiums
are reasonable then it is better to take the precaution of insurance. However, if premiums become excessive then
it will be better to retain the risk. One person may insure their car comprehensively, because they can get a cheap
rate and a 70% no-claim discount. Another person may settle for third party, fire and theft because the premium
for comprehensive is almost the same as the value of the car.
• Confidence of the Company in the Benefits of Risk Management and in the Competence of the Risk
Manager
A good company, with good control of risk, will opt to retain risk rather than insure or transfer the risk. As the
situation and the confidence improve, there will be increased movement toward this method of solution. If the
company is able to use a captive insurance company, there will be less reliance on outside risk transfer.
• Human Factors
Accidents and incidents have an associated direct cost but can also influence the culture of the organisation.
Frequent loss-making events can have a bad effect on morale, which can lead to reductions in efficiency and
higher overall costs. Consequently, a wish to improve industrial relationships can influence the approach to risk
control measures.

4.3 Risk Management
The Principles and Benefits of Risk Management in a Global

Context
All activities involve risk, therefore organisations have to manage risk by identifying it, analysing it and evaluating
whether the risk needs to be controlled in order to satisfy their risk criteria.
TOPIC FOCUS
BS ISO 31000:2018 Risk Management – Guidelines sets out the following principles of effective risk management:
(a) Risk management is an integral part of all organisational activities.

(b) A structured and comprehensive approach to risk management contributes to consistent and comparable
results.
(c) The risk management framework and process are customised and proportionate to the organisation’s
external and internal context related to its objectives.
(d) Appropriate and timely involvement of stakeholders enables their knowledge, views and perceptions to be
considered. This results in improved awareness and informed risk management.
(e) Risks can emerge, change or disappear as an organisation’s external and internal context changes.
Risk management anticipates, detects, acknowledges and responds to those changes and events in an
appropriate and timely manner.
(f) The inputs to risk management are based on historical and current information, as well as on future
expectations. Risk management explicitly takes into account any limitations and uncertainties associated
with such information and expectations. Information should be timely, clear and available to relevant
stakeholders.
(g) Human behaviour and culture significantly influence all aspects of risk management at each level and stage.
(h) Risk management is continually improved through learning and experience.
The benefits of risk management to an organisation are self-evident in terms of loss prevention and business
disruption, but there are a number of specific benefits that can be used to support it at an organisational level:
• Increased likelihood of achieving objectives.

• Encouragement of proactive management.
• Improved identification of opportunities and threats.
• Compliance with relevant regulatory requirements.
• Improved governance, stakeholder confidence and trust.
• A reliable basis for decision-making and planning.
• Improved risk control, loss prevention and incident management.
• Effective allocation and use of resources for risk control.
• Improved operational effectiveness and efficiency.
Enhanced health and safety
• Enhanced health and safety performance. performance is just one of the benefits
of risk management

Risk Management 4.3
Organisations with multiple locations worldwide still need to consider how they intend to manage risk and the
associated benefits, but face the challenge of how to manage safety across their global sites where standards and local
conditions may vary considerably.
Large multinational organisations may decide to consistently apply the principles and seek the benefits examined
earlier by adopting the same Safety, Health and Environmental (SHE) management standards for all of their locations
globally. One benefit of this approach is that it is easier to audit (one company, one standard) and allows comparisons
to be made across global sites.
Other organisations may decide simply to only comply with the local SHE standards. This is likely to be a more cost-
effective approach, and also legally compliant, but the standard to be achieved may be lower.
STUDY QUESTION
5. What are the main risk management strategies?

Summary
Summary

4.1: Hazard Identification Techniques
In this section, we have identified:
• Various techniques can be used to detect hazards, including: task analysis, checklists, observations and incident
reports.
• A checklist, which lists the key issues to be monitored, is developed to ensure a consistent and comprehensive
approach is used to check that all the safety elements will be covered during an inspection.
• The analyst should make an observation of the work being done, including work undertaken by groups of
operators.
4.2: Managing Health and Safety Risks

In this section, we have explained the principles of implementing and maintaining a sensible risk management
programme. Specifically, we have identified:
• Qualitative – risks are represented by simple word descriptors.

–– Risk = probability (or frequency) × consequence (or harm or severity).
–– Probability is the chance that a given event will take place.
–– Severity of risk is the outcome.
• Semi-quantitative – results represented by qualitative and quantitative descriptions. In some, the risk is expressed
as a number which indicates rank and not an absolute value.
• Quantitative – risks are represented by the frequency or probability of a specified level of harm, from a specified
activity.
• Dynamic – apply to work activities that involve changing environments and require quick mental assessments to
manage risks.
• The choice of control measures adopted should take account of:
–– Use in the long or short term.
–– Applicability.
–– Practicability.
–– Cost.
–– Proportionality.
–– Effectiveness.
–– Legal requirements.
–– Competence/training needs.
• Organisational arrangements for risk assessment include:
–– Plan – what you want to achieve, who will be responsible for what, how you will achieve your aims and how
you will measure your success.
–– Do – identify your risk profile, organise your activities to deliver your plan.

Summary
–– Check – measure your performance, assess how well the risks are being controlled and investigate the causes
of accidents, incidents or near-misses.
–– Act – review your performance and take action on lessons learnt, including from audit and inspection reports.
4.3: Risk Management

In this section, we have identified what should be considered in a risk management strategy for an organisation, and
discussed:
• Organisational risk profiling; it is essential that senior management understand the threats to the organisation,
especially the health and safety risks and the strategies used to mitigate the risks.
• Integration of health and safety with business risks will ensure that safety is considered at the outset and not
considered an inconvenience or afterthought.
• The common risk management strategies are:
–– Avoidance or elimination.
–– Reduction.
–– Transfer.
–– Retention with/without knowledge.
• Risk management should be considered in a global context.


Learning Outcome 5
• Develop and implement proactive and reactive health and safety monitoring systems and
carry out reviews and auditing of such systems.


Contents
Loss Causation and Quantitative Analysis of Data 5-3

The Underlying Principles Connecting Causes with Outcomes 5-3
Loss Causation Theories/Models, Tools and Techniques 5-5
Root Cause Analysis Tools 5-9
The Quantitative Analysis of Accident and Ill-Health Data 5-14
Measuring and Monitoring 5-17

The Meaning of Key Performance Indicators and Their Role in Setting Business Objectives 5-17
Types, Benefits and Limitations of Leading and Lagging Indicators 5-18
The Assessment of the Effectiveness and Appropriateness of Health and Safety Objectives and Arrangements 5-19
Making Recommendations, Based on Performance, for the Review of Current Health and Safety
Management Systems 5-22
The Benefits of Measuring What Goes Right (Proactive Safety Measurement) 5-22
The Distinction Between, and Applicability of, Active/Reactive, Objective/Subjective and
Qualitative/Quantitative Performance Measures 5-23
Health and Safety Monitoring and Measurement Techniques 5-25
Collecting and Using Sickness Absence and Ill-Health Data 5-26
The Role, Purpose and Key Elements of Health and Safety Monitoring and Measuring Techniques 5-28
The In-House Health and Safety Professional’s Role in Audits Carried Out by External/Third Parties 5-30
Comparison of Previous Performance Data 5-31
Use and Benefits of Benchmarking 5-32
Reviewing Health and Safety Performance 5-32
Summary 5-35

Loss Causation and Quantitative Analysis of Data 5.1
Loss Causation and Quantitative Analysis of Data

IN THIS SECTION...
• Explain different types of loss causation theories/models, tools and techniques, and how loss data can be
analysed.

The Underlying Principles Connecting Causes with
Outcomes
There is no shortage of data on incidents, such as accidents or near-misses. Some researchers have studied the figures
in detail and concluded that there appears to be a relationship between the numbers of different types of accidents.
F. E. Bird used accident data to produce the following accident triangle:
Bird’s accident ratio triangle
Other researchers have produced similar accident ratio triangles:
Labour Force Survey 1990 Reporting of Injuries, Diseases and

Dangerous Occurrences Regulations
2013 (RIDDOR) classifications

5.1 Loss Causation and Quantitative Analysis of Data
Heinrich’s accident triangle
The actual figures vary between the different accident triangles but the important thing to note is that, for every
major incident or fatality, there are many more less-serious or near-miss incidents:
• Whilst not every near-miss or minor incident involves risks which could actually have led to a serious incident or
fatality, most incidents with the same causes have a range of possible outcomes.
• There is an underlying randomness to outcomes. It is invariably a matter of chance whether a given event results
in injury, damage or a near-miss, i.e. near-misses could so easily become more serious incidents.
• More severe incidents will happen sooner or later if you leave it to chance, and therefore near-miss or less-serious
incident data can be a useful predictor of accident potential.
• All events are due to failure to control – so we can learn from even minor incidents.
As a health and safety professional, you will probably have experienced the relief we feel when a near-miss occurs
which could have been catastrophic but on this occasion it wasn’t, we “got away with it”.
The UK’s HSE publication Investigating accidents and incidents (HSG245) stresses the importance of remembering
that feeling of relief, and investigating with the potential incident in mind and not the actual outcome that was
experienced on the day. For example, if a pipe fails and chemicals are sprayed over the room, narrowly avoiding the
worker, don’t consider that a near-miss, brush it off and continue, as that could have just as easily been a catastrophic
incident and therefore needs to be investigated with that level of rigour. This can be a challenge in established
organisations where that has been the norm for some time, so clearly defining expectations in terms of reporting
standards can be useful.
MORE...
The HSE publication Investigating accidents and incident (HSG245) is available to download from:
www.hse.gov.uk/pubns/hsg245.pdf
In order to prevent more serious incidents, emphasis should be placed on identifying and addressing the root causes
of incidents; all too often the solutions that are implemented are sticking plasters which address the symptom but not
the root cause and then incidents recur later. Root cause analysis is covered later in this Learning Outcome, but as an
illustration consider an operator receiving a cut on their hand when using a blade. It may be easy to identify that the
operator should have been wearing cut resistant gloves, they may well tell you this themselves and vow to wear them
in the future, but is that the root cause? This particular worker may in future always remember to wear gloves, but
their colleagues might not. The root cause is the “why” – the management or system failings that allowed the event
to occur, and correcting this keeps everyone safe, not just the individual worker.

Limitations
A final note on the accident ratio data studies, such as Bird’s triangle, is that the data from these triangles has a
number of limitations that you need to think about before trying to apply it:
• There can be inaccuracies in the statistics and data gathering; some minor events may go unreported; some high
potential incidents could be seen as trivial, and as we have seen not every near-miss or minor incident involves
risks which could actually have led to a serious incident or fatality.
• The most effective way to use the ratio studies is as a guide, rather than rigorously using the stated ratios. Obtain
your accident numbers for each category then compare your “triangle” to see if you do indeed have a triangle, or
if you have a different shape altogether! If the shape obtained isn’t a triangle, look at which level is out of line and
take action to improve reporting in those areas in particular. The data does have to also be statistically significant;
you need a certain amount of representative data for a meaningful comparison between your workplace and
industry as a whole.
• Many of the basic accident studies consider “operator error” as a cause of the incident, and whilst this may in
part be true, it is somewhat limited in its usefulness. A better question would be “why has the operator made the
error?” and take steps to address the management failures that enabled that. This will be covered more in root
cause analysis later.
• Incidents in these models are usually seen as a linear sequence of events stemming from a single cause: this is
limited as we know most accidents are in fact multi-causal in nature.
Loss Causation Theories/Models, Tools and Techniques

Domino and Multi-Causality Theories
One of the duties of the safety professional is to keep details of accidents and ill-health conditions and carry out
investigations. The law requires certain accidents and occupational diseases to be reported. Often, the information
that is recorded at the time of an accident is not adequate for the purpose of investigation into the cause, and so is
certainly inadequate for the purpose of preventing the accident happening again.
For example, the report form may ask for the nature and cause of the injury. This could be written as:
• Nature of injury – cut finger.

• Cause of injury – caught on a sharp piece of metal.
The safety professional needs to know a lot more than this, such as:
• Which finger?
• How serious was the cut?
• Was this part of the normal job?
• Should it have been sharp?
• Should it have been there?
• How should it have been handled?
A good starting point in investigations is to consider the two basic theories for accident causation.
(Note that domino theory presents a simplified model, which considers only one cause of an accident; whilst this is
not in the NEBOSH syllabus, it is briefly covered in order to better explain multi-causal theories.)

Single Cause (Domino) Theory

According to Heinrich:
“A preventable accident is one of five factors in a sequence that results in an injury. The injury is invariably caused by an
accident and the accident in turn is always the result of the factor that immediately precedes it.”
Source: Heinrich, H.W. Industrial accident prevention: A scientific approach, McGraw-Hill, New York (1931)
The analogy drawn is that an accident is caused in the same way that a row of dominoes topple – one event triggers
the next which leads in turn to the accident. The only way to stop the accident is to remove a domino from the chain.
This work was then expanded on by Bird and Loftus and the model
changed, but the theory remained the same: accidents are caused by a
single chain reaction and in order to prevent the incident the chain of
events needs to be broken. Since this work however, professionals have
concluded that most accidents are not caused by a single event and are
in fact multi-causal in nature, and therefore this is the model of accident
causation we will focus on.
Multi-Causal Theories
There may be more than one cause of an accident, not only in sequence, but occurring at the same time. For
example, a methane explosion requires:
• Methane in the explosive range of 5% to 15%.

• Oxygen, or air.
• Ignition source.
The ignition will only happen if these three events occur together. Each of the three events may, in themselves, be the
end result of a number of different sequences of events. In accident investigation, all causes must be identified.
Usually simple accidents have a single cause, which is why such events occur so frequently; but the consequences tend
to be of a minor nature. A major disaster normally has multiple causes, with chains of events, and combinations of
events. Fortunately, they are rare occurrences.
The multi-causal model considers that there may be organisational, cultural, managerial, (etc.) causes that interact and
result in an accident. The model is more complex than the single cause domino theory and can be used not only for
accident investigation, but also to prevent accidents if the outcomes of monitoring activities are analysed. The model
can also be linked to more advanced analysis techniques, such as fault trees and event trees. The downside is that they
are more complex and therefore take longer to carry out.
Immediate, Underlying and Root Causes

There are various ways of classifying accident causes. When analysing accidents, it is common to distinguish between
immediate causes and underlying causes. The latter are also sometimes called root causes. The term used can vary
but the most important thing to remember is to look beyond the symptoms of the accident. You need to dig down
beyond the obvious (immediate) causes to discover why it happened, or why it was allowed to happen. Usually, an
accident occurs as a result of multiple chains of events; following these back will lead to underlying causes, tackling
which can stop similar accidents happening again.
For definitions of immediate, underlying and root causes we will look to HSG245:
• Immediate cause: the most obvious reason why an adverse event happens, e.g. the guard is missing; the employee slips, etc.
There may be several immediate causes identified in any one adverse event.

• Underlying cause: the less obvious ‘system’ or ’organisational’ reason for an adverse event happening, e.g. pre-start-up
machinery checks are not carried out by supervisors; the hazard has not been adequately considered via a suitable and
sufficient risk assessment; production pressures are too great, etc.
• Root cause: an initiating event or failing from which all other causes or failings spring. Root causes are generally management,
planning or organisational failings.
Source: Investigating accidents and incidents: A workbook for employers, unions, safety representatives and safety professionals
(HSG245), HSE, (hse.gov.uk)
We will now look at unsafe acts and conditions in more detail.
An unsafe act is human performance which is contrary to accepted safe

practice and which may, of course, lead to an accident. Unsafe conditions
are basically everything else that is unsafe after you take away unsafe acts.
So, this is the physical condition of the workplace, work equipment, the
working environment, etc., which might be considered unsafe and could
therefore foreseeably lead to an accident if not dealt with.
Note that an unsafe act or unsafe condition could alone result in an

accident. For example, ‘messing around’ is an unsafe act which could take
place in otherwise safe conditions, but could nevertheless result in an A collapsed floor could lead to a worker
accident. Similarly, a person could be working in a perfectly safe manner, being injured
using safe equipment and materials, but suffer injuries as a result of the
collapse of a floor riddled with woodworm and dry rot. (You could argue, however, that the collapse of the floor was
due to an unsafe act, i.e. failure to inspect the floor and supporting joists and to calculate the floor loadings.)
The faults themselves generally arise because of inappropriate attitudes, lack of knowledge or skill, or physical
unsuitability.

Reason’s Model of Accident Causation
TOPIC FOCUS
Latent and Active Failures
Rather than using the words ‘immediate’, ‘underlying’ or ‘root’ causes, the terms ‘latent’ and ‘active’ failures are
also commonly used.
Following research into a series of disasters, James

Reason (an occupational psychologist) has developed
a model of accident causation for organisational
accidents. An organisational accident is rare, but if
it happens, it often has disastrous consequences
(e.g. Piper Alpha, 1988). Reason’s model shows that
organisational accidents do not arise from a single cause
but from a combination of active and latent failures.
In the model there are a series of defence barriers

between the hazard and a major incident. These not
only prevent the incident (e.g. containment of the
hazard, safe operating procedures, etc.) but also provide
warning of danger (e.g. an alarm) and mitigate the
consequences (e.g. means of escape). These multiple
layers characterise complex technological systems, such
as a chemical plant.
However, the barriers are not perfect and can be

defeated.
Active failures are one cause for the barriers to be Adapted version of Reason’s model of accident
defeated. causation
Active failures are those unsafe acts which have immediate effects on the integrity of the system and are usually
committed by those directly involved in the task. Such individuals often suffer directly as a result of the incident
and may often be blamed as well. The cause of the failure will be due to an error (accidental) or a violation
(deliberate). Such unsafe acts are made regularly but few will cause the defences to be penetrated, an example
being the chemical plant operator who opens a valve allowing a hazardous substance to escape.
The model then shows that the local workplace factors influence the chance of an unsafe act occurring. In
the case of the hazardous substance escape, this may be due to a lack of supervision or training, maintenance
failure, unworkable procedures, etc.
According to the model, the local workplace factors are affected by decisions made at a strategic level by senior
management, government, regulators, manufacturers, etc. In the case of senior management, this might be a
lack of recognition of the importance of occupational health and safety, which will be reflected in the culture of
the organisation by the behaviour that is considered acceptable. The management may give safety a low priority
with no commitment and minimal funding. These failures at strategic levels, both in the organisation and the
external environment, are described as latent failures because they remain dormant and possibly unrecognised
until they interact with local factors, unsafe acts and work environments, and increase the likelihood of an active
failure.
When the gaps created by active failures align with those created by the latent conditions, the opportunity
exists for a serious outcome.

Swiss Cheese Model
Swiss cheese model
In the Swiss Cheese model, an organisation’s defences against hazards are modelled as a series of barriers,
represented as slices of the cheese. The holes in the cheese slices represent weaknesses in individual parts of the
system, and are continually varying in size and position in all slices. The system as a whole produces failures when
holes in all of the slices momentarily align so that a hazard passes through holes in all of the defences, leading to an
accident.
Root Cause Analysis Tools

‘5 Whys’
The ‘5 Whys’ model is a brainstorming technique in which you start with the incident and ask “why?”. The thought
process is drawn as a mind map or a causation tree but simply captures the responses to the question ‘why?’ as a
chain. (Note: there doesn’t have to be 5 ‘whys’, there may be more or less depending on the questions asked.)
For example:
Dave fell from the scaffold (the incident) – WHY?
1. Because there was no guard rail on that bit – WHY?

2. Because it had been removed to allow a load to be lifted up – WHY?
3. Because loading is done by telehandler – WHY?
4. There was no lift – WHY?
5. Lifts are expensive.
Going back to the incident again:
Dave fell from the scaffold (the incident) – WHY?
1. Because he wasn’t clipped on to the scaffold – WHY?

2. Because harnesses aren’t always worn – WHY?
3. Because they are seen as awkward and slow the job down – WHY?
4. Because there is pressure to get to the next job.

Traditionally, the safety professional would identify that the harness wasn’t worn, conclude that this was the fault of
the worker and discipline the individual. A better approach would be to ask why the worker feels such time-pressure
and reinforce that safety is more important; perhaps reviewing with management to understand whether the pressure
is real or perceived, and what can be done to address it.
Simply put, this is the technique children use to find out about the world. Anyone who has spent any time looking
after young children also knows there can be MANY more than 5 whys!
Cause
Cause
Cause
Cause Cause
Incident
Cause
5-Whys Model
Fishbone Diagram
Fishbone (or Ishikawa) diagrams are another tool used to visualize the causes of a problem and from there, identify
root causes. They are called ‘fishbone’ as when drawn, the main structure looks like a fish skeleton.
The problem is first defined and that is drawn at the head of the fish.
A long arrow is drawn as the backbone with main spines running from the backbone. These will be the broad
causes of the problem. Suggested standard causes can be used, such as: Person; Materials; Equipment; Methods;
Measurement; and the Working Environment. These can be anything that the team feel to be relevant, and can of
course be added to.
The team then brainstorm causes, which are added to the spines and root causes are then identified.

Person Material Equipment

Cause
Cause Cause
Cause
Incident
Measurement Methods Working

Environment
Fishbone Diagram
Fault Tree Analysis

In many cases, there are multiple causes for an accident or other loss-making event. Fault Tree Analysis (FTA) is one
analytical technique for tracing the events which could contribute. It can be used in accident investigation and in a
detailed risk assessment.
The fault tree is a logic diagram based on the principle of multi-causality, that traces all branches of events which
could contribute to an accident or failure.
A fault tree diagram is drawn from the top down (like an upside-down tree). The starting point is the undesired event
of interest (called the Top Event because it gets placed at the top of the diagram). You then have to logically work out
(and draw) the immediate and necessary contributory fault conditions leading to that event. These may each in turn
be caused by other faults and so on. Each branch of the tree is further developed until a primary failure (such as a root
cause) is identified.
‘Or gates’ and ‘and gates’ are used when structuring a FTA. Simply put, when drawing the tree ask: ‘Do you need A
AND B AND C for that to occur? Or is it A OR B OR C?" Once you decide, draw the appropriate ‘gate’ as shown in
the following diagram.

Fire
and
Ignition
Fuel Oxygen source
or or
Discarded
Paper Petrol Plastic cigarette Electrical fault Deliberate
FTA of a fire
Event Tree Analysis

Unlike identifying the root causes of an event under consideration, Event Tree Analysis (ETA) is concerned with
identifying and evaluating the consequences following the event. In FTA, the main event is called the Top Event,
whereas in ETA it is called the Initiating Event.
Event trees are used to investigate the consequences of loss-making events in order to find ways of mitigating, rather
than preventing, losses. The stages involved in carrying out an ETA are:
• Identify the Initiating Event of concern.

• Identify the controls that are assigned to deal with the Initiating Event, such as automatic safety systems, and
other factors that may influence the outcome, such as wind direction or presence of an ignition source that would
be important if there was an escape of a large amount of liquefied petroleum gas.
• Construct the event tree beginning with the Initiating Event and proceeding through the presence of conditions
that may exacerbate or mitigate the outcome. Unlike the Fault Tree, for each control there are only two possible
outcomes, success or failure, so the control either operates as intended or it doesn't.
• Establish the resulting loss event sequences.
• Identify the critical failures that need to be dealt with.
• Quantify the tree (if data is available) to identify the likelihood or frequency of each possible outcome.

Fire Fire alarm Sprinkler

detected? works? works?
Limited
damage
Yes
Yes No Extensive
damage
No Limited damage
Wet people
Yes
Yes
Fire No
No Possible fatalities
Extensive damage
Bowtie Model
FTA is concerned with analysing faults which might lead to an event, whereas ETA considers the possible
consequences once an undesired event has taken place. Both can be combined into a bowtie diagram (illustrated
below), where faults (initiating events) lead to a critical event (a flammable gas release, for example). The critical
event (release) then generates consequences which need to be mitigated through the use of barriers designed to
prevent catastrophic fire and explosion.
The concept of risk control barrier models relies on placing barriers between the event and its results, or placing a
barrier between the hazard and its realisation.
An example given by the UK’s Health and Safety Executive (HSE) in the Offshore Information Sheet No 3/2006
illustrates the concept of using barriers in a bowtie diagram, which represents all of the initiators of the scenario and
the consequences. Between the initiators and the consequences, barriers are placed that should prevent, control or
mitigate the outcome of the event. In this case, such barriers are known as Lines Of Defence (LOD) or Layers Of
Protection (LOP).

1a M3
M2
2a M1
INITIATING EVENTS
CONSEQUENCES
RELEASE
3a
4b
4a
Example Mitigation Barriers:
Example Prevention/Control Barriers:
• Detection system
• Plant layout
• Emergency Shut Down(ESD )
• Construction standards
• Active protection
• Inspection
• Passive protection
• Instrumentation • Escape, Evacuation and Rescue (EER)
Relationship between FTA and ETA (‘Bowtie’ model)
Source: Offshore Information Sheet No.3/2006, Guidance on risk assessment for offshore installations, HSE, 2006 (www.
hse.gov.uk/offshore/sheet32006.pdf)
Reference numbers can be assigned to barriers which are common to several event initiators for a particular scenario
(see barrier 1a in the diagram, which comes between two initiators and the release) as well as those common to
several scenarios.
The Quantitative Analysis of Accident and Ill-Health Data

The Impacts that Statistics can Have on an Organisation and
Organisational Reputation
Organisations are facing significant focus on health and safety performance, and this typically manifests as a
requirement to report on health and safety statistics as part of a contract approval or tender process. The level of
engagement frequently depends upon the sector in which you are working; for example, the oil and gas industry is
renowned for having high standards of health and safety and for demanding this from their suppliers. Of course any
emphasis on statistics can bring with it a temptation to “fiddle the figures”, and at that point the whole process falls
down, as it relies on the data being accurate and the person interpreting it understanding what “feasible” data looks
like! It would be all too easy to decide that an organisation is “bad” because there are some minor injuries and lots
of near-misses reported, especially when compared to another who seems to have a perfect track record with few
incidents reported, but which feels right? A better health and safety professional may talk to the first organisation to
understand the nature of the incidents and the action carried out to address them, rather than writing them off as a
poor company.

Methods of Calculating Loss Rates from Raw Data
DEFINITIONS
INCIDENCE
Reflects the number of new cases of a particular event in a population over a given time (e.g. a year) and is
often used to describe accidents as each accident is a ‘new’ event.
PREVALENCE
The total number of cases in a particular population as a proportion of the total population. It is often used to
represent ill-health statistics and reflects not only new cases but also those who continue to suffer.
In making comparisons between various industries, or between work areas in the same factory, it is useful to consider
the commonly used injury ratios.
TOPIC FOCUS
Accident Frequency Rate
Number of work-related injuries
× 100,000
Total number of worker-hours worked
It is a measure of the number of accidents per 100,000 hours worked.
Accident Incidence Rate

× 1,000
Average number of persons employed
It is a measure of the number of injuries per 1,000 employees measured over a defined period (e.g. a year).
Accident Severity Rate

Total number of days lost
× 1,000
It is a measure of the average number of days lost per 1,000 hours worked and gives the average number of
days lost per accident.
Ill-Health Prevalence Rate

Total number of cases of ill health in the population
× 100
Number of persons at risk
The calculation gives the percentage of the population with the disease.

The Limitations of Accident and Ill-Health Data

Data is incredibly useful, but as anyone who has watched election results and been amazed will understand it is prone
to error and misuse. Obviously the first limitation with accident data is that it is too late: there has already been a
negative or loss-event and we are unable to take that away. The best we can hope to achieve is learning from it in
some way.
The next point to consider is whether the source data is accurate: do you trust what you are being told? Accident and
ill-health data-gathering errors can occur due to under-reporting and poor characterization of incidents (e.g. different
interpretation of what is a “lost-time” incident).
You do, however, have to be cautious when interpreting statistical data. For example, before elections, polling
companies try to predict the outcome of the poll. It is not practical to ask everybody who is eligible to vote, so they
have to identify a much smaller sample that is chosen at random, to ensure it is characteristic of the whole population
eligible to vote. If the sample is suitably representative, then this should give a good indication about the outcome of
the election.
However, it is never possible to say with certainty whether or not the sample is perfectly representative of the
population, so there is the opportunity for error. One cause of such error is the sample being too small and not
accurately representing the range of features of the much larger population. The larger the sample, the better.
Two health and safety examples where the use of representative samples would be beneficial are:
• To design a chair ergonomically suitable for workers on a production line, we would need to have data relating to
the physical features of workers, such as height, weight, length of leg, etc., so that the chair would be suitable for
the majority of persons we might wish to employ and would not unfairly discriminate against those who do not
have average characteristics.
• Organisations may wish to measure the safety climate, a feature which reflects the safety culture. If it was not
possible to survey everybody, then we could get a good indication by identifying and surveying a representative
sample of the workforce.
A final consideration is the sample size; there needs to be a statistically significant sample in order for the data to be
meaningful. In a simple example, if looking at the online rating for a product or a hotel for example, it is important to
look not only at the star rating awarded overall but the number of reviewers: would you feel more confident with a
4 star rating reviewed by 5,000 people or a 5 star rating reviewed by 10 people? It is the same with health and safety
data – don’t leap to conclusions based on one or two data points, you do need more data in order to be confident
that what you are being told is correct. Therein lies the problem – hopefully organisations won’t have hundreds of
injuries each year, but the data presented from near-misses and hazard spotting should be in much higher volumes
and be more effective in predicting where there are areas for improvement.
STUDY QUESTIONS
1. According to Reason, what in an organisation are ‘latent failures’?
2. What important principle of accident causation theory do accident ratio studies illustrate?
3. In a factory with 20 employees, there were eight work-related injuries recorded over a period of a year. In a
year, employees work for 38 hours a week for a total of 47 weeks. Calculate the accident frequency rate.

Measuring and Monitoring 5.2
Measuring and Monitoring

IN THIS SECTION...
• Outline the purpose of health and safety performance measurement, monitoring and review.

The Meaning of Key Performance Indicators and Their Role

in Setting Business Objectives
Key Performance Indicators (KPIs) are quantifiable measures that
an organisation can use to assess the degree to which strategic and
operational goals have been met. They focus on aspects of performance
that are the most critical for the current and future success of the
organisation. To be effective, they need to be measured frequently,
should be easy to understand in terms of corrective action that needs to
be taken, and of relevance to the senior management team. KPIs reflect
the issues which matter to an organisation, so can be a quick indicator
of culture: if there are only productivity KPIs but no quality metrics, then Attendance at a meeting can be used as
the conclusion could be that quality isn’t important, in the same way the a KPI
presence of safety KPIs can demonstrate that safety does matter to the
business. These metrics will then be cascaded through individual targets
and so will be considered of equal importance as other business metrics by managers and employees alike.
The choice of KPIs depends on what is important to the organisation, but examples that might be used as a measure
of health and safety performance may include:
• Employee perception of management commitment.

• Number of safety inspections per month.
• Number of non-conformances with legal or internal standards in safety inspections.
• Percentage of attendance at health and safety committee meetings.
• Percentage of health and safety committee recommendations implemented.
• Percentage of issues raised by health and safety representatives actioned.
• Percentage of staff with adequate occupational health and safety training.
• Total of hours in safety and health training in the month.
• Lost time due to accidents.
The important point is that the KPI should relate to a significant aspect of health and safety performance; those listed
above provide measures of management commitment, the effectiveness of the inspection system, health and safety
committees, and the training programme. Lost time due to accidents is also included as a reactive indicator.

5.2 Measuring and Monitoring
Types, Benefits and Limitations of Leading and Lagging

Indicators
Leading Indicators
Leading indicators involve precursors that may lead to an accident, injury or disease. They focus on improving
health and safety performance and reducing the probability of serious accidents. They can be used to monitor the
effectiveness of the health and safety management system before accidents, incidents and failures happen. They can
also be used to prevent or control their occurrence.
Leading indicators measure activities carried out to prevent and control injury. Examples include:
• Percentage of required process hazards analyses completed in a required time frame.

• Proportion of employees who have access to occupational health services.
• Percentage of tests of safety critical equipment completed within a required time frame.
• Number of field visits and communications carried out.
• Number of observations of behaviour and inspections conducted.
• Percentage of required risk assessments carried out.
• Percentage of required training completed.
• Percentage of incidents investigated with corrective actions applied.
Leading indicators are focused on future safety performance and continuous improvement. They are proactive in
nature and report what is happening on a regular basis to prevent injuries. Consequently, they should:
• Be predictive.
• Highlight even small improvements in performance.
• Measure positively what is being done, rather than negatively what is failing to be done.
• Generate frequent feedback.
• Make it clear what needs to be done to lead to improvement.
Lagging Indicators
Lagging indicators measure loss events that have already occurred. They
quantify an organisation’s safety performance in terms of past incident
statistics, such as numbers of incidents, reported accidents, incidences
of disease or failures of systems. Most industries use these indicators as
a measure of the outcomes of their management of health and safety.
However, they provide insufficient information to ensure the success of
the health and safety management process since they promote reactive
rather than proactive management.
Lagging indicators measure a company’s incidents in the form of past A reportable incident is a lagging
accident statistics, such as: indicator
• Injury frequency and severity.

• Incidents reportable to the regulatory body, such as lost time injuries and medical cases reportable under the US
OSHA requirements.

• Lost workdays.
• Worker’s compensation costs.
Lagging indicators are the traditional safety measure used to indicate progress toward compliance with safety rules.
They evaluate the overall effectiveness of safety by crudely measuring how many people have been harmed or what
things have gone wrong. The main limitation of only using lagging indicators of safety performance is that they tell
you what has gone wrong, but not how well the organisation is doing at preventing the occurrence of incidents and
accidents. The reactionary nature of lagging indicators makes them a poor measure of prevention. A low injury rate
can generate complacency when there are still plenty of risk factors in the workplace to contribute to future injuries.
Benefits and Limitations

Companies aiming at high standards of health and safety use leading indicators to drive continuous improvement.
Lagging indicators measure failure; leading indicators measure performance, and that is what needs to be measured.
Leading indicators highlight the positive aspects of an organisation and help to confirm that correct procedures are
in place. Conversely, lagging indicators highlight the number of negative issues that have occurred in an organisation,
such as the number of accidents or fatalities. Another key difference is the fact that leading indicators tend to be very
specific, focusing on particular aspects of a health and safety management system, whereas lagging indicators are
non-specific since the number of accidents or fatalities that may be reported could be due to all sorts of causes which
the indicator does not specify.
The Assessment of the Effectiveness and Appropriateness of

Health and Safety Objectives and Arrangements
Assessing the effectiveness of health and safety performance implies that we must first have both something that
can be measured, and some goal or standard against which to judge that measurement. As we mentioned in Learning
Outcome 1, health and safety management system models all require a policy statement. This policy statement should
be spelt out in clear objectives. At the very least, it should commit the organisation to compliance with legislation
(such as in accordance with the International Labour Organization’s (ILO’s) Occupational Safety and Health
Convention (C155)). It should also commit to continual improvement.
MORE...
The HSE guidance document INDG449 Health and safety made simple – The basics for your business is available at:
We need to set objectives in terms of things that can be measured.

A common statement is, ‘If it cannot be measured, there is very little
chance that it will be done’, so we need to state objectively what we
mean.
• Safe plant and equipment.

• Safe handling and use of substances.
• Information.
Safe handling and use of substances
• Instruction.
• Supervision.
• Training.
• Safe and healthy working conditions.

TOPIC FOCUS
A useful acronym to remember when 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 using a reasonable timescale to achieve them.
In many regions of the world, there are legal standards for chemical contaminants, dust levels and 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, an even lower
standard can be set so that we comply with the requirement to reduce the level to as low as possible.
Similarly, equipment needs to be tested periodically. For each piece of equipment, the type of test, the frequency of
testing, and the standard can be outlined.
It is possible to create standards for 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. For example, first-aid qualifications must typically be renewed at specified maximum
intervals (e.g. every three years or so).
We can illustrate the idea of creating standards by looking at the argument put forward at a mining safety conference
a few years ago: the chief safety engineer insisted that, for the coming year, they would set an objective of five
fatalities (maximum) for the coal-mining industry. They insisted that an objective of no fatalities, though desirable,
was not a practical one. If five was achieved, then the next year could be less. In the same way, there were targets for
other categories.
Measuring Performance Against Objectives

When setting objectives, we have to consider performance standards and indicators. It is easy to set and measure
production standards and there are also standards that can be set for safety and health. Safety sampling and similar
techniques can be used. The UK HSE document HSG65 suggests the use of two measuring systems with the main
purpose of measuring and rewarding success, not penalising failure:
• Active systems, which monitor the achievement of objectives and the extent of compliance with standards.
Examples would be monitoring the safety of plant and equipment, compliance with safe systems of work and safe
behaviour by employees.
• Reactive systems, which monitor accidents, ill health, incidents and other evidence of deficient health and
safety performance, such as hazard reports. Investigations into accidents should determine underlying causes,
weaknesses, any need for training, and changes or replacement required in machinery, substances or working
methods.

Arrangements for Actioning Objectives

Performance measurement involves assessing the effectiveness and appropriateness of these organisational matters. If
they do not work, they need to be made to work.
If every worker has a job specification with a list of tasks and duties that they are expected to achieve, it will be
possible to measure how effectively each worker has performed by measuring their objectives.
Periodically, there will be a review procedure and those who are filling a post but not performing a role may need to
be replaced. The safety committee should consist of active members. 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, so the committee
is more than just a ‘talking shop’.
The term ‘arrangements’ can also mean everything that is stated in this section of the employer’s safety policy. The
arrangements section usually includes such topics as:
• Accident reporting.
• Fire precautions.
• Training.
• Contractors and visitor arrangements.
• Dealing with any hazards in the operation (i.e. control measures).
Safe methods of work and permit-to-work schemes would also be detailed.
Control Measures
An assessment of the effectiveness and the appropriateness of the
control measures of a company is another important area of performance
measurement, although this may not be so easy to measure accurately.
Someone has to be in control of the organisation, but this control also
has to be delegated. Since one person is usually not able to complete the
whole task of achieving the safety objectives, it will have to be divided up
and some degree of control exercised:
• The formal control system can be either authoritarian or consultative.

To be effective, each person needs to know those areas where they Measurement is best achieved by
must conform to a predetermined plan and those areas where they systematic review
can exercise some discretion.
• There will also be an informal control system, where working groups establish and enforce the group norms. The
ideal situation is where the individual and group targets coincide with the organisational targets.
Measurement of the degree of control is probably best achieved by systematic reviews:
• A supervisor would carry out some form of daily assessment.

• The sectional manager would need to hold a monthly review.
• A quarterly review might be appropriate for a department.
• An annual review would be appropriate for the whole organisation.
Control will involve a review of performance, and the setting of modified objectives for the next period of time. It
is also the time to consider possible conflict situations and how these might be resolved, and any communication
problems.

Making Recommendations, Based on Performance, for the

Review of Current Health and Safety Management Systems
HSG65 details the Plan, Do, Check, Act method of safety management that should be adopted.
We are concerned here with the elements of measuring (Check) and reviewing performance (Act), key elements in
any system of management. To manage anything, including health and safety, we must have objectives or a policy
which sets out what we hope to achieve. We then construct a suitable organisation and put the plan into effect.
After a suitable time interval, we have to review performance; either we have achieved what we set out to do, or
we have failed. This requires review against the performance measures already established. If we have achieved our
objectives, we can congratulate ourselves and set more demanding objectives for next year. If we have failed, we must
find out why:
• Were the objectives impracticable?

• Were resources not available?
• Was the safety professional incompetent?
• Should they be replaced?
• Should we increase the safety budget?
Every element of the management system can be audited or examined in detail. We require a system that is
continually being improved.
A management system for health and safety should be in existence. The one suggested in HSG65 is based on the Plan,
Do, Check, Act cycle so production managers should be used to operating along similar lines.
The safety professional needs to be in a position to recommend that safety matters, and risk management principles,
are incorporated into the company management systems. The idea that good management involves accident
prevention and loss prevention is a very sound one. This might involve adding safety and health objectives to a list of
production objectives for each manager.
The integration of production and safety makes for a profitable and cost-effective organisation. You should be
aware of the cost of accidents. If accident costs and other losses are deducted from any bonuses paid or credited to
production managers, then the safety message is established and the safety culture of the organisation is assured.
The Benefits of Measuring What Goes Right (Proactive

Safety Measurement)
In Learning Outcome 2, we explored the idea of ‘Safety II’ or ‘Safety Differently’ as developed by Hollnagel and
Dekker. Both visions were of an organisation which focused not on purely the failures but also looked at the successes.
Many organisations currently see workers as a problem that need to be controlled (through risk assessments), and
the success of the controls is determined by counting the number of negative events that occur. Unfortunately if
we manage in this way, by monitoring the accidents and incidents, people will be tempted to report low numbers in
order to make managers “happy”. An alternative, proactive approach is to see people as the solution, ask them what
they need, monitor the positive capacities, and allow safety to grow from the ground up.

Objectives of Active Monitoring

The objective of active monitoring is to check that the health and safety
plans have been implemented and to monitor the extent of compliance
with:
• The organisation’s systems and procedures (check that practice

reflects the written procedures).
• Legislation and technical standards.
By identifying non-compliances, steps can be taken to ensure that any
weaknesses are dealt with, so maintaining the adequacy of the health
and safety plans, and helping to avoid any incidents.
Active monitoring checks that health
and safety plans are implemented
Objectives of Reactive Monitoring
The objective is to analyse data relating to:
• Accidents.
• Ill-health situations.
• Other loss-causing events.
• Any other factors which degrade the system.
It is better to identify, and deal with, any potential problems by means of active monitoring, rather than waiting for an
event to happen to highlight any shortcomings in the systems.
The Distinction Between, and Applicability of, Active/

Reactive, Objective/Subjective and Qualitative/Quantitative
Performance Measures
Active/Reactive
Active means ‘before it happens’, while reactive means ‘after it has happened’. Measuring safety performance
by looking for things before they happen can never be easy, but 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/Subjective
‘Objective’ means that it is detached from personal judgment. For example, an audit question such as: ‘How many
prohibition notices have been issued to your company in the last 12-month period?’ does not depend on the
personal judgment of the auditor. However, a poorly phrased objective measure can distort your view by not taking
account of the context and all the circumstances of the case. Objective measures are always desirable but are not
always possible; some things, or facets, resist objective measurement.
‘Subjective’ means that it depends on someone’s opinion, judgment, bias or discretion. As a result, the person
carrying out the measurement will influence the measurement result. Questions like: ‘Is housekeeping adequate?’,
with no defined standard of adequacy, might get different results from different auditors.

An example of a relatively, though not totally, objective audit system relating to contractors was described a few years
ago – the principles are still relevant. The system involved a statement, the contractor’s response, the audit comment
and a score.
The form used was similar to the one in the table. The scores are:
1. Totally unsatisfactory.
2. Very little action – unsatisfactory.
3. Some reasonable action – but could be better.
4. As required.
Other scoring systems could be used.
Example of objective safety scores
Item Statement or Question Contractor’s Response Audit Comment Mark
12 Workforce to be trained in use of Agreed Less than expected 3

fire-fighting equipment
13 Safety helmets to be worn at all Agreed if provided by Satisfactory 4

times when on site owner
14 Contractors to wear distinctive Agreed Not worn in hot 2

clothing weather
15 All waste to be cleared up daily Agreed if skip provided Usually satisfactory 3
16 All electrical equipment to be Agreed inspection schedule to be Not satisfactory, no list 1

subject to routine inspection as made available
laid down in owner’s scheme
17 All dump-truck drivers to Agreed owner and contractor to Satisfactory 4
complete a course of training share cost
18 All lighting equipment to be Agreed Unspecified equipment 2

subject to owner’s scheme of found
inspection and test
19 Who decides when weather Owner’s site foreman Only one problem in 6 3
conditions are too bad for work months
to continue?
Qualitative/Quantitative
As we covered in Learning Outcome 4, ‘Qualitative’ means that the data
is not represented numerically, (e.g. reports and commentaries), which
although useful, are difficult to treat as an accurate measure.
‘Quantitative’ means that the data describes numbers (e.g. the number of
accidents reported). In such a case, we can see whether there has been an
improvement or a reduction in standard.

Examples of quantitative measures of safety performance would be:
• Audits.
• Inspections.
• Safety tours.
• Safety sampling.
• Behavioural measures.
• Safety surveys.
• Benchmarking.
Health and Safety Monitoring and Measurement Techniques

BS 45002-0:2018, Occupational health and safety management systems – General guidelines for the application of ISO
45001, lists a range of performance measures that 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 the following is a range of active and reactive outcome indicators relevant to a range of objectives.
Active Monitoring Data

There is a wide range of data that can be collated to assess health and safety performance, some of which are active –
such as the uptake rate for toolbox talks, or the completion of risk assessments against the target.
This data covers the extent to which plans and objectives have been set and achieved, and include:
• Specialist staff.
• Safety policy.
• Training.
• Extent of compliance.
• Risk assessments.
• Health and safety committee meetings.
• Perceptions of management commitment.
Reactive Monitoring Data

Other data is reactive, and is typically based on accidents and incidents
that have occurred. This includes:
• Sickness absences.
• Fatalities.
• Near-misses.
• Damage-only accidents.
• Lost-time accidents. Reactive monitoring looks at events that
have already occurred
• Reportable dangerous occurrences.
• Reportable major injuries.
• Three-day, lost-time accidents.

• Health surveillance reports.
• Cases of occupational diseases.
Collecting and Using Sickness Absence and Ill-Health Data

Sickness absence is influenced by a variety of different personal, social
and organisational factors. However, studies have suggested that between
2% and 16% of annual salary costs might be spent on absence by
large UK employers. The variation in the costs of absence by different
employers can be explained by the different methods of dealing with
absence, such as informal internal cover or use of external agency staff.
The number of part-time staff in an organisation also has an impact on
cost, as does age profile. Young people are more prone to short-term
absence, whereas long-term absence is more commonly associated with
Recording sickness absence can reveal
older workers.
patterns of illness
A number of risk factors have been identified as being related to sickness
absence, including overall health, job satisfaction and adverse social circumstances. However, any effective initiatives
by an employer to significantly reduce preventable sickness absence will have cost benefits.
The collection and analysis of information relating to which employees are off sick and why will help to:
• Identify patterns and high-level causes of short-/long-term sickness absence.

• Identify work-related/other causes of absence.
• Plan cover for absent employees.
• Benchmark the organisation’s performance.
Recording sickness absence daily and summing it up on a weekly basis will help to keep the information accurate and
act as a prompt to make contact with absent employees at suitable intervals.
In larger organisations, analysis of sickness absence records can reveal patterns of illness or injury that could be caused
by, or made worse by, work:
• A number of cases of musculoskeletal problems among employees who carry out a particular task (poor
ergonomics or manual handling techniques?).
• Frequent minor but vague illnesses in areas where deadlines are very tight, workloads are challenging or
employees have little control over their work (work-related stress?).
Early action by the employer can significantly increase the chances of a quicker return to work by those off sick.
Information required to help manage absence and return to work includes:
• Name or identification of the employee concerned and contact details.

• Date of the first day of absence.
• Cause of absence.
• Whether the injury or illness is considered to be work-related.
Once this is known:
• Working days absent (updated regularly).

• Date employee last contacted and the outcome.

• Expected length of absence, if known.

• Return to work date.
In the UK, the Institute of Occupational Medicine (IOM), in collaboration with the HSE, have devised a standardised
scheme for the classification and coding of sickness absence causes. This scheme is designed to allow employers to
easily classify the reasons for sickness absence provided by employees from verbal reports, self-certificates or from a
medical practitioner by means of a medical certificate.
There are two levels of coding within the scheme:
• At level 1, 23 categories specify the main body system affected by the illness or ailment such as:
–– 10: Anxiety/stress/depression/other psychiatric illnesses.
–– 11: Back problems.
–– 12: Other musculoskeletal problems (exclude back problems – include neck problems).
–– 13: Cold, cough, ‘flu.
–– 14: Asthma.
–– 15: Chest and respiratory problems (exclude nose and throat problems, asthma, cold, cough, ‘flu).
• For level 2, secondary coding can be used to specify more detailed cause classifications on the sickness absence,
such as:
–– 10: Anxiety/stress/depression/other psychiatric illnesses:
–– 10001: Anxiety.
–– 10002: Behavioural disorder.
–– 10003: Bipolar disorder.
–– 10004: Delusional disorder.
–– 10005: Depression.
–– 11: Back problems:
–– 11001: Backache/pain.
–– 11002: Disc problems.
–– 11003: Lumbago.
–– 11004: Sciatica.
The scheme has been designed to be broadly compatible with the internationally recognised International
Classification of Disease (ICD) scheme at the top level, in order to allow the future comparison of rates, particularly
with information collected at a local level then used to influence planning of health and related services.
MORE...
More information on Classifying and Coding Causes of Sickness Absence according to the IOM, as well as the
full coding lists can be found at:
www.iom-world.org/sicknessabsence/saclist.htm

The Role, Purpose and Key Elements of Health and Safety

Monitoring and Measuring Techniques
TOPIC FOCUS
• Health and Safety Audits
The health and safety audit should be an in-depth, systematic, critical investigation into all aspects of
safety. It needs to include management systems, policy, attitudes, training and practice. The purpose of an
audit is not to catch people out, but to identify where there are improvement opportunities so that the
organisation can develop, and it is essential that audit participants understand this.
• Workplace Inspections
A workplace inspection involves someone walking round a part of the premises, looking for hazards or
non-compliance with legislation, rules or safe practice, and taking notes. The task is made easier and more
methodical if a checklist is used.
• Safety Tours
A safety tour follows a predetermined route through the area or workshop and can be conducted by a
range of personnel, from works managers to supervisors and safety reps. Such tours typically last only 15
minutes or so and may be carried out at weekly intervals to ensure that standards of housekeeping are
acceptable, gangways and fire exits are unobstructed, and hazards are dealt with quickly.
• Safety Sampling
This is an organised system of regular random sampling. Its purpose is to obtain a measure of safety
attitudes and possible sources of accidents, by the systematic recording of hazard situations observed during
inspections made along predetermined routes in a factory or on a site.
• Safety Surveys
A safety survey is a detailed examination of a particular safety aspect. It could involve, for example, a
detailed inspection of all aspects of fire-fighting equipment, examining all the safety devices on machines or
checking all the emergency exits.
• Safety Conversations
Safety conversations are simply discussions between managers and workers about health and safety. The
focus should be on engagement not enforcement, so opening questions such as ‘could you tell me about
what you are doing…’, ‘what worries you about safety here…’, ‘what would make you feel safer…’ are much
more effective than ‘why are you not wearing your gloves?’ The purpose is to connect with each other on
safety and it is an opportunity to reinforce that safety matters throughout the organisation.
• Behavioural Observations
Human factors and behavioural change programmes are covered in Learning Outcome 2, but monitoring
the way workers behave (e.g. the use of Personal Protective Equipment (PPE) or the correct driving
techniques) is a valuable active monitoring technique, as it detects issues that can be addressed through
behavioural change programmes before injuries occur.
• Benchmarking
Benchmarking is the comparison of an organisation’s performance to others within the sector or country
as a whole. Benchmarking can also be carried out between sites within the same organisation to identify
strengths and weaknesses and therefore develop improvement plans.

The primary purpose of measuring health and safety performance is to provide information on the systems used
by an organisation to control risks to health and safety. Measurement information supports the maintenance of the
health and safety management system by:
• Providing information on how the system operates in practice.

• Identifying areas where remedial action is required.
• Providing a basis for continual improvement.
• Providing feedback and motivation.
The following techniques examine different aspects of working practices at different levels in the health and safety
management system in order to assess compliance with agreed practice. Non-compliance information is then used to
improve systems and procedures.
Health and Safety Audits

Health and safety audits are ideally done by an external organisation, or a special unit from head office in the case of
multi-site operations. The purpose is to assess the extent to which the elements of the system are still effective, and
whether any action is necessary to avoid accidents and other losses. To be used as a measure, standards need to be set
in the key areas. A scoring system can be introduced if the intention is to hold managers responsible for standards in
their area of influence.
There are some points against the use of audits:
• They are time-consuming and costly.

• It is not feasible to carry out a full audit more than once a year.
• There is likely to be a lot of things to correct, and some of these may take time to complete.
• If there is a long time between the recommendation being made, and the solution being put into effect, the value
of the audit is reduced.
A number of proprietary audit systems are available, sometimes referred to as the International Safety Rating System
(ISRS). These are often computer-based and require answers to set questions. If there are to be comparisons between
departments then there will need to be some uniformity. The scoring system should give weighting to significant
safety performance. Human factors and attitudes need to be a major element of the audit, but these are not so easy
to measure or score.
Workplace Inspections/Safety Tours/Safety Sampling

The advantage of workplace inspections is that the inspection can
be far more frequent than an audit. To be an effective measure, the
workforce as well as management need to be involved, as this gives them
‘ownership’ of the safety process. Management is able to demonstrate
commitment to safety and it is possible to get a clear picture of problem
areas and to take quick and effective action. A scoring system is required
if comparisons over time, or with other sections, are to be made. Such
an inspection usually goes under the name of safety sampling if it
concentrates on a few specific points. A safety tour follows a set route.
Training and experience of the
Points to watch are that if the inspections or sampling are too frequent, inspectors is important
then it is possible that an action point required by the previous
inspection will not have been corrected when the next inspection takes place. Any scoring system used to compare
sections must be shown to be fair and impartial. Be aware that some inspectors are lenient, and others are very strict;

some inspectors just have to find something wrong. The training and experience of the inspectors is important.
Often, inspections find minor matters that are not really likely to cause accidents and fail to find larger potential
hazards.
Safety Surveys
Safety surveys make sure that aspects of safety are not overlooked in the general run of inspections. A safety survey
generally results in a formal report and an action plan to deal with any findings.
Safety Conversations
Safety conversations provide the opportunity to respond to non-compliant behaviour in an effective but non-
confrontational manner. The conversation is used to deliver feedback, describe a safer alternative, listen to the
response and close the conversation in a productive manner. For conversations to be effective, the instigator needs
to listen attentively and emphasise any positive actions that have been observed. By drawing out responses from the
other person and getting them to describe in their own words what they should be doing to keep safe, it is more
likely that the feedback will be taken positively. The focus needs to be on future ways of improving safety, with a
verbal commitment to take on board those ideas.
MORE...
The HSE have produced ‘Safe Deal’ cards which can be used as conversation starters. Visit the HSE website for
full details:
https://books.hse.gov.uk/Playing-Cards
Network Rail have also produced a PDF of conversation starters around health and safety. This can be
downloaded from:
https://safety.networkrail.co.uk/safety-hour-discussion-packs/
Behavioural Observations
Behavioural observations are used in behavioural change programmes, which we considered in Learning Outcome
2, with the aim of improving individual behaviour. The key principle is to positively reinforce the desired behaviour
and deter or even punish the undesired behaviour. The first step is to identify the desired behaviour, which should
be specific, observable and easily measured. Often, simply observing behaviour can in itself lead to a positive
improvement in the behaviour, but this is usually only a temporary effect. Feedback needs to be provided very soon
after the safe/unsafe act so that the safe behaviour is reinforced, not only to the individual but to all those affected,
so that they appreciate the impact of the programme, such as collective results being published weekly.
The In-House Health and Safety Professional’s Role in Audits

Carried Out by External/Third Parties
Auditing involves the sampling of a process by a competent person who is independent of the process. Auditors
report on the effectiveness of the health and safety management system, focusing on inputs, outputs and testing
internal controls. In the case of certification audits, the aim is to demonstrate commitment to prescribed health
and safety standards, such as those required by ISO 45001. The auditors’ independence gives credibility to the audit
findings. Auditors should not have any personal accountability, or direct reporting relationships, in the group or area
they are auditing, hence the value of external audit.

Audits cover three types of evidence:
• Documentation.
• Interviews.
• Observation.
External auditors are often viewed negatively and do not know the organisation, so may ask for a lot of pre-audit
documentation and take longer than internal auditors to complete their work. The in-house health and safety
professional has an important role to play in an external audit as a facilitator and co-ordinator. The professional is
familiar with the organisation’s health and safety communication and information systems and is therefore well placed
to ensure that suitable documentation is available for the external auditor. Similarly, the professional can organise
interviews with appropriate responsible persons at all levels in the organisation and give briefings to key personnel if
necessary. The in-house professional knows the workplace well and can advise on what observations are likely to be
most productive in assessing control systems.
Comparison of Previous Performance Data

Previous Performance
It is always useful to compare present performance data with that
obtained over the last few months or last year. The comparison
of performance over time shows the overall trend and whether
performance appears to be improving or deteriorating. However,
you need to look at a reasonably long period of time as there may be
seasonal fluctuations, for example, which could give a false view of
performance. One way of overcoming fluctuations is to use the moving Comparing performance data to past
average, which shows the trend over time. years is useful
Other factors could affect the data, such as a reduction in staff numbers may lead to a reduction in absolute accident
numbers which could be misread as an improvement in safety performance. To avoid such issues, it is possible to
use accident rates which take into account the number of employees working and/or the number of worker-hours
worked, etc.
Performance of Similar Organisations/Industry Sectors

It is sometimes useful to compare company data against other organisations or industry sectors that carry out similar
functions, or that deal with similar hazards. In this way, you can compare the performance of your company with
others (as a benchmark) to determine the differences and similarities. Remember that you should check that the
measurable parameters used are the same (it is easy to manipulate data by using different units of measurement or
criteria). Once you have established that the data is comparable, it is worth trying to identify whether the trends are
similar. Where there are marked differences, think about the reasons for these, e.g. geographical locations, different
customer base, different shift patterns. Some simple analysis may help you to understand your own data and may give
you ideas about how improvements can be made.
It can be reassuring to compare data with other companies or, on the other hand, it can be alarming; whatever the
outcome, it is a worthwhile exercise.

National Performance Data

Some performance data is produced by national enforcement agencies, and also by international organisations
such as the World Health Organization. This data can be useful in gauging where you are as an organisation: are
you maintaining standards in line with national figures or are there improvements to be made? It is easy to become
complacent with respect to health and safety performance, particularly if your company appears to be continually
improving. But by comparing your company results to national figures, you may become motivated to further that
improvement.
HINTS AND TIPS

Earlier in Learning Outcome 5, we considered how to calculate injury rates, and to analyse and interpret raw
data. It is worth revising that information at this point.
Use and Benefits of Benchmarking

DEFINITION
BENCHMARKING
The process of comparing your own practices and performance measures with organisations that display
excellence and whom you might wish to emulate.
Although the primary focus for performance measurement is to meet the internal needs of the organisation, there is
an increasing need to demonstrate to external authorities that arrangements to control health and safety risks are in
place and effective. Benchmarking is a tool that enables this by assessing the differences between your enterprise and
best practice. It examines the processes and procedures of your organisation and compares them with the standards
of the sector.
The most useful form of benchmarking involves:
• Analysis of processes and procedures in your own organisation.

• Analysis of other enterprises.
• Adaptation of the findings to make improvements.
Benchmarking is a process that can be used to promote continual improvement within your own enterprise.
Reviewing Health and Safety Performance

Need for Formal and Informal Performance Reviews
Review is the process of making judgments regarding the effectiveness of the occupational health and safety
management system, and then making decisions to remedy any deficiencies that have been identified. It is a key
element of any quality system.
Review should be a continuous process and should be both formal and informal at different levels in the organisation.
A formal review will be carried out periodically (e.g. annually), and may cover the whole site or organisation, whereas
an informal review might be instigated by a supervisor who has identified a failure by workers to adhere to required
control measures (e.g. not wearing PPE).

The Importance of Reviewing Positive Outcomes

If we return to the work of Hollnagel and Dekker in ‘Safety II’ and ‘Safety Differently’, we will remember that
Traditional Safety focused on the negatives, and Proactive Safety or ‘Safety II/Safety Differently’ on the positives. It is
equally important in monitoring performance to acknowledge what is going well – it is very demotivating to only hear
about things that need to be improved. The celebration of success is also an essential part of the process as it can help
motivate and drive a team to achieve more.
The 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. Reviewing is the process that reacts
to the findings of the performance-measuring process. There should be
an instant review in the event of an accident that causes an injury or loss.
We have to learn from mistakes and be prepared to make changes. For
any system of health and safety which is vital and dynamic, there will have
to be periodic reviews. In many systems, it would probably involve:
• A monthly review of each section. Review should be combined with audits

• A quarterly review of each department.
• An annual review of the organisation.
The review would probably cover:
• Assessment of the degree of compliance with set standards.

• Identification of areas where improvements are required.
• Assessment of specific set objectives.
• Analysis of accident and incident trends.
The safety committee and safety representatives, supervisors and management would all be involved in the review
process.

The Inputs to a Review Process
TOPIC FOCUS
• Inputs to a Review Process
A range of information is used as the basis of the review, including:
–– Internal performance data, e.g. audit, accident, ill-health and incident data, and safety climate data.
–– Achievement of specific objectives.
–– Organisational arrangements, including any changes.
–– External standards and legislation.
–– Expectations of stakeholders.
• Outputs from a Review Process
The review process leads to specific outputs which should lead to continual improvement:
–– Specific actions and improvement plans that meet the SMART criteria.
–– New performance targets relating to both active and reactive measures (e.g. lost-time accidents).
–– Reports to stakeholders, e.g. shareholders, employee groups and regulators.
The Outputs From a Review Process

The review process is an opportunity for the organisation to reflect and take stock of the safety management system
as a whole. Whilst a formal annual review is a requirement for ISO 45001 accredited organisations, this should be
seen as the minimum rather than the absolute requirement. A regular review at a strategic level is essential to ensure
that the process is on track and that the health and safety plan is working to deliver the policy objectives. It is far more
than a review of the accident statistics; by considering the proactive measures, organisations can learn what problems
lie ahead and whether the processes are working sufficiently well enough to avoid them.
The review process is an opportunity to reflect and adjust the plans too – it is much better to understand that the
evidence suggests that you are off-course and adjust than it is to continue in the hope that somehow it will all turn
out right in the end. For example, if the evidence says that the initiatives aren’t working, change the initiatives. A
safety plan is a fluid document and needs to adjust to changing circumstances and in response to monitoring.
STUDY QUESTIONS
4. List the main measurement techniques available for measuring health and safety performance in the
workplace.
5. What is ‘benchmarking’?
6. Which two sources of information does the review process use?

Summary
Summary

5.1: Loss Causation and Quantitative Analysis of Data
In this section, we have considered the various theories of accident causation, including:
• The single-cause domino theory, in terms of which a number of factors need to be present in sequence for the
injury to occur. If one factor is removed, the accident will not happen.
• Multi-causal theories, in terms of which there may be additional factors that must be present simultaneously for
the accident to occur.
• Reason’s model of accident causation which shows how latent (ongoing) failures increase the likelihood of
active failures.
In accident ratio studies, the accident triangle shows that there appears to be a relationship between the numbers of
different types of accident, e.g. fatal, major, near-miss.
We have looked at the commonly used accident and disease ratios, in order to compare injury and ill-health rates
from different industries, or between work areas in the same workplace.
When working with statistical data, care must be taken to ensure that samples are representative of the relevant
population of study.
5.2: Measuring and Monitoring

In this section, we have outlined the purpose and use of health and safety performance measurement, monitoring
and review, including:
Objectives of active monitoring are to check 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.
Objectives of reactive monitoring are to analyse data relating to:
• Accidents.
• Ill-health situations.
• Other loss-causing events.
• Any other factors which degrade the system.
Accident recording has some value, but is of limited use in relation to assessing future risk. There are problems with
under-reporting of minor accidents. Time off work does not correlate well with the severity of an injury, because
some people will work with a broken arm, while others take a week off with a cut finger. Also, if staff are made aware
of safety matters, they tend to report more accidents. The picture may then look worse, when actually the safety
culture is improving.
Distinctions between, and applicability of, performance measures are:
• Active means ‘before it happens’, while reactive means ‘after it has happened’.
• Objective means that it can be accurately measured, while subjective means that it depends on someone’s
opinion.

Summary
• Qualitative measures data non-numerically like reports and commentaries which, although useful, are difficult to
treat as an accurate measure, while some kind of score is quantitative.
Measurement techniques include:
• Health and safety audits.

• Workplace inspections.
• Safety tours.
• Safety sampling.
• Safety surveys.
• Safety conversations.
• Behavioural observations.
Analysis of sickness absence records, particularly in larger organisations, can reveal patterns of illness or injury that
could be caused by, or made worse by, work.
It is always useful to compare an organisation’s performance data:
• Over time.
• Against that of other organisations’ or industry sectors that carry out similar functions or experience similar
hazards.
• Against national figures.
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. Reviewing is the process which reacts to the
findings of the performance-measuring process. In many systems, it would probably involve:
• A monthly review of each section.

• A quarterly review of each department.
• An annual review of the organisation.
The review would probably cover:
• Assessment of the degree of compliance with set standards.

• Identification of areas where improvements are required.
• Assessment of specific set objectives.
• Analysis of accident and incident trends.
The safety committee and safety representatives, supervisors and management would all be involved in the review
process.


Learning Outcome 6
Once you’ve read this Learning Outcome, you will:
• Continually develop your own professional skills and ethics to actively influence
improvements in health and safety by providing persuasive arguments to workers at all
levels.


Contents
Health and Safety Professional Skills 6-3

The Role of the Health and Safety Professional 6-3
The Distinction Between Leadership and Management and How This Can Apply to a Health and
Safety Professional 6-8
The Health and Safety Professional’s Role in Enabling Work Activities As Part of Proportionate and
Sensible Risk Management 6-12
The Health and Safety Professional’s Role in Change Management 6-13
The Meaning of the Term ‘Ethics’ 6-14
Effective Communication and Negotiation Skills 6-15
Influencing Ownership of Health and Safety at all Levels of an Organisation 6-17
The Use of Different Types of Communication Media Available to Promote the Health and Safety Message 6-19
Procedures for Resolving Conflict and Introducing Change 6-22
Ensuring Roles and Responsibilities are Clear, Understood By All Workers and Implemented 6-23
The Health and Safety Professional’s Use of Financial Justification to Aid Decision Making 6-24
Cost-Benefit Analysis in Relation to Risk Control Decisions 6-25
Summary 6-29

Health and Safety Professional Skills 6.1
Health and Safety Professional Skills

IN THIS SECTION...
• Describe the role of the health and safety professional, the essential communication and negotiation skills
needed, and how to use financial justifications to aid decision making.

The Role of the Health and Safety Professional
Why a Health and Safety Professional Must Understand What Can
Affect Their Organisation’s Ability to Manage its Health and Safety
Responsibilities
The range of workplaces that a health and safety professional could find themselves in is immense, and it is essential
that the activities that are carried out in the organisation are understood as this greatly affects the health and safety
implications faced.
A manufacturing organisation may have a largely static cohort of employees, some interaction with clients and
contractors, but may consider their biggest issues to be machinery or vehicles that are largely within their sphere
of influence. A hospital however is much more open to external influences and therefore faces different challenges
as they have patients, the public and emerging health issues to manage. Both face health and safety challenges but
the nature of these is somewhat different. Both can predict and build resilience for foreseeable events, but as the
Covid-19 pandemic illustrated, there are some events which may not be predicted but can still be managed (to a
lesser extent), and the context of an organisation can be fluid as well.
ISO 45001 Clause 4 focuses on the importance of understanding the context of the organisation: is the organisation
a customer facing store, or an online-trading company managing deliveries to customers? As the Covid-19 pandemic
demonstrated, the context of the organisation may not be static; many companies survived by moving their staff from
centralised offices to working from home, and traded as take-away or online retailers rather than traditional stores.
Whilst this is an excellent demonstration of agile working, the health and safety challenges faced still exist, they are
just different in nature.
The Role of the Health and Safety Professional and the Potential
Conflicts that this Role Brings
The role of the health and safety professional can be seen as seeking
to minimise the risk of harm or injury at work by educating colleagues,
setting procedures and building a culture of safety in the workplace.
This may involve:
• Advising managers on how to comply with health and safety

legislation.
• Drawing up strategies, policies and procedures for the organisation.
A health and safety professional should
• Carrying out site visits and safety audits, and identifying potential minimise the risk of harm or injury at
hazards. work
• Designing and delivering training courses on health and safety issues.

6.1 Health and Safety Professional Skills
• Investigating accidents and finding ways to prevent them happening again.

• Advising on specialist areas, such as fire precautions and control of hazardous substances.
• Producing written reports.
• Keeping records, including accident statistics.
Health and safety professionals need to work closely with managers, employees and sometimes trade union
representatives. They may also liaise with external contacts, such as contractors, clients and the UK’s Health and
Safety Executive (HSE).
TOPIC FOCUS
The skills and personal qualities required by a health and safety professional include:
• Strong interpersonal skills, for negotiating changes in the workplace and influencing others to adopt them.
• An understanding of health and safety legislation and how to interpret it.
• A sound knowledge of technical and operational processes.
• The ability to think ahead and anticipate potential problems.
• Presentation skills, in order to lead training sessions.
• An ability to communicate complex information in a straightforward way.
• A clear writing style.
• A thorough and methodical approach.
• Persistence, patience, adaptability and some degree of physical fitness if working outdoors or in major
plants.
To do this properly, health and safety professionals 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).
• Present their advice independently and effectively.
In terms of organisational structure/relationships, health and safety professionals must:
• Support the provision of authoritative and independent advice.

• Have a direct reporting line to directors on matters of policy, and the authority to stop work if it contravenes
agreed standards and puts people at risk of injury.
• Have responsibility for professional standards and systems; on large sites or in a group of companies, they may
also have line management responsibility for other health and safety professionals.

With regard to relationships outside the company, they must liaise with a wide range of bodies, including:
• Local authority environmental health officers and licensing officials.

• Consultants/contractors.
• Fire service.
• Insurance companies.
• HSE.
Potential Conflicts
Responsibilities for health and safety are owed by a number of parties in the workplace. The employer has
responsibilities for employees and third parties; individuals, who may be employees or third parties, also have
legal responsibilities, and trade-union representatives or representatives of workplace safety have certain legal
entitlements. The health and safety professional needs to work with all these parties in order to maximise health and
safety performance in the organisation.
The employer will normally appoint the health and safety professional. A key aim will be to protect employees and
third parties affected by work activities, and good working relationships with safety representatives will be necessary
to achieve effective consultation with and co-operation from the workforce. The health and safety professional needs
to be able to work impartially with all these different parties.
When working with groups it must be acknowledged that there can be

different opinions, as each group may have a slightly different agenda.
Clients can be very focused on cost and timescales; contractors are
therefore influenced by this and can be reluctant to adopt safer practices
that they perceive to be slower, or spend time on paperwork and
activities, such as safety meetings, which the safety professional considers
essential.
The safety professional can often be the negotiator who tries to maintain
balance whilst ensuring that the client and contractors (and of course the
regulators) are happy. This is not an easy role. There can of course also be conflict within an organisation, for example
between union safety representatives and management, and the safety professional will again be instrumental in
negotiating a route through the ‘politics’ to ensure that the underlying aim of keeping the workforce safe is achieved.
A conflict of interest may arise when an individual has to make a decision at work that may affect their private
interests.
For example, the safety manager of a large organisation has the task of appointing a new safety adviser. One of the
candidates for the post is a good friend of the manager, who expects favourable treatment even though they may not
be the best qualified and experienced candidate. The conflict of interest dilemma the manager has is whether to let a
personal interest interfere with their professional judgment.
What should you do when a conflict of interest arises?
There are two aspects to dealing with conflicts of interest:
• Identifying and disclosing the conflict of interest, which is primarily the responsibility of the individual who is
subject to the conflict. It is clearly better to err on the side of openness, even when the situation is not clear-cut,
particularly in the long-term when the conflict may become more widely known and more difficult to resolve,
leading to the possible accusation of bias or even dishonesty.

• Deciding what action (if any) is necessary to avoid or mitigate any consequences, usually the responsibility of the
manager or department in which the conflict has arisen. This may range from taking no action at all to, in extreme
circumstances, the resignation or dismissal of the individual concerned.
In this example, the likely outcome if the conflict of interest was declared before the appointment was made would
be for the manager not to sit on the appointment panel. If, however, the possible conflict was concealed and
later became known, then the manager could be accused of unprofessional conduct. (We will look at the topic of
professional conduct later in this Learning Outcome.)
The Importance of a Health and Safety Professional Recognising the

Limits of Their Own Competence
’Competence’ is a difficult term to define. In the UK, the Management of Health and Safety at Work Regulations
1999 describe ‘competence’ (in respect of the competence of a health and safety professional) as having “sufficient
training and experience or knowledge and other qualities to enable him properly to assist in undertaking the
measures referred to…”.
Accordingly, the term reflects a combination of knowledge and relevant experience, although these terms are not
mutually exclusive.
The UK Electricity at Work Regulations 1989 require “persons to be competent to prevent danger and injury”
and sheds some light on what competence actually means. Knowledge and experience, along with understanding,
is referred to but an additional important requirement is the ability to recognise at all times whether it is safe to
continue working. This is relevant to general health and safety practice where the professional needs to recognise the
limits of their own competence. An apt quote in this respect states: ‘The most important thing in terms of your circle
of competence is not how large the area of it is, but how well you’ve defined the perimeter’. So, in the role of health
and safety professional, it is vital to know the limits of your advisory capacity. An essential ingredient of competence
is recognising its limits, i.e. the point at which you begin to get involved in an area which is beyond your competence,
and you need to either call in external expertise or upgrade your skills.
The Need for Health and Safety Professionals to Evaluate and Develop
Their Own Practice So As To Maintain Competence
As well as requiring competency in practical risk management, the standards in OHS practice, which this NEBOSH
International Diploma for Occupational Health and Safety Management Professionals course is designed to meet,
also require the professional to be able to evaluate and develop their own practice. This is in line with the Institution
of Occupational Safety and Health (IOSH) requirement for continuous professional development, and ensures that
the professional maintains and develops competency, keeps up to date and remains effective.
The broad requirements are that professionals should:
• Reflect on their own practice.

• Review their practice against appropriate goals.
• Set and prioritise goals and targets for self-improvement.
• Adapt their own practice in the light of changes in professional
practice.
Self-improvement targets need to be set

In order to achieve this, professionals need to:
• Identify goals and targets which could be set in a number of ways, such as:
–– From national standards.
–– From assessment of current competency.
–– From anticipated future demands.
–– From personal aspirations.
–– To meet organisational needs.
• Review their own performance, which might involve evaluating work results, undergoing appraisals or formative
assessments, or seeking the views of colleagues and clients.
• Develop their personal action plans and monitor their achievement.
• Develop and change their own practice, and evaluate the effectiveness of the developments.
• Anticipate and identify change, and respond appropriately. This could arise from changes in professional practice,
from national and local systems or from changes to organisational policy and procedures.
These requirements can be divided into two principal components: evaluation, and identification of self-development
needs.
Evaluating Own Practice

The professional should be able to:
• Evaluate their own practice against set targets and goals.

• Use a range of valid and reliable evidence to assess their own work, which includes an assessment of behaviour
and values by others.
• Involve others in the interpretation of evidence.
• Use evidence to reflect on their own practice and professional issues.
• Accept criticism in a positive manner, and assess its validity and importance.
• Revise goals and targets in the light of their reviewing evidence and performance.
Identifying Self-Development Needs

The professional should be able to:
• Set and prioritise clear and realistic goals and targets for their own development.
• Base goals and targets on the accurate assessment of all the relevant information relating to their own work and
achievement, including developments in professional practice and related areas.
• Devise a personal action plan and review it regularly.
• Try out developments in their own practice in a way which does not cause problems for others.
• Evaluate developments in their own practice and ensure continued self-development.

The Role of the Health and Safety Professional in Mentoring and

Supporting the Development of Health and Safety Competency in Other
Relevant Workers
Health and safety professionals are often involved in training where instruction and demonstration can help managers
to understand how to perform tasks such as inspections, accident investigations and risk assessments. However,
mentoring goes further than this and aims to enhance an individual’s skills, knowledge or work performance through
one-to-one discussions. The health and safety professional, as an experienced colleague, can use their specialist
knowledge and understanding to support the development of others.
If the health and safety professional is acting in an advisory role, the ownership for the solution to a problem should
rest with other people; the function of the professional is therefore one of support. Increasingly, organisations are
looking for professionals who are collaborative, supportive and helpful, rather than purely advisory.
In a mentoring role, the aim is an alliance between the mentor and the mentee. The responsibility for finding the
solution to the problem remains with the mentee and the mentor is simply there to guide and support the mentee’s
exploration, so supporting a manager to discover the best, most practicable solution to a health and safety problem
can involve mentoring. Professionals may not appreciate the pressures and constraints that managers operate under,
so the professional needs to empathise with the manager’s position. However, professionals do know about the
law, the standards that need to be achieved, and what solutions might be feasible, so they can bring this specialist
knowledge and understanding to the discussion.
For managers to ‘own’ health and safety, they need to be encouraged and supported; telling and doing is less
effective than a more collaborative approach, which supports the development of managers so that they become less
dependent on the specialist health and safety professional.
The Role of a Health and Safety Professional in Encouraging Positive

Leadership and Supporting Managers At All Levels
Health and safety professionals can not only contribute to the achievement of the objectives of an organisation
by encouraging leadership, but also by leading on health and safety issues themselves. An effective safety manager,
they can act as an advocate, persuading both management and the workforce of the value of their knowledge and
expertise. In organising activities to deliver the programme, the health and safety professional has a role in involving
all levels of management and the workforce and communicating so that everyone is clear on what is needed. The
health and safety professional can discuss issues raised and lead in developing positive attitudes and behaviours.
The Distinction Between Leadership and Management and

How This Can Apply to a Health and Safety Professional
Management can be defined as ‘the organisation and co-ordination of the activities of a business in order to achieve
defined objectives’. It keeps the organisation functioning and involves planning, budgeting, staffing, defining
responsibilities, measuring performance, and solving problems when things go wrong.
Leadership is very different. It is the activity of leading a group of people or an organisation, and involves establishing
a clear vision, sharing that vision with others and providing the information, knowledge and methods to realise that
vision. The workforce needs to be aligned to the vision through buy-in and communication in order to change rather
than continue to do what they have always done well. As a result, the title ‘Health and Safety Manager’ is increasingly
being replaced with titles such as ‘leader’ or ‘advisor’ to reflect this change in emphasis.

The following terms indicate the differences between a manager and a leader:
Manager Leader
Systems People
Control Trust
How and when What and why
Imitates Originates
Accepts Challenges
Subordinates Followers
Maintains Develops
Does things right Does the right thing
The role of the health and safety professional can align with both the management and the leadership models.
One function of the health and safety professional is to look after the health and safety management system and
advise on aspects, such as:
• Formulating and developing health and safety policies and plans.

• Profiling and assessing risks and organising activities to implement the plans.
• Measuring performance.
• Reviewing performance and taking action on lessons learnt.
In other words, the professional can be seen as a manager maintaining systems.
But an equally important function is that of an agent of change. In this role, the health and safety professional needs
to galvanise the management board into action to:
• Set the direction for effective health and safety management.

• Establish a health and safety policy that is an integral part of the organisation’s culture and value.
• Take the lead in ensuring the communication of health and safety duties and benefits throughout the
organisation.
• Respond quickly where difficulties arise or new risks are introduced.
In other words, the professional should act as a visionary to get board level buy-in for culture change.
The Need to Adopt Different Management Styles

Health and safety professionals work closely with different groups of people, such as managers, employees, trade
union representatives, contractors, clients and enforcement officers. Consequently, the management style they adopt
needs to match the nature of the interaction and the type of relationship with each party.
Management styles can broadly be categorised into the following three

groups and each has relevance to different facets of the health and safety
professional role:
• Autocratic
Managers make all the important decisions and closely supervise and
control workers. They simply give orders (one-way communication)
that they expect to be obeyed, and do not consult.
Autocratic

This approach is effective when quick decisions are needed, or when controlling large numbers of low-skilled
workers.
Health and safety professionals may need to operate in this autocratic role when:
–– They have the expertise and authority to closely control a workplace activity.
–– The requirements to ensure safety and health are clear and well defined.
–– There is no need for input from the workforce.
• Democratic
Managers trust workers and encourage them to make decisions.
They delegate the authority to do this and listen to their advice and
feedback. Decisions are made by the group, by consulting or by vote.
This style requires effective two-way communication and may involve
discussion groups offering suggestions and ideas.
This approach is effective with motivated individuals who are capable

of making their own decisions, or when there is no need for central
co-ordination. Health and safety professionals may find this approach Democratic
in evidence in the health and safety committee, where binding
decisions on policy and procedures are made after participation and
final agreement by the committee members.
• Participative
Managers are concerned about the needs and views of their workers
and how happy they feel. They consult on issues and listen to
feedback or opinions but still make the final decision, albeit in the
best interests of the workers, believing that they still need direction.
This approach is effective where team agreement is important but

can be difficult to manage where there are many differing opinions.
Health and safety professionals may find that the participative

approach is essential in collaborating with and supporting managers Participative
to encourage their ownership of health and safety. Although the
professional knows about the law, the standards that need to be achieved, and what solutions might be feasible,
the responsibility for finding the solution to the problem remains with the manager. The health and safety
professional is there to guide and support the manager to discover the best and most practicable solution to the
problem.
The Role of Health and Safety Professionals in the Development,

Implementation, Maintenance and Evaluation of Health and Safety
Management Systems
Health and safety professionals are those likely to be appointed by employers to help them in managing health
and safety in the organisation. Health and safety professionals need to have the status and competence to advise
management and employees (or their representatives) with authority and independence. As we have noted above,
they are well placed to advise on many aspects of the safety management system, such as:
• Formulating and developing health and safety policies and plans, not just for existing activities but also with
respect to new acquisitions or processes.
• Profiling and assessing risks and organising activities to implement the plans.

• Measuring performance by assessing how well the risks are being controlled and investigating the causes of
accidents, incidents or near-misses.
• Reviewing performance, re-visiting plans, policy documents and risk assessments to see if they need updating and
taking action on lessons learnt, including from audit and inspection reports.
A health and safety professional will be best suited to advise an organisation on the best health and safety
management system to be adopted and to guide them through the process of implementation. Decisions need to
be made between, for example the non-accredited HSG65 model, which is perfectly satisfactory, vs the ISO 45001
standard, or even a company specific model which must satisfy the basic requirements of any national legislation.
As part of the implementation, there may be an internal gap analysis, or an external gap analysis, carried out by the
accreditation body in the case of ISO 45001, and the health and safety professional will support the organisation
through the entire implementation process.
Implementing a health and safety management system is not the end of the process. The system needs to be audited
and maintained to ensure that it remains effective, with periodic reviews carried out to ensure that the processes
work as they should.
Why Workers Information Needs to be Held Confidentially

When managing health and safety data, there is a need to hold
information confidentially and carefully, as a great deal of sensitive and
personal information may be gathered (such as during investigations).
As a result, some countries have established legislation to regulate the
storage of data. In the EU, Regulation (EU) 2016/679 General Data
Protection Regulation (GDPR) has been established.
GDPR covers data which is collected for non-personal purposes (e.g. not
personal or family letters), such as business contact details or details of
personnel. Data collected for health and safety purposes, such as details Personal information must be stored
of accidents and incidents, health records, investigation records, etc., securely under UK GDPR Regulations
would be subject to control under GDPR.
GDPR seeks to protect the personal data of individuals through:
• Requiring data to be processed lawfully and fairly, and with the consent of the individuals that it relates to.
• Giving rights to the data subject to obtain copies of information stored and to have inaccuracies corrected.
• GDPR data breaches must be reported to the individuals affected within 72 hours.
• Data controllers must contractually require suppliers to follow the GDPR principles.
The UK has similar legislation in the UK GDPR 2018 and the UK Data protection Act 2018, however other
countries have not adopted a principle of a ‘data controller’; Australia uses the Privacy Act to cover data
management.
MORE...
You will find further information on EU GDPR at:
https://ec.europa.eu/info/law/law-topic/data-protection/eu-data-protection-rules_en

The Health and Safety Professional’s Role in Enabling

Work Activities As Part of Proportionate and Sensible Risk
Management
Health and safety at work legislation is about reducing death, serious injury and ill-health in workplaces - it is about
taking the necessary action to reduce significant risks arising from work. However, in an increasingly risk-averse
society, it can degenerate into simply banning activities.
The health and safety professional should be clear about what is a legal requirement. Rather than attempt to stop
or limit an activity, or assume that it will have undesirable or unintended consequences, the professional should
therefore check whether the decision or the chosen precautions are proportionate by considering the actual risks.
Understanding what the actual risk is involves considering the likelihood and consequences of something going
wrong, and this means thinking about:
• What type of incident the decision or precaution is intended to prevent.

• What injury or ill-health could be caused.
• How likely it is to happen.
Organisations should take ownership of their risks and take proportionate steps to manage those risks, so that
attention is focused on the significant risks that cause injury and ill-health, and not the trivial or everyday low risks.
The Contribution of the Health and Safety Professional in Achieving the

Objectives of an Organisation
Health and safety professionals can contribute to the achievement of the objectives of an organisation by leading on
health and safety issues. They can act as advocates, persuading both managers and the workforce of the value of their
knowledge and expertise.
Organisational health and safety objectives are achieved through a planning process which considers: where the
organisation is now and where it needs to be, what it wants to achieve, who will be responsible for what, how it will
achieve its aims, and how it will measure its success. This needs to be documented in a policy and a plan to deliver it,
where the input of the health and safety professional will be instrumental. A key component of this is the risk profile
of the organisation, and the assessment of these risks to decide what needs to be done to manage these risks, what
the priorities are and which are the biggest risks. This is where the knowledge and expertise of the health and safety
professional becomes vital.
In organising activities to deliver the plan, the health and safety professional has a significant role in involving the
workforce and communicating in such a way that everyone is clear on what is needed; the professional will need to
discuss issues and lead in developing positive attitudes and behaviours.

The Health and Safety Professional’s Role in Change

Management
Involved at the Start
All too often health and safety professionals have to deal with the
aftermath of poorly planned projects or installations: work where safety
wasn’t considered at the outset and now the organisations wants to start
the process, the health and safety team “stop the job”, and the changes
that are required (often for compliance issues) are now far more expensive
and disruptive.
There is no better illustration of the importance of involvement in change

management than the Flixborough disaster in 1974, where pipework was
modified to allow a repair of a leaking reactor without proper consideration
of the safety implications. The process was not robust, poor decisions were
made due to a lack of competence on the team carrying out the work and
28 people lost their lives as a direct result.
It’s not only manufacturing organisations which fall foul of these decisions;
poor change management can result in operational changes such as shift patterns or hours of work being altered
without considering health and safety at the outset. By engaging with the health and safety team at the outset, critical
questions can be asked before things go wrong. Whilst this won’t be guaranteed to prevent all incidents, it is certainly
better than appearing wise after the event.
Influencing Organisational Change

The key to influencing organisational change lies in management buy-in and commitment to a robust management
of change process. These are commonplace in high-hazard organisations, where changing the type of motor or size of
pump which is installed needs to be approved to avoid catastrophic consequences, but forward-thinking organisations
are applying the process to administrative functions as well as operational ones. Health and safety should be a core
part of all business decision making, not a bolt-on or an after-thought at the end. This is difficult when the promise of
a huge contract or a large project is being dangled, but better to understand the liabilities at the start than deal with
the aftermath. Commitment to this can only come from senior management; safety needs to be integrated into the
business at every level.
Use of Plan-Do-Check-Act (PDCA) to Solve Issues

The PDCA model can be used to solve problems as they arise:
• Plan: map out the problem you are solving or the change that the organisation wants to make. This will include
consideration of resources needed, project scope, identified solutions, and indicators of success. The risk
assessment process can be used to support this part of the process
• Do: implement your change, either in a small scale test (on an area or a shift) or as a controlled introduction of a
change.
• Check: review the results and the risk assessment and ensure that any issues that arose were taken into
consideration. If any modifications were made, the implications need to be understood and further cycles
completed in order to test the process again.
• Act: implement the change, recording the decisions that were made and the reasons for the decisions.

The Meaning of the Term ‘Ethics’

Ethics is concerned with moral issues, the judgments we make, and our resulting conduct. Just because an action we
might take is legal does not necessarily mean it is ethical. This is best explained by identifying the ethical principles we
would expect professionals to adopt, such as:
• Honesty in dealings with clients.

• Respecting others.
• Professional integrity.
• Personal conflicts of interest.
The Practical Application of Ethical Principles

IOSH has a Code of Conduct which all members are expected to follow. This requires members to:
• Owe a loyalty to the workforce, the community they serve and the environment they affect.
• Abide by relevant legal requirements.
• Give honest opinions.
• Maintain their competence.
• Undertake only those tasks they believe themselves to be competent to deal with.
• Accept professional responsibility for their work.
• Make those who ignore their professional advice aware of the consequences.
• Not bring the professional body into disrepute.
• Not recklessly or maliciously injure the professional reputation or business of others.
• Not behave in a way that may be considered inappropriate.
• Not use their membership or position within the organisation or Institution improperly for commercial or
personal gain.
• Avoid conflicts of interest.
• Not disclose information improperly.
• Ensure information that they hold necessary to safeguard the health and safety of others is made available on
request.
• Comply with data protection principles and relevant legislation.
• Maintain financial propriety with clients and employers and where appropriate be covered by professional
indemnity insurance.
• Act within the law and notify the Institution if convicted of a criminal offence.
Similarly, the International Institute of Risk and Safety Management (IIRSM) has a Code of Ethics which requires
members to:
• Only advise on or undertake tasks where they are competent to do so.

• Ensure professional competence is maintained and developed.
• Avoid conflicts of interest.
• Inform the appropriate authority of any illegal or unethical, safety-related behaviour.

• Conduct themselves with fairness when dealing with others and not engage in discrimination.
• Act as the faithful agent of their clients or employers and accept responsibility for their own work.
• Assist colleagues in their professional development and support them in following this Code.
• Not bring the Institute into disrepute.
MORE...
You will find further information on ethical issues in the ILO Encyclopedia, specifically in Part III, Management &
Policy, at:
www.iloencyclopaedia.org/part-iii-48230/ethical-issues
Effective Communication and Negotiation Skills

Why Effective Communication is Important
Communication can be defined as the process of delivering information
from a sender to a recipient. To be truly effective, the correct information
has to be transmitted, received and understood. Consequently,
communication can be a problem in organisations generally, not
just relating to health and safety issues. Communication within an
organisation is often seen as the single most important area requiring
improvement. The messages senior management want to communicate
are often not the ones that employees end up receiving. Communication can be problematic
Two important health and safety messages that need to be
communicated are:
• Evidence of clear, visible leadership.

• A common appreciation of how and why the organisation is trying to improve performance.
The health and safety professional can facilitate the delivery of both these messages.
Employers need to set up clear lines of communication in order to build up levels of trust among employees which
will help to improve morale. Poor communication in the workplace inevitably leads to demotivated staff. Managers
need to establish clear, achievable goals for both teams and individuals, outlining exactly what is required and ensuring
that all staff are aware of the health and safety objectives at each level in the organisation.
Effective communication about health and safety relies on information:
• Coming into the organisation.

• Flowing within the organisation.
• Going out from the organisation.
The health and safety professional can play a key role in ensuring that
information into the organisation enables it to monitor:
• Legal developments to ensure they can comply with the law.

• Technical developments relevant to risk control. Clear lines of communication must
be established to build trust among
• Developments in health and safety management practice.
employees

If the health and safety policy is to be understood and consistently implemented, the following key information needs
to be communicated effectively:
• The meaning and purpose of the policy.

• The vision, values and beliefs which underlie it.
• The commitment of senior management to its implementation.
• Plans, standards, procedures and systems relating to implementation and measurement of performance.
• Factual information to help secure the involvement and commitment of employees.
• Comments and ideas for improvement.
• Performance reports.
• Lessons learnt from accidents and other incidents.
Organisations may need to pass health and safety information to others as a legal requirement and this could include:
• Accident or ill-health information to enforcing authorities.

• Information about the safety of articles and substances supplied for use at work.
• Emergency planning information.
The Need for Health and Safety Professionals to Consult and Negotiate
with Others when Developing an Organisation’s Health and Safety
Objectives
Two of the key organisational requirements for developing and
maintaining a positive health and safety culture are co-operation and
communication, and both of these involve consultation.
The key benefits from consultation and negotiation are:
• Better employment relations between workers and employers.

• Workers feel more involved and are more likely to co-operate with
their employer.
Co-operation and communication are
• A safer and less stressful environment is created which contributes to
essential for a positive health and
a good safety culture. safety culture
We have already seen that there are real benefits to consulting with the
workforce on health and safety matters and that this is reinforced through Article 20 of Convention C155. In some
countries it may also be a legal requirement for employees to be consulted about those health and safety issues in the
workplace that affect them. Where trade unions are recognised, consultation may be required to take place through
the safety representatives that are appointed.
However, successful organisations often go further than strictly required by law and actively encourage and support
consultation in different ways. Safety representatives are trained which, in common with all employees, enables
them to make an informed contribution on health and safety issues. They are also closely involved in directing the
health and safety effort through the issues discussed at health and safety committees. Effective consultative bodies
are involved in planning, measuring and reviewing performance as well as in their more traditional reactive role of
considering the results of accident, ill-health and incident investigations and other concerns of the moment.

Employees at all levels are also involved individually or in groups in a range of activities. They may, for example,
help devise operating systems, procedures and instructions for risk control and help in monitoring and auditing.
Supervisors and others with direct knowledge of how work is done can make an important contribution to the
preparation of procedures which will work in practice. Other examples of good co-operation include forming ad hoc
problem-solving teams from different parts of the organisation to help solve specific problems, such as issues arising
from an accident or a case of ill-health. Such initiatives are supported by management and there is access to advice
from health and safety specialists.
Opportunities to promote involvement also arise through the use of hazard report books, suggestion schemes or
safety circles (similar to quality circles) where health and safety problems can be identified and solved. These, too, can
develop enthusiasm and draw on worker expertise.
Influencing Ownership of Health and Safety at all Levels of

an Organisation
At board level, responsibility and ownership of health and safety can be achieved by ensuring that:
• Health and safety arrangements are adequately resourced.

• Competent health and safety advice is available.
• Risk assessments are carried out.
• Employees or their representatives are involved in decisions that affect their health and safety.
The board should consider the health and safety implications of change (new processes, working practices, personnel)
and allocate adequate resources to the task.
The organisation’s health and safety management system should be ‘owned’ at each level, with everyone who works
at the company owning part of it. Everyone has a responsibility to contribute to the system, and those who have
assigned or designated responsibilities should be accountable to the management or staff of the company for safety
performance in their areas of responsibility.
The following activities can act as drivers to influence ownership:
• Participation by employees supports risk control by encouraging their ‘ownership’ of health and safety policies. It
establishes an understanding that the organisation as a whole, and people working in it, benefit from good health
and safety performance. Pooling knowledge and experience through participation, commitment and involvement
means that health and safety really becomes ‘everybody’s business’.
• Management accountability means that managers are judged on how well or effectively they carry out the
duties they are responsible for. Consequently, their credibility relies on taking on board their responsibilities and
accounting for (or explaining) the actions taken (or not taken) to senior managers.
• Consultation can occur at each stage of the health and safety management system (Plan, Do, Check, Act):
–– Plan: consult workers or their representatives during the planning and organisation of training.
–– Do: involve and consult workers and representatives during the implementation process, by ensuring there
are systems in place that allow workers to raise concerns and make suggestions.
–– Check: involve the workforce in setting and monitoring performance measures and encourage them to
monitor their own work area.
–– Act: discuss plans for review with workers or their representatives, use information from safety
representatives’ inspections to feed into the review and discuss the review findings with workers or their
representatives.

• Feedback on success and failure is an essential element in motivating employees to maintain and improve
performance. Successful organisations emphasise positive reinforcement and concentrate on encouraging
progress on those indicators which demonstrate improvements in risk control. This also encourages identification
with and ownership of the health and safety programme.
Benefits of the Health and Safety Professional Engaging with

Stakeholders
The health and safety professional can always rely on the ‘legal stick’ to beat a path through the resistance to enact
change; however a much more effective method is to engage with the stakeholders in order to exert influence, so
that change happens with them rather than to them. Stakeholders could include the managers, engineers, customers,
etc., wanting to introduce a new product line; working together can ensure that the scale of the challenge is
understood and effective solutions are identified with health and safety as an enabler rather than as a stumbling block.
Ways that the Health and Safety Professional Can Understand and
Influence Different Stakeholder Groups
In order to influence stakeholder groups, the health and safety professional must understand the function of, and
the issues driving the groups. This may involve spending time talking to them to understand their issues or concerns,
providing briefing information for their consideration and feedback, and establishing focus groups to deal with
specific concerns. Collaboration is the key to gaining influence, all supported by visible commitment from senior
management.
The Importance of Receiving and Acting on Feedback on Health and

Safety Performance From All Stakeholders
Reviewing is the process of making judgments about the adequacy of
health and safety performance. Organisations need to receive feedback to
see if the health and safety management system is working effectively as
designed. Reviewing also gives the opportunity to celebrate and promote
health and safety successes. Increasingly, third parties are requiring
partner organisations to report health and safety performance publicly.
The main sources of information on health and safety performance

feedback come from measuring activities and from audits.
Reviews allow organisations to celebrate
Feeding information on success and failure back into the system can help health and safety successes
to motivate employees, and successful organisations emphasise positive
reinforcement and concentrate on encouraging progress on those indicators that demonstrate improvements in risk
control.
Reviewing should be a continuous process undertaken at different levels within the organisation and involving all
stakeholders.
Review plans may include:
• Monthly reviews of individuals, supervisors or sections.

• Three-monthly reviews of departments.
• Annual reviews of sites or of the organisation as a whole.

Organisations should decide on the frequency of the reviews at each level and devise reviewing activities to suit the
measuring and auditing activities. In all reviewing activity, the result should be specific remedial actions which:
• establish who is responsible for implementation; and,

• set deadlines for completion.
These actions form the basis of effective follow-up, which should be closely monitored.
Key performance indicators for reviewing overall health and safety performance might include:
• assessment of the degree of compliance with health and safety system requirements;
• identification of areas where the health and safety system is absent or inadequate (those areas where further
action is necessary to develop the total health and safety management system);
• assessment of the achievement of specific objectives and plans; and
• accident, ill-health and incident data accompanied by analysis of both the immediate and underlying causes,
trends and common features.
These indicators are consistent with the development of a positive health and safety culture and emphasise
achievement and success, rather than merely measuring failure by looking only at accident data.
Organisations may also ‘benchmark’ their performance against other organisations by comparing:
• Accident rates with organisations in the same industry that use similar business processes and experience similar
risks.
• Management practices and techniques with organisations in any industry to provide a different perspective and
new insights on health and safety management systems.
As part of a demonstration of corporate responsibility, more organisations are mentioning health and safety
performance in their published annual reports.
The Use of Different Types of Communication Media

Available to Promote the Health and Safety Message
Verbal Communication
This is communication using the spoken word, such as face-to-face conversations, meetings, interviews, training
sessions, by telephone or over a Public Address (PA) system.
It is the easiest and most commonly used method of communication but there are weaknesses associated with it.
If verbal communication is to be used to convey safety critical information to workers, these weaknesses must be
overcome.

Limitations Merits
• Language barrier may exist. • Personal.
• Jargon may not be understood. • Quick.
• Strong accent or dialect may interfere. • Direct.
• Background noise may interfere. • Allows for checking of understanding.
• Recipient may have poor hearing. • Allows for feedback to be given.
• Message may be ambiguous. • Allows for exchange of views.
• Recipient may miss information. • Usually allows for additional information to be
transmitted by means of tone of voice, facial
• Recipient may forget information.
expression and body language.
• No written record as proof.
• Poor transmission quality if by telephone or PA
system.
Electronic
Most organisations utilise electronic communication media extensively; this includes emails, internal internet
(intranet) sites, document databases, and sharing sites.
Limitations Merits
• Indirect. • Permanent record.
• Takes time to write. • Can be referred back to.
• May contain jargon and abbreviations if not written • Can be written very carefully to avoid use of jargon,
carefully. abbreviations and ambiguity.
• Can be impersonal. • Can be distributed to a wide audience relatively
cheaply.
• Message may be ambiguous.
• Message may not be read by recipient.
• Messages can be broadcast to a wide audience
without verification and may receive external
attention.
• Language barrier may exist.
• Recipient may not be able to read.
• Immediate feedback is not available.
• Questions cannot be asked.
• Recipient may have impaired vision.

Printed
Here communication is by means of the written word, such as reports, memos, notices, company handbooks, policy
documents, operating instructions, risk assessments, and minutes of meetings.
Limitations Merits
• Indirect. • Permanent record.
• Takes time to write. • Can be referred back to.
• May contain jargon and abbreviations. • Can be written very carefully to avoid use of jargon,
abbreviations and ambiguity.
• Can be impersonal.
• Can be distributed to a wide audience relatively
• Message may be ambiguous.
cheaply.
• Message may not be read by recipient.
• Language barrier may exist.
• Recipient may not be able to read.
• Immediate feedback is not available.
Pictorial
Communication can take place by using pictures, symbols or pictograms, e.g. safety signs, such as a fire exit sign;
hazard-warning symbols, such as the skull and crossbones on the label of a toxic chemical; or photographs, such as in
the operating instructions for a machine, showing a guard being used correctly.
Limitations Merits
• Can only convey simple messages. • Eye-catching.
• Might be expensive to buy or produce. • Visual.
• May not be looked at. • Quick to interpret.
• Symbols or pictograms may be unknown to the • No language barrier.
recipient.
• Jargon-free.
• No immediate feedback available.
• Conveys a message to a wide audience.

Social
Social media is now a huge area of opportunity and can be extremely
useful in communicating to a wide audience quickly and cheaply. This
can be through public platforms (such as social media websites) as
organisations can share a safety message to a global audience instantly,
but this can also be open to abuse through uncontrolled releases (e.g. by
employees) or negative or malicious commentary by third parties. It is
also vital to remember that once sent a message on the internet, it is then
visible for all to see, even if deleted it may remain in the public domain
through sharing and records. For this reason, close management and
effective policies restricting the use of social media should be established.
Used well, however, this can be an incredibly powerful and engaging communication tool. Closed message groups
(restricted to employees only), together with private in-company messenger tools, can be equally effective but access
should be restricted only to those with the authority to view them.
Why an Organisation’s Top Management Should be Media Trained

In the event of a serious incident, there could be considerable media interest, and with easy access to smartphones,
this could be almost instantaneous as reporters can broadcast now from any location and without a film crew. The
media may press for a comment and the temptation to make a statement at a time of stress could be great, but
this could be hugely prejudicial to the organisation and upsetting for the families of anyone affected. By providing
key personnel with media training, any response given should be timely and measured, rather than ill-planned and
inaccurate.
Though not a form of formal reporting, it should be remembered that social media can result in reporting from
within the organisation if employees put photographs or commentary about an incident onto a social media platform.
This, in turn, can be picked up by the press.
Procedures for Resolving Conflict and Introducing Change

The introduction of change may be accompanied by conflict within an organisation; it is vital that conflicts are
resolved to ensure a good working environment and atmosphere.
During periods of change, conflict can occur because of:
• Personality clashes: change bringing people of differing personalities into new relationships.
• Poor communication: can lead to misunderstandings and confusion which can fuel conflict.
• Conflicting interests: change can alter the power of relationships within an organisation.
• Lack of leadership and control: resulting in a lack of clear direction which can lead to conflict as different people
interpret the scenario for change in different ways.
DEFINITION
ORGANISATIONAL CONFLICT
Any perceived clash of interests between individuals, groups or levels of authority in an organisation.

While tackling the above areas will help to resolve conflict, note that there are two broad approaches to conflict:
• Unitary Approach
This involves the common aims of the organisation, such as its well-being and how workers and management
have the same basic interest in that well-being. According to this view, conflicts arise because workers do not fully
appreciate where their true interests lie. There is also some blame on management when conflict occurs because
management must have failed to communicate with workers and convince them that their best interests lie in
co-operation and not conflict. According to the unitary approach, the best way to tackle conflict at its roots is to
generate team spirit, company loyalty, and good working conditions.
• Pluralist Approach
This recognises that the organisation is made up of various groups whose interests and goals may differ.
Conflicting parties will benefit from identifying issues of compatibility.
Conflict should be controlled by balancing the various groups. Where strong management works alongside strong
trade-unions, each side respects the other and does not lightly enter into conflict. The causes of conflict are
brought out into the open and hard bargaining takes place, but serious disruption to the work of the organisation
is avoided.
Generally, managers take the unitary approach to conflict and change, while trade-unions favour the pluralist
approach.
Ensuring Roles and Responsibilities are Clear, Understood By

All Workers and Implemented
The promotion of ownership of health and safety in an organisation is an
important aspect of the health and safety professional’s role. Ownership
relies on all workers understanding what their personal role is within the
health and safety management system, and this should be clearly defined
in the organisation’s health and safety policy. The policy will set out what
the organisation is going to do to manage health and safety and also who
is going to do what and how.
Within the policy there should be details of everyone’s roles

and responsibilities, including those with particular functions, such as directors, managers, supervisors, safety
representatives, workers, fire wardens, first aiders and the competent person. Leaders hold responsibility for making
sure that workers and managers are capable of fulfilling their allocated roles. Managers are accountable for ensuring
that workers have the necessary training and knowledge to perform their duties, and that they understand the
information, instruction and training given to them. A key component of this is making sure that all concerned are
clear on:
• Their general roles and responsibilities.

• Who specifically is responsible, accountable and competent to undertake particular tasks.
Managers can demonstrate their commitment to health and safety, and support for those with responsibilities, by
using a variety of communication channels to engage the workforce in implementation such as visible behaviour,
written material and face-to-face discussions.
To check the extent of implementation of responsibilities and to make necessary adjustments (if there is early
evidence that requirements are not being met), managers need to monitor performance. If roles and responsibilities
for health and safety are included in job descriptions, then it can be part of general job appraisal. The overall
effectiveness of this is an issue that health and safety professionals may pursue during health and safety system audits.

The Health and Safety Professional’s Use of Financial

Justification to Aid Decision Making
The Significance of Budgetary Responsibility
One of the principal arguments used to justify health and safety initiatives
is the financial benefits to be gained. Employers with good health and
safety management systems in place are likely to make substantial savings
on the cost of accidents that would otherwise have happened. But no
business likes to spend money on anything unnecessary, for expenditure
means reduced profits or revenues.
If the business’s income is more than its costs, the business has made a
profit; if the business’s costs are more than its income, the business has
Cost-benefit analysis
made a loss. The Payback Period is the amount of time required for the
return on an investment to return the sum of the original investment.
The business case for a health and safety initiative, therefore, needs to show that the profit gained from the benefits
of the investment will outweigh the loss from the capital expenditure. Justification for health and safety expenditure
also needs to substantiate why the cost is necessary, and not avoidable. An obvious reason may be statutory
compliance but often a more persuasive business case is required.
The most important part of a cost justification is the perceived benefits resulting from incurring the cost. This is
where cost-benefit analysis (see later in this Learning Outcome) can determine the returns or savings expected by
making the investment. In addition, incurring the cost may provide indirect benefits that may make the proposal
more attractive, although these benefits are often difficult to quantify: e.g. improved morale, better customer
perception and image.
Generally, approval becomes easier when more people benefit, and major health and safety initiatives may benefit
large sections of the workforce. The benefits of some spending activities, such as Personal Protective Equipment
(PPE), can be seen immediately; the benefits of other spending activities, such as training, may take some while to
demonstrate a payback. However, wherever appropriate, determine the present value of the expected results, or the
future value of the investment, to allow decision-makers to incorporate the time value of money when making the
decision.
It might be necessary to consider whether the cost leads to any other follow-up costs. For instance, new ventilation
equipment would require additional payments on energy charges and maintenance charges.
Importance of Recognising Who is the Responsible Budget Holder and

How They can be Influenced to Make Appropriate Health and Safety
Decisions
Budget holders are the persons accountable for expenditure from, and income to, particular budgets. They are
responsible for the control of their budget and for the general financial administration of their area of responsibility.
Consequently, they are the ones responsible for authorising expenditure from their budget.
A budget holder is likely to be a senior manager, or director of the business, with responsibility for procurement and
the associated financial checks and balances. Their perspective is often that their budget is there to be spent as they
see fit, with the finance function supporting them with budget availability information and making sure that suppliers
get paid. The budget holder’s priorities are usually geared towards the effective operation of their department or
business unit, and the relevance of health and safety to this may well not be apparent to them.

Health and safety initiatives have to be funded from somewhere and this, therefore, requires a responsible budget
holder to agree to authorise expenditure from their budget. As a result, the general arguments used to justify health
and safety initiatives may need to be convincingly directed at specific budget holders to influence them to make
appropriate decisions.
How this works in practice depends on the organisation’s financial arrangements. If the responsibilities of budget
holders to allocate resources is specifically defined, then this should include health and safety expenditure.
Consequently, health and safety requirements for a particular business unit can easily be matched against the
responsible budget holder. If health and safety is less well integrated into business unit management then identifying
the budget from which health and safety expenditure will be taken can be more difficult.
The existence of a ‘health and safety budget’ or ‘health and safety contingency fund’ can serve to complicate the
argument over who the responsible budget holder is. The corporate view may be that budget holders are responsible
for funding all health and safety initiatives in their business unit. However, the budget holder may well be of the view
that significant health and safety expenditure and initiatives should be centrally funded. These are issues that need to
be clarified in the health and safety policy so that it is clear who is responsible for what, and where the responsibility
for financial allocation lies.
Cost-Benefit Analysis in Relation to Risk Control Decisions

There are costs involved with all accidents and losses. There will also be costs involved with accident prevention and
risk reduction, in addition to the obvious benefits of such measures. It is possible to spend more on risk treatment
than we save by the reduction of the losses. This is why part of risk management is the idea of risk retention.
The cost-benefit graph is illustrated below:
Cost-benefit graph
This graph shows the position where there is maximum benefit.
Cost-benefit analysis is a conceptually simple tool for helping you make a decision as to whether a particular course of
action or project is, in fact, viable or cost effective. So, if you are thinking about upgrading risk control measures, you
will probably need to justify the request for funding with the aid of a cost-benefit analysis. In its simplest form, it is an
entirely economic argument (rather than moral or legal). It is an essential, persuasive tool for the safety professional
because, not only is it systematic and simple, but it is also commonly used and understood by business people. For
this reason, proposed new regulations relating to health and safety are almost always accompanied by a regulatory
impact assessment, which contains a cost-benefit analysis to assess financial impact of the proposals on businesses. In
the case of regulatory impact assessments, costs may outweigh the benefits for certain industries but, if the proposals
become law, you still have to implement their requirements.

In principle, you simply add up all the benefits associated with a programme and then subtract all the costs. In
practice, there are a number of complications:
• Not All Costs and Benefits Can Be Assigned a Reasonably Accurate Financial Value
Though we know that intangible things such as ‘reputation’, ‘public/shareholder perception’, ‘worker morale’ and
‘worker co-operation and involvement’ may have an impact on efficiency, productivity, shareholder investment
and sales, their value cannot be fully quantified financially – though it may be possible to propose an estimate.
• Benefits May Not Be Seen Immediately

It may take several years to achieve sufficient benefits to ‘break-even’. This is known as a Payback Period. This
includes the benefits of reduction in civil liability claims and reductions (or no trend of further rises) in employers’
liability insurance premiums.
• Some Costs and Benefits Are One-Off, Others Are Recurring

For example, if your project required the purchase of a new piece of machinery, there is the initial one-off cost
of the machine itself, installation, commissioning, and any specific training. There are also the annual on-going
running costs, such as energy, maintenance, testing, etc. For ‘software’ projects, such as implementing a safety
management system or a behavioural safety programme, you may need to hire extra staff to manage and
administer the system, as well as incur costs associated with annual external audits/recertifications.
Costs as a Result of Safety Improvement Measures

We have already looked at some typical sources of costs in relation to health and safety accidents. Benefits can
be along similar lines; removing a current source of cost is, of course, a future saving, and therefore a benefit of
implementing a risk control measure.
There is obviously a cost implication from controlling any kind of risk. Costs from implementing safety improvement
measures (some of which may have on-going as well as one-off costs) can arise from the following areas:
Organisational
These are the costs of any new personnel (salary and training), or perhaps making greater use of an existing resource
required to implement and maintain risk control measures. There will also be costs associated with disruption to
normal working (temporary staff to cover workers being trained or overtime).
Design
Reduction of accidents will involve engineering aspects; such as the purchase, fabrication and installation of safety
devices, other equipment and any associated software. Safety systems need to be designed and programmes for
recording and costing losses will have to be tried out. Costs may also arise from lost production and sales, perhaps
due to plant shut-down while equipment is being installed.
Planning
New safe methods of work, permit-to-work schemes and factory layouts could be considered here.
Operational
Consideration must be given to the costs of running and maintaining safety systems, maintaining guards, interlocks
and software (support, licence renewals), and providing PPE as well as carrying out sampling and testing.

Benefits may arise from issues such as:
• Projected reduction in accidents, with associated savings from less time off and fewer investigations, etc.
• Projected reduction in civil claims.
• Projected reduction in insurance premiums (or reducing the trend of increases due to repeated claims).
• Increased productivity (i.e. reduced cost per unit). This may seem difficult to quantify. However, think about how
much time might be saved and translate this to worker-hours. This will give an indication of how much time, and
therefore money, may be saved.
You must be prepared to provide and justify estimates of the benefits that you perceive. You will need to analyse your
annual accident statistics and consult with your personnel, legal and finance departments to arrive at estimates for
some of these benefits.
Initially, you should try to stick to costs and benefits for which you can provide plausible estimates. The more
intangible elements for which no financial estimate can be agreed are of more persuasive value. Once you have
estimated costs and benefits, you can calculate a projected payback or break-even point. The shorter this is, the
better, of course, but some projects are more long-term. Even so, do not expect to be greeted with enthusiasm if
your projected Payback Period is much over three years; short Payback Periods are much more attractive to higher
management.
MORE...
The HSE’s view on cost-benefit analysis, including a checklist, may be found at:
www.hse.gov.uk/managing/theory/alarpcheck.htm
The Internal and External Sources of Information That Should be

Considered When Determining Costs
The cost justification for health and safety initiatives is based on the
benefits resulting from incurring the cost. The business data and
information required for this exercise comes from multiple sources, both
external and internal. Costs include:
• New personnel (salary and training) – obtained from internal staffing

data and national figures.
• Disruption to normal working (temporary staff to cover workers
being trained or overtime) – obtained from past internal staffing
costs.
• Purchase, fabrication and installation of safety devices – based on external suppliers’ data.
• Lost production and sales – from past balance sheets.
• New safe methods of work and permit-to-work schemes projected from internal and sector figures.
• New factory layouts – based on external suppliers’ estimates.
• Running and maintaining safety systems, maintaining guards – projected from internal and suppliers’ figures.
• Reduction in accidents, with associated savings – based on internal and national projected accident figures.
• Projected reduction in civil claims – based on past claims experience.
• Projected reduction in insurance premiums – based on internal and national insurance premium trends.
• Increased productivity (i.e. reduced cost per unit) – projected from internal and sector figures.

The Necessity of Both Short- and Long-Term Budgetary Planning When

Seeking Approval for New Initiatives, Projects and Campaigns
The business case for health and safety initiatives needs to show that the profit gained from the benefits of the
investment will outweigh the loss from the capital expenditure. The cost-benefit analysis determines the returns or
savings expected by making the expenditure.
Companies use short-term financial plans to meet budget and investment goals within one fiscal year. These plans can
be amended as financial and investment goals change and have a higher degree of certainty compared to long-term
plans.
Capital costs for plant and equipment required for health and safety initiatives will appear in the short-term financial
plan. Running costs are usually easy to quantify and can be included in the annual budget.
The benefits, or cost savings, from improved health and safety standards tend to be more difficult to quantify and are
realised over a longer timescale.
Projected savings from reduced accidents and incidents are longer-term and difficult to quantify for two main reasons:
• Poor reporting and the general uncertainty in available incident data makes it difficult to estimate potential future
losses accurately.
• The full cost of an incident is difficult to quantify and its exact budgetary impact is hard to estimate.
Consequently, the benefits of a health and safety initiative tend to figure in the long-term budgetary plan, whereas
the loss from capital expenditure will appear very quickly in the short-term budget.
STUDY QUESTIONS
1. Identify five examples of how a safety professional would be expected to adhere to ethical principles.
2. Outline how effective leadership can play an essential role in promoting participation and engagement of
the workforce.
3. Outline activities that can act as drivers to influence ownership of health and safety in an organisation.
4. Identify internal and external sources of information that could be considered when determining costs of
health and safety initiatives.

Summary
Summary

In this Learning Outcome, we have described the role of the health and safety professional, the essential
communication and negotiation skills needed, and how to use financial justifications to aid decision making. We have
specifically looked at:
The Role of the Health and Safety Professional

In this section, we have considered:
• The role of the health and safety professional, and discussed the meaning of the term ‘competence’ in this
context.
• The importance of health and safety professionals evaluating and developing their own practice, and their
involvement in mentoring and supporting other employees at all levels.
• The distinction between leadership and management.
• The need to adopt a different management style depending on the situation.
• The influence of the health and safety professional on the health and safety management system’s development,
implementation, maintenance and evaluation.
• Sensible risk management, and the health and safety professional’s role in enabling work activities as part of it.
• The contribution the health and safety professional can make in the achievement of the organisation’s objectives.
• The meaning of the term ‘ethics’ and the practical application of ethical principles within the health and safety
profession.
Effective Communication and Negotiation Skills

In this section, we outlined:
• The significance of effective communication and the importance of consultation and negotiation when
developing a positive health and safety culture.
• The importance of ensuring the ownership of health and safety at all levels within the organisation.
• The need to review health and safety performance on a regular basis and act on feedback received.
• Various types of communication available to disseminate the health and safety message.
• How to approach the resolution of conflict and the introduction of change.
• The importance of ensuring that all workers understand their roles and responsibilities.
The Health and Safety Professional’s Use of Financial Justification to Aid

Decision-Making
In this section, we looked at:
• The significance of budgetary responsibility and the importance of recognising who the responsible budget
holder is.
• The use of cost-benefit analysis to help in decision-making.
• The varied internal and external sources of information that can be used when assessing cost justification for
health and safety initiatives.
• Short- and long-term budgetary planning in the context of health and safety initiatives.


Learning Outcome 7
• Develop a health and safety policy strategy within your organisation (including proactive
safety, Corporate Social Responsibility, and the change management process).


Contents
Societal Factors 7-3

Economic Climate 7-3
Government Policy and Initiatives 7-3
Industry/Business Risk Profile 7-3
Globalisation of Business 7-3
Migrant Workers 7-3
National Level of Sickness Absence and Incapacity 7-4
Societal Expectations of Equality 7-5
Corporate Social Responsibility 7-7

What is Corporate Social Responsibility (CSR) 7-7
The Four Types of CSR 7-7
The Benefits for Organisations From CSR 7-8
Organisational Change 7-9

Why Organisational Change Needs to be Effectively Managed 7-9
Use of the Kubler-Ross Change Curve to Manage the Change Process 7-9
Key Principles of Managing Organisational Change 7-11
Summary 7-14

Societal Factors 7.1
Societal Factors

IN THIS SECTION...
• Outline societal factors that could influence an organisation’s health and safety policy and priorities.

Economic Climate
The wealthiest countries of the world, where individuals have access
to the basic necessities for life, such as food, clean water and shelter,
have the funding to create and enforce good Occupational Health and
Safety (OHS) standards. In countries where individuals do not have these
resources, it is inevitable that OHS is given a relatively lower priority.
Government Policy and Initiatives

The UK government has a major influence on OHS policy through
its ability to create legislation. In 2008, the UK government published
a document entitled Working for a healthier tomorrow which made the OHS is often a higher priority in
following points: wealthier countries
• Life expectancy in the UK is higher than ever, yet millions of working days are lost to work-related illness.
• Evidence suggests that the working population is healthier than those who do not work. Families without a
working member are likely to suffer persistent low income and poverty.
• Improving the health of the working age population is critically important for everyone to secure higher
economic growth and its associated benefits.
Industry/Business Risk Profile

Not surprisingly, higher-risk work activities require higher standards of control than those that create lower risks. For
example, nuclear power stations each operate under a site licence and demand very rigorous OHS standards.
Globalisation of Business
Many businesses of all sizes operate both nationally and internationally,
yet the standards demanded in the UK may be very different to those
required by the overseas environment. Resolving differences in culture
and communication may create different expectations and standards.
Migrant Workers
The UK, in line with most nations, has seen an increase in immigration Health and safety is a priority around
which has resulted in a rich and diverse working population. Whilst the world
bringing great benefits, there are also challenges when employing
migrant workers, which can in part be attributed in part to the differing health and safety standards around the globe.
Language barriers may also exist, and employers must take time to ensure that safety communication with all workers
is effective. Migrant workers may also be more willing to work, and as such, have historically fulfilled many low-paid
roles in organisations who may not adhere to the highest standards of safety.

7.1 Societal Factors
National Level of Sickness Absence and Incapacity

National policies on sickness pay vary dramatically; in the UK there is a national minimum payment which many
employers may exceed in order to maintain the worker’s salary. In Europe many countries subsidise the sick pay,
whereas in the US there are no national sick pay standards.
In the UK, sickness absence has gradually reduced, but is still substantial, with around 150 million days lost to sickness
absence each year. Employment and Support Allowances (which are replacing Incapacity Benefits) are paid to those
who are unable to work because of ill health or disability.
EU OSHA estimates that whilst the number of work related accidents has fallen by 25% in the past 10 years, work
related diseases still account for 2.4 million deaths worldwide, with 200,00 of those in Europe.
The ILO estimates at the time of writing that there are 2.7 million deaths per year arising from occupational accidents
or work related diseases, with some 374 million non fatal work related accidents resulting in over 4 days of work
absence every year. The scale of the problem globally is huge. The cost of this is estimated to be 3.94% of global GDP
per year.
In the UK, sickness absence has gradually reduced but is still substantial. A study in 2018 by the Office For National
Statistics (Sickness absence in the UK labour market) found that:
• An estimated 141.4 million working days were lost due to sickness or injury in 2018.
• This equates to 4.4 days per worker.
• Highest rates of sickness absence were amongst:
–– Women.
–– Older workers.
–– Those with long term health conditions.
–– Part time workers.
–– Those in large organisations with over 500 employees.
• The most common reasons for sickness absence in 2018 were:
–– Minor illnesses (including coughs and colds).
–– Musculoskeletal problems.
–– “Other” conditions (including accidents, poisonings and diabetes).
–– Mental health conditions (including stress, depression and anxiety).
• Employment and Support Allowances (which are replacing incapacity benefits), Incapacity benefit and severe
disablement allowances are paid to those who are unable to work because of ill-health or disability. The
Department for Work and Pensions (DWP) reported that in 2019, 2.1 million people received such benefits in the
UK. Whilst a decrease from the previous year, this is still a very large proportion of the working population.

Societal Factors 7.1
MORE...
ILO statistics on ‘Safety and Health at Work’ can be found at:
www.ilo.org/global/topics/safety-and-health-at-work/lang--en/index.htm
You can view more information from the EU OSHA on work-related diseases at:
https://osha.europa.eu/en/themes/work-related-diseases
Societal Expectations of Equality

Health and safety standards and priorities can be determined by changes in societies’ expectations of equality.
In the UK, the Equality Act 2010 aims to protect disabled people and prevent disability discrimination. The Equality
Act provides legal rights for disabled people in the area of employment, requiring employers to make reasonable
adjustments to the workplace to accommodate workers with disabilities. Consequently, acceptable access and egress
to a workplace may need to include provision of ramps and lifts in order to comply with these expectations of
equality and the legal obligations associated with them.
Example Reasonable Adjustments

Reasonable adjustments remove or minimise disadvantages experienced by disabled people. Employers must make
reasonable adjustments to ensure disabled people are not disadvantaged in the workplace. They should also make
sure policies and practices do not put disabled people at a disadvantage.
What Does ‘Reasonable’ Mean?

What is reasonable will depend on the size and nature of the organisation; a large employer will be more likely than a
small shop to have the resources to make very expensive adjustments. However, many adjustments will be simple and
inexpensive.
In practice, reasonable adjustments will vary widely but in summary you

should take reasonable steps to:
• Avoid disadvantage when a provision or criterion puts a disabled

person at a substantial disadvantage (i.e. a disadvantage that is more
than minor or trivial). For example, changing a pass mark for an exam
would not be a reasonable adjustment, but allowing additional time
or provision of a reader or scribe where appropriate may be.
• Avoid disadvantage when a physical feature puts a disabled person at
a substantial disadvantage. For example, marking changes in level to
assist visually impaired people, use of tactile signage or provision of accessible routes into and around a building.
• Provide equipment or assistance, where, without it, a disabled person would be at a substantial disadvantage.
Examples here could be: modified workstations, provision of support workers, or sign language interpreters for
deaf students in the classroom.

7.1 Societal Factors
Some common examples of reasonable adjustments in the workplace might include:
• A special chair because of back problems.

• A special keyboard because of arthritis.
• A ramp for a wheelchair user.
• Changing working hours or patterns of work.
• A phased return after sick leave.
• A designated car park space.
• Modifying sickness absence triggers: these are the number of days' absence when managers consider warning,
and possible dismissal, unless attendance at work improves.
• Modifying performance targets.
Employers should remember the aim of the adjustment is to take away the disadvantage for the disabled person and
enable them to carry out their job/duties.
STUDY QUESTION
1. Outline five societal factors that influence health and safety standards.

Corporate Social Responsibility 7.2
Corporate Social Responsibility

IN THIS SECTION...
• Outline the four types of Corporate Social Responsibility (CSR) and the benefits it brings to organisations.

What is Corporate Social Responsibility (CSR)
Corporate Social Responsibility (CSR) is the term used to describe the
voluntary actions that business can take, over and above compliance
with minimum legal requirements, to address both its own competitive
interests and the interests of the wider society. Businesses should take
account of their economic, social and environmental impacts, and act
to address the key sustainable development challenges based on their
core competences wherever they operate – locally, regionally and
internationally.
Companies are being put under increasing pressure to measure and report on health and safety issues through their
CSR policies. This is because occupational health and safety, as well as product safety, is now widely recognised to
form an integral part of CSR and is included in all major measurement and reporting guidelines and tools developed
for CSR. Organisations are no longer simply reporting financial performance data.
The pressure from shareholders, investors and other stakeholders to improve CSR and run a business ethically and
transparently, not only enhances reputation but leads to improvements in health and safety.
The Four Types of CSR

There are four main types of CSR which have been identified. These will not suit all organisations equally so should be
seen as foundations which can be adapted to suit the nature of each organisation.
1. Philanthropic
Philanthropic efforts involve the donation of money, time or resources to support charities or projects. These can
be through the support of local charities, or even supporting funding of an international relief effort. Examples of
famous philanthropists include Bill and Melinda Gates, who have donated $50 billion to non-profit organisations
to “improve the quality of life for individuals around the world.” Internet entrepreneur Mark Zuckerberg and his
wife have pledged to give away 99% of their wealth over the course of their lifetime, which is estimated to be
around $46 billion. And Serena Williams, professional tennis player, established the Yetunde Price Resource
Center for locals in the Compton area where she grew up.
2. Environmental Protection
There is a great interest in environmental protection and
sustainability, and positioning your organisation to support these
fields can be seen as highly beneficial. For example, many companies
are moving away from single-use plastics in their packaging, towards
compostable cartons or reusable bags. The London Marathon in
2019 introduced seaweed based “water pods” to attempt to reduce
the number of plastic bottles used, handing out 30,000 of them.
But it isn’t only the big organisations who are making a difference:
much smaller race organisers, such as “Trail Outlaws” and “Saturn Running”, require that runners bring their own
reusable cup to their races to be filled as required, saving thousands of plastic bottles each year.

7.2 Corporate Social Responsibility
3. Organisation Diversity
Organisations have realised that there is a great benefit to having a workforce that better represents the diverse
nature of our society and have diversity policies to encourage and support this. Universities and higher-education
establishments can engage in the Athena SWAN Charter which seeks to improve gender equality.
MORE...
More information on the Athena SWAN Charter can be found at:
www.advance-he.ac.uk/equality-charters/athena-swan-charter
4. Volunteering commitments
Many organisations have embraced the idea that working with the local community is not only good for the
organisation, but can greatly improve the way that organisations are viewed and have actively encouraged
employees to participate in volunteering opportunities. Examples include wielding paintbrushes to refurbish a
community, carrying out food bank collections, local schools holding afternoon tea for residents of care homes,
or delivering selection boxes at Christmas to children in hospitals.
The Benefits for Organisations From CSR

There are clear benefits to having a clear, strong CSR message. Organisations can be heavily criticised for failing to
maintain high environmental standards and face substantial media and social media backlash for pollution incidents or
use of plastics in packaging. At the same time, positioning the organisation as one with excellent CSR credentials can
boost the brand reputation, increase brand recognition and instill a feeling of loyalty from customers committed to
the same ideals and values. This can result in a sense of employee satisfaction which will result in loyalty and reduced
employee turnover.
STUDY QUESTION
2. What is meant by ‘Corporate Social Responsibility’?

Organisational Change 7.3
Organisational Change

IN THIS SECTION...
• Outline why and how organisational changes should be effectively managed.

Why Organisational Change Needs to be Effectively
Managed
No issue in recent history has illustrated the difficulties faced during
times of change than the Covid-19 pandemic. Overnight, organisations
faced huge changes which were outside of their sphere of influence, and
this resulted in high levels of anxiety at all levels in the public and private
sectors alike.
Thankfully, however, changes are not usually this radical or quite so rapid;
the marketplace may require businesses to change and adapt to new
circumstances which could be wide ranging: from changing locations to
The Covid-19 pandemic forced
suit the client base, to downsizing or expanding organisations to meet
businesses to adapt to
changing demands.
new circumstances
Organisational changes are often not considered as carefully as they
could perhaps be, resulting in a negative impact upon safety as issues may be missed and groups placed at undue
risk. For example, if transferring responsibility for the management of buildings and facilities management to
an outsourced contractor, it would be possible to omit Legionella control, resulting in this critical area not being
managed adequately. Equally, the nature of change, uncertainty, and the pace of change itself, can cause anxiety and
stress for the employees which can increase the risk of accidents and mental ill-health concerns.
Use of the Kubler-Ross Change Curve to Manage the Change

Process
The Kubler-Ross curve was developed by the Swiss psychiatrist Elizabeth Kubler-Ross. Originally looking at the
experiences of people suffering death and loss, the original model was called “the five stages of grief and loss”. It can,
however, be applied in the wider context of change management if we consider that a traumatic situation doesn’t
only come from illness or injury, but can also be from other traumas, such as redundancy or organisational change.

7.3 Organisational Change
The Kubler-Ross Change Curve
Denial
Acceptance
Shock
Anger &
Frustration
Energy
Experiment
Bargaining
Depression
Time
Source: Kubler-Ross E. On Death and Dying, Simon & Schuster, 1969.
The 5 stages of Grief and loss are:
Shock/Denial
When presented with bad news or, in an organisational context, news that something unwanted will be happening
(such as a merger or relocation, redundancy, etc.) the instant reaction is one of shock, quickly followed by denial, and
the idea that this can’t possibly be happening. People may remain in this period for different lengths of time within
the same organisation; some quickly take the information on board and pass on to the next stage, while others may
remain here for a much longer period of time – some people are very unhappy with the idea of “change”. This is
managed by carefully communicating information in a well thought-out manner, avoiding confusion and speculation
at this stage to allow people to understand the situation that they are in. Any irrelevant details should also be avoided
as this may cause further panic. For example, the workforce of a large manufacturing organisation were stunned to
hear that the brand new facility only recently opened by the Queen was to be closing. The message was delivered in
a site-briefing, but all attendees were also handed a letter with the key points outlined to help ensure that the correct
message was accurately received.
Frustration/Anger
Once the reality of the situation becomes apparent and people realise that the change is inevitable and irreversible,
they become angry or frustrated. This can be directed at the organisation, other team members, their own “failures”,
or even external influences, such as the government or customers. This is a difficult phase to manage; it is a natural
consequence of the change process and to be expected. It is difficult for someone to be fair and reasonable when
they are scared that they won’t be able to pay their mortgage or feed their family. During this phase, managers
and leaders must remain calm and thoughtful in their communications, keeping the message clear and on point.
Communications should happen quickly, frequently, clearly, and logically with workers. This phase should pass with
time.

Bargaining
In the bargaining phase, the affected person tries to negotiate their way out of the situation and into one that is more
acceptable; for example, renegotiating a role or trying to remain on an extended contract. In this stage, managers
should be flexible and open to worker suggestions but make the organisational position clear at all times.
Depression
In this stage, the affected person may feel great sadness or guilt about what has happened and may take little or
no interest in their work. They may also withdraw from their friends and colleagues. There may be great distrust
of colleagues and managers, and this is a very difficult phase for the individuals and managers alike. To manage this
phase, the leaders should take care of their employees and listen to them, creating a positive environment for those
with new roles and responsibilities through the provision of rewards, fun and interesting training, incentives, etc.
Experiment
Though not one of the five stages outlined by Kubler-Ross, during this phase employees may take initial steps to
engage with the new situation and move towards acceptance. To support this, the management should develop the
employees capabilities in order to build competence and confidence.
Acceptance/Decision
In this final stage, the employees realise that there is no hope of things returning to “normal” and accept that the
change has to happen. There is an indication that they are ready to take on the new opportunities and become ready
to move forward. To support their teams, managers should reinforce the need for the change and update the change-
strategy based upon learnings from the experience
Source: What is Kubler-Ross Change Curve? Change Management Insight, www.changemanagementinsight.com/kubler-
ross-change-curve-model
It should be noted that the Kubler-Ross curve makes it appear that the progress is linear – a person starts at shock and
finishes at acceptance. This is not the case. Anyone who has experienced trauma or loss will tell you that progress can
be back and forth, and this is also to be expected with organisational change too. Whilst employees may seem to have
accepted a situation, a trigger could move them back on the curve again for a period of time.
Key Principles of Managing Organisational Change

• Identify the direct and indirect effects of proposed changes on control of hazards
The effects of proposed changes should be identified and assessed; typically the impact of organisational change
is less well-understood than plant or equipment change, and substantial problems have been caused in the past
due to failure to appreciate the impact of an organisational change. The UK’s HSE make the following observation
in the Chemical Information Sheet CHIS7:
“In 1992, at Hickson & Welch, in Castleford fires killed five employees during the cleaning of a vessel containing
potentially unstable sludge. Because of a recent company reorganisation, the cleaning task had been organised by
inexperienced team leaders reporting to an overworked area manager. The HSE incident report said: ‘Companies should
the workload and other implications of to ensure that key personnel have adequate resources, including time and cover, to
discharge their responsibilities.’”

7.3 Organisational Change
MORE...
Read the HSE’s Organisational change and major accident hazards Chemical Information Sheet No CHIS7 at:
www.hse.gov.uk/pubns/chis7.pdf
• Avoid too many simultaneous or unnecessary changes

One of the ways of effecting change in organisational culture is by taking a gradualist (step-by-step) approach,
with changes phased in over a period of time. The main advantage of this approach is that it ensures that there is
time for adaptation and modification; it also allows time for the change to become part of the established culture.
The major disadvantage of this approach is that the changes take a relatively long time to implement. This can
mean that unsatisfactory conditions and mindsets may be left in place for longer than is desirable.
Unnecessary change should also be avoided; change is unsettling and therefore should be minimised and used
where it has the most impact. Too many changes at once can also dilute the effect and result in inadequate
attention to detail.
• Planning should be thorough, systematic and realistic

There should be a plan to affect organisational change supported with a clear policy detailing clear principals,
commitments, and accountability for delivering organisational change with appropriate resources. Senior
managers must be committed and communicate the process clearly to their teams. There should be a clear
process in place to manage organisational change, detailing:
–– What process or activity is being assessed.

–– What procedures will be followed.
–– Who is accountable and responsible for these activities.
–– What potential risk factors need to be considered in the risk assessment.
–– When and how will the process be reviewed.
There should be clear employee participation in the organisational change, such as by getting unions involved in
the selection and approval of a revised shift pattern.
• Risk assessment to consider risks and opportunities resulting from the change and risks from the
change process
In the Chemical Information Sheet CHIS7, the HSE outline the importance
of risk assessment as part of the organisational change management
process. They state: “The key aim of risk assessment is to ensure that
following the change, the organisation will have the resources (human, time,
information, etc.), competence and motivation to ensure safety without making
unrealistic expectations of people.”
Risk assessment needs to identify not only the risks and opportunities
arising from the change, but also those which arise through the process
of getting there too. The risk assessment process should consider key
human factor contributions which could arise after a change, such as:
–– Excessive workload.
–– Lack of competence or skill.

–– Poor communications.
–– Poor teamwork.
–– Conflicting priorities.
–– Low morale.
• Consultation with workers – before, during and after the change
As part of the assessment process workers should be consulted. Workers are a valuable source of information, and
as such they should be consulted with as part of the process.
• Identify key tasks and responsibilities and ensure they are successfully transferred
Omitting to transfer key tasks and responsibilities would be potentially catastrophic. In order to reduce the
potential for this to happen, a process called ‘mapping’ can be undertaken. In ‘mapping’, the organisation seeks
to:
–– Identify the people affected by the change (both in the old and new organisation).
–– Identify the tasks each person carries out and the special competencies that they have.
–– Comparing the information to identify:
–– Whether any tasks or responsibilities have been overlooked.
–– Any training requirements that exist.
–– What the total workload will be for individuals in the new structure/organisation.
–– Whether any tasks need to be carried out simultaneously.
–– Any other risks that may arise.
By following this rigorous process the risks associated with the reallocation of tasks will be greatly reduced.
• Training and supervision required for workers in new roles

Workers may have been employed by an organisation for many years
without having any experience of different job roles or environments,
all of which bring different health and safety challenges. For this
reason it is essential that workers receive comprehensive training
when they move internally within a company into new roles, as
well as joining an organisation as an external candidate. The same
training and competency assessments should be carried out for
these workers, as for new employees, to ensure that assumptions are
not made about skills or experience, the necessary skills are gained Workers who have been employed for
through formal training. In addition, all staff should be supervised many years should still receive training
by a competent person until such times that they themselves are
deemed by the organisation to be competent.
STUDY QUESTION
3. What are the five stages of grief on the Kubler Ross curve?

Summary
Summary

7.1: Societal Factors
In this section, we have identified the following factors which influence an organisation’s health and safety standards
and priorities:
• Economic climate.
• Government policy and initiatives.
• Industry/business risk profile.
• Globalisation.
• Migrant workers.
• National level of sickness absence and incapacity.
• Societal expectations of equality.
7.2: Corporate Social Responsibility

In this section, we explored the meaning of corporate social responsibility (CSR) and the concept that CSR means
doing not just what is legally required but also going further for the good of the community and wider society.
The four types of CSR are:
1. Philanthropic: through making donations to charities or establishing foundations.

2. Environmental protection: focusing on pollution reduction and minimising environmental impacts.
3. Organisation diversity: ensuring that the organisation better represents society through inclusivity.
4. Volunteering commitments: though the supporting of schemes where employees give back to the community,
by volunteering time and support to projects.
We also explored the benefits of CSR to an organisation.
7.3: Organisational Change

In this section, we considered that change, whilst inevitable, can have an impact on the health and safety of workers,
and of particular concern is their mental health.
We looked at the Kubler-Ross curve and the 5 stages of grief:
1. Shock/denial.
2. Frustration/anger.
3. Bargaining.
4. Depression.
5. Acceptance/decision.
(Experimentation with the new way of working may happen too.)
We also considered the key principles of managing organisational change.


Learning Outcome 8
• Manage contractors and supply chains to ensure compliance with health and safety
standards.


Contents
Supply Chains 8-3

Definition of “Contractor” 8-3
Selection of Contractors 8-3
Managing Health and Safety Within Supply Chains 8-9
Awareness of Where Modern Slavery May Be Happening in the Supply Chain 8-12
Duty to Manage Modern Slavery in Supply Chains 8-13
Summary 8-15

Supply Chains 8.1
Supply Chains

IN THIS SECTION...
• Outline the principles of managing health and safety in supply chains and the general control of contractors.

Definition of “Contractor”
It is important to start by recapping what is meant by the term
“contractor”. A contractor is generally understood to be a person who
is delivering a service but is not employed by the organisation. This is
different from temporary workers who are employed on a short term
(temporary contract).
Employers who engage contractors have health and safety responsibilities

for the contractors and also for anyone else that could be affected by
their activities. In addition, contractors themselves have legal health and
safety responsibilities as employers or as employees. Again, co-operation
and co-ordination are important to make certain that everyone understands the part they need to play to ensure
health and safety.
Poor management of contractors can lead to injuries, ill-health, additional costs, and delays, so it is important to work
closely with the contractor in order to reduce the risks to employees and the contractors themselves.
Contractors can be at particular risk because they may be strangers to the workplace and unfamiliar with local
procedures, rules, hazards, and risks. The level of control needed over contractors depends on the complexity and the
degree of risk associated with the task.
It should be noted, however, that when deciding who has responsibility for the safety of a contractor, this issue is
not whether they are on the payroll or in the headcount, but who directs the work and provides them with the
skills needed to do the job. Therefore, if a company has a long-term contractor working for them (e.g. maintenance
services), and their work is clearly managed by the contracting company, they are a contractor. If, however, they are
directed in the way they should work by the client and the tools that they use to do the job are that of the client, then
in health and safety terms, they are to all intents and purposes an “employee”.
The rest of this section refers to contractors, not to agency staff or temporary employees, and the use of the term
“contractor” refers to the organisation that the client has involved.
Selection of Contractors
There is clearly a moral obligation to ensure that contractors who are appointed are competent, but there may also
be a legal duty to do so. It is clear that if a client fails to appoint a competent contractor, it is unlikely that they are
ensuring the health and safety of their employees.
Clear Definition of Roles and Responsibilities at the Start of the Contract

It is essential that there is a rigorous selection process in place to ensure that the correct contractor is appointed,
and we will cover this in more detail later in the Learning Outcome. At the start of the process, the client needs to
clearly define the scope of work, and the roles and responsibilities for the work, as this will provide the foundations
for the entire project. There may be multiple contractors working together with the client and this will ensure that

8.1 Supply Chains
information flows smoothly, and that no tasks are missed or duplicated. There may be a need to establish timescales
for some work; the client has a duty to ensure that these are reasonable and will not compromise health and safety,
and to ensure that the work is adequately resourced.
The Purpose of Preferred Lists, Pre-Qualification and Safety Schemes in

Procurement
Contractors should be checked prior to engagement to check that they
are suitable: this is known as pre-qualification (or “pre-qual”). In the
pre-qual stage, the client provides an outline scope of work and in turn
asks the contractor for key health and safety documentation in order
to demonstrate their suitability to undertake the work. It is possible
for clients to carry out their own pre-qual checks on contractors, but
this can be time consuming. As many contractors find clients ask for
similar information in the pre-qual stage (which we will examine later
in the Learning Outcome), contractors can sign up to a voluntary safety
scheme, which demonstrates that they meet the requirements, and this
registration is accepted as evidence by clients at the pre-qual stage.
For example, a member of the public who wanted their boiler servicing could hire a gas fitter, carry out competence
assessments themselves, carry out a skills test to prove that they can test the gas pressure, provide skills training if
there are deficiencies identified, and ensure that they are up-to-date with any new regulations or standards; or, they
could engage a gas fitter who is on the Gas Safe Register, who has already demonstrated their skill to an assessor who
has then marked them as competent. By law, all gas businesses in the UK must be on the Gas Safe Register.
There are many contractor safety schemes available, some UK examples include:
• Contractors' Health and Safety Assessment Scheme (CHAS)

• International Powered Access Federation (IPAF)
• Safemark
• Safe Contractor
All contractor safety schemes essentially work in the same way: the contractor is assessed in order to demonstrate to
the accreditation scheme that they are “competent” and have essential documentation in place. Once an approved
member of the scheme, a contractor can then provide this accreditation as evidence during the pre-qual phase of the
tender process.
As clients may be more familiar with one accreditation scheme than another, and as contractors will work with a
variety of clients, there is a move towards a common assessment standard which is accepted by all clients. One UK
example is the Safety Schemes in Procurement (SSIP) Forum. SSIP have established mutual recognition between SSIP
scheme members, so that if a contractor has met the requirements of one accreditation body in the SSIP scheme,
they are “deemed to satisfy” the requirements of another. The aim is to reduce expense and red tape for contractors
and to ensure that the standards are maintained.

Supply Chains 8.1
MORE...
For more information on the work of the Gas Safe Register, and its purpose, visit the website at:
www.gassaferegister.co.uk/who-we-are/what-is-gas-safe-register
For information on the UK’s Contractor Health & Safety Assessment Scheme, visit the CHAS website:
www.chas.co.uk
To find out more about the Safety Schemes In Procurement Forum, you can visit:
https://ssip.org.uk/about-ssip
Organisational Procurement Process to Select Contractors

Organisations must select contractors carefully; awarding work simply
because the contractor has a long history with the organisation, or on the
basis of price, is fraught with disaster.
One manufacturing organisation had a difficult tank-cleaning operation

impending. Whilst selecting contractors with which to start the pre-
tender process, the health and safety manager asked for ballpark prices,
to inform the management of what was likely to come. Whilst one
company asked dozens of questions and refused to commit to anything
until they had carried out a site assessment, another happily gave a (very
low) quote with no questions asked. Although both were advertised
as “tank-cleaning specialists”, clearly the health and safety professional
opted for the diligent company who, whilst more expensive, did the job
without endangering their personnel or that of the client.
Health and safety is key in all contract work; as such, the process must
involve the health and safety professional at the early stages of the
negotiations in order to avoid stumbling blocks later. The procurement
process can be streamlined by the implementation of a Contractor
Approval Process, which gathers the relevant documentation through the
use of checklists.
Contractor Capability
A responsible and diligent client should ask for evidence at the pre-qualification stage, which is usually collected
through the use of a checklist. Information gathered could include:
• Evidence of experience of the same type of work. Whilst a contractor may be well-skilled at working in the
chemical sector, they may not have the relevant experience to transfer that to the food industry, as clearly the
sectors have their own specialist demands. It is essential that clients are confident that the contractor has the
appropriate competence (knowledge, skills and experience) of the type of work that will be undertaken.
• References from previous clients. Obtaining references from previous clients should be undertaken, but these
must be checked and verified. It may be possible to talk to the project manager or health and safety professional
who worked on the project to gauge their view of what went well, and more importantly what they could do
differently.
• Membership of trade or professional bodies. As previously discussed, membership of professional bodies may
give confidence that the contractor has met the industry standard competence requirements.

8.1 Supply Chains
• Accident/ill-health statistics. Caution should be used with accident statistics; too many people involved in
procurement still consider companies reporting accidents as a “black mark” against them, when, in fact, the
more dangerous contractor may be the one with the seemingly squeaky clean record with zero injuries, incidents
or near-misses. The data must be viewed with pragmatism – if the company is office-based then zero first-aid
incidents may be entirely feasible, but this is unlikely if they are construction- or site-based. Better questions
would ask for examples of lessons learned as a result.
• Evidence of prosecutions and enforcement action. Many clients ask for details of any health and safety
enforcement action which has been taken by regulatory bodies. Organisations who have been prosecuted and
convicted for health and safety offences in the UK will appear on the HSE Register of convictions and notices.
This also contains details of enforcement notices issued, which enables clients (and contractors) to search and
check the history of each organisation. The website has details of convictions up to 10 years old and notices up to
5 years old.
• Evidence qualifications for all workers. It can be beneficial to ask for summary training records for workers, in
order to demonstrate that they are qualified and have the appropriate training to deliver the work as planned.
• Evidence of skills and ongoing training. Training is not a one-off activity; the contractor should be able to
demonstrate that there is a programme of training in place to build the skills of their team. This is particularly
important for the health and safety advisor and anyone with safety responsibilities.
• Risk Assessments and Method Statements (RAMS). At the pre-qualification stage, it may not be possible to obtain
risk assessment and method statements for the actual project being undertaken, however the contractor should
supply examples of RAMS in order to demonstrate the approach that is taken to developing them and their
overall quality.
• Evidence of how subcontractors are selected. Some clients may prohibit the use of subcontractors; some may
require that all subcontractors receive prior authorisation before commencing work; others may place the
responsibility for the management of subcontractors on the shoulders of the contractor. In all circumstances,
however, the contractor must be able to demonstrate how they will approve and manage subcontractors and how
they will ensure that they are briefed on site hazards. There may be a shared responsibility for the subcontractors
with the client, and there should be agreements in place as to how inductions will be delivered and who issues
permits, etc.
• Recognition of their limitations. It is important that a contractor understands when work is out of their field of
expertise. A contractor taking on a project in a field where they lack experience (or can’t resource) would be
potentially catastrophic.
MORE...
The HSE’s register of convictions and notices can be viewed at:
www.hse.gov.uk/enforce/convictions.htm
Information on the Safety Schemes in Procurement (SSIP) can be found at:
https://ssip.org.uk/about-ssip/

Supply Chains 8.1
Demonstration of Resources
There will be a range of resources required to support the project – this
may include:
• Personnel: as discussed, there must be sufficient skilled persons to

deliver the work. Subcontracted labour should be agreed with the
client in advance.
• Plant and equipment: this could include heavy machinery, such as
excavators. If hired equipment is to be used, this should be stated at
the outset. This will require maintenance and the resources to carry
this maintenance out.
• Portable equipment: portable tools and equipment will not only need to be available but suitable for the
environment, particularly if working in specialist environments, such as those with potentially flammable
atmospheres.
• Financial resources: contractors will need sufficient financial resources and an appropriate credit rating in order to
pay for services and materials. There may be a contractual agreement to make staged payments throughout the
contract to reduce the burden on the contractor.
Additional Requirements When Selecting Specialist Contractors

When engaging with specialist contractors, such as occupational hygienists, it is critical that their credentials are
checked prior to appointment. This should include verification of the qualifications of the contractor, which should
also be supported with membership of a professional organisation at an appropriate level. For example, British
Occupational Hygiene Society (BOHS) has a membership scheme, as does the Institution for Occupational Safety and
Health (IOSH) for safety professionals. The schemes allow for different levels of membership depending on training
and experience, and require ongoing continued professional development (CPD) in order to retain membership or
proceed to the next level.
In addition, by being a member of the professional body, the contractor is bound by their code of ethics. For example,
the BOHS code of ethics states:
“Faculty members shall act responsibly to uphold the integrity and dignity of the profession. They must:
• Ensure that at all times their primary responsibility is to workers whose health may be at risk.
• Recognise and respect the role and expertise of other professionals and work in partnership to promote the most effective
outcomes in relation to worker health protection.”
Contractors should also be prepared to explain to the client why they are suitable to carry out the work; this may
include the demonstration of their competence and experience, but also experience of working in the sector, if
appropriate.
It would also be appropriate to ask the contractor for evidence that best practice or standards would be adhered
to. For example, an occupational hygienist in the UK should demonstrate knowledge of the Methods for the
Determination of Hazardous Substances (MDHS) sampling and analysis procedures established by the HSE, such as
gravimetric dust sampling, which is carried out in accordance with MDHS14/4.

8.1 Supply Chains
MORE...
The BOHS code of ethics, along with many other useful resources, can be found at:
www.bohs.org/information-guidance/bohs-resources
You can access the IOSH Code of Conduct through:
www.iosh.co.uk/Membership/Become-a-member/Terms-and-conditions/Code-of-Conduct.aspx
The MDHS series can be found on the HSE website:
www.hse.gov.uk/pubns/mdhs
Procedures to Ensure Co-ordination Between Client and Contractor

There may be national legislation which drives employers sharing a workplace (such as clients, contractors and
subcontractors) to co-ordinate and co-operate on health and safety matters. This may include the need to co-
ordinate and co-operate on matters in order to ensure compliance with statutory duties, such as:
• Information sharing (e.g. site rules): initial information on site conditions would be provided at the pre-
qualification stage. As the project develops, there will be a requirement to ensure that all workers are aware of the
site rules and hazards, typically this is carried out by means of a site induction, and the responsibility for carrying
out the induction and retaining records of those trained will need to be established. This frequently falls to the
client or site operator unless specific legislation dictates otherwise. In addition to site rules, there could also be
issues, such as site restrictions (e.g. operating hours).
• Hazard reporting: as part of the duty to cooperate there is a clear need to ensure that the client clearly
communicates the hazards of the site to the contractors, and that contractors in turn communicate the hazards
associated with works that they are carrying out. In the event that an uncontrolled hazard was identified on site
there must be a suitably communicated mechanism to highlight this to the client and contractor.
• Control of access to hazardous areas: the construction area should be fenced off or clearly indicated at the
perimeter with signs.
• Emergency procedures: there may be specific national requirements for the provision of emergency procedures,
if not then this should be considered essential best practice. This will of course vary according to the nature of the
works, but will generally include fire and first-aid provision as a minimum. The procedures must also include the
means by which the site will communicate with the emergency services.
• Safe systems of work: all work must be carried out in accordance with a safe system of work drawn up by a
competent person. Generally where the client is engaging the work of a contractor, it is the duty of the contractor
to establish the safe systems of work for the activities that they are carrying out; however the client may review
and comment on the suitability of the risk assessments and method statements. For high risk operations such
as hot works, work on complex processes requiring isolations, confined space work, and work on electrical
equipment (especially high voltage), it is usual for a permit to work to be required. This is often issued by the
client to the contractor, however in the case of complex projects, the principal contractor may issue permits for
the project in order to control the overall risk.
• Assessment of exposure to hazardous substances: where hazardous substances are present on-site, it is the
responsibility of the client to ensure that this is clearly communicated to the contractor and suitable controls are
implemented. Where the contractor uses hazardous substances (such as floor laying adhesives or epoxy paints),
it falls to the contractor to ensure that the hazards and risks are controlled to protect both their employees and
anyone else who could be affected. In both situations the control would be achieved through the use of a risk
assessment.

Supply Chains 8.1
• Sign in/sign out: there is a clear need to know who has access to the site and who is present on-site at all
times. As before, this is usually linked to contractor induction and falls to the client to manage unless legislation
stipulates otherwise.
• Active monitoring: whilst many organisations still focus on accident statistics and near-miss reporting as the
foundation of their health and safety performance monitoring, progressive organisations see the benefit of active
monitoring. This includes issues such as hazard reporting, behavioural safety observations, safety tours and audits.
• Assessing the number of incidents and special arrangements: whilst there is a huge benefit to carrying
out active monitoring, there remains a need for reactive monitoring too, and the reporting and investigation
of accidents and the subsequent lessons learned is essential to ensure that future incidents are prevented.
Accident investigations should be carried out and the findings communicated, so that the affected persons and
organisations are not named but the learnings are shared throughout the project.
Managing Health and Safety Within Supply Chains

Focal Companies
The supply chain is the network of companies, from suppliers and contractors, which come together to deliver the
service to the client. In the EU-OSHA publication Promoting occupational safety and health through the supply chain, the
term ‘focal company’ is used to describe a company which rules or governs the supply chain: the focal company has
direct contact with the customer and exerts influence over other members of the supply chain. In the construction
industry, this could be the principal contractor.
The focal company often designs the product or service that they offer and acts as the central hub for the supply
chain, co-ordinating the supply of goods and services (through subcontractors) in order to meet the requirements of
the client. This can be described as a linear (primary) network, linking the client, focal company and the suppliers and
a secondary network of subcontractors. For example, a client may decide to contract out the facilities management
to a facilities management (FM) contractor, rather than appointing and managing individual contractors to deliver
non-core maintenance services. The focal company would in this case be the FM company, linked to suppliers such as
PPE suppliers, food suppliers, equipment suppliers, etc. In the secondary network, the FM company could be linked
to sub-contractors such as: water treatment companies, electrical maintenance contractors, heating and ventilation
engineers, kitchen and canteen contractors, etc. The focal company would have a working relationship with each sub-
contracting company. In order to service the client, the focal company would gather knowledge of the client and their
requirements and be connected in part to their stakeholders and subsequent stakeholder pressures.

8.1 Supply Chains
Flows of: Pressures and

incentives
yy Information
yy Knowledge
yy Material
yy Cash
Government
Focal
Suppliers
company Customers
Primary Flows of:

network yy Information
yy Knowledge
Other stakeholders:
Secondary
yy People NGOs, customers,
network
yy Cash
sector organisations
(Sub-) Contractors
Relationships between a company and its surroundings

Source: Promoting occupational safety and health through the supply chain, European Agency for Safety and Health at
Work, 2012 https://osha.europa.eu/en/publications/literature_reviews/promoting-occupational-safety-and-health-
through-the-supply-chain
The Role of a Focal Company

As the focal company governs and rules the supply chain, it follows that they are responsible for ensuring that the
standards are maintained. The focal company, as it is connected to the client, subcontractors and suppliers, is the
focus of health and safety standards: if the subcontractors demonstrate poor standards, this will be apparent to the
client and reflect badly upon the focal company. If, however, the client has a poor attitude to health and safety, were
this to be communicated to suppliers and contractors via the focal company, this would also reflect badly on the focal
company. The focal company therefore has a key role to play in ensuring that high standards of health and safety are
maintained at all times.
Focal companies are not always service-providing organisations, they can be large brands whose clients are the public
who purchase the goods. There have been many stories in the media relating to large western brands using cheap
labour and poor conditions in order to deliver ‘fast fashion’, but pressure applied by stakeholders has resulted in
improved welfare conditions and reduced environmental impact in what is, hopefully, a more responsible supply
chain.

Supply Chains 8.1
Focal companies can establish:
• Minimum health and safety standards that all of their suppliers are audited against to ensure compliance.
• Effective means for communication through the organisation, especially on the grounds of health and safety.
• Minimum training requirements for all working on the job (e.g. the CSCS card operated by the Construction Skills
Safety Scheme).
Health and Safety Management Systems in the Supply Chain

Clients and focal companies are demanding evidence of good health and safety compliance from suppliers and
contractors. Corporate Social Responsibility (which we looked at in Learning Outcome 7), is inextricably linked to
health and safety standards, as delivery of good safety practices can also bring good business efficiency and cost
savings. However demonstrating this can be both time consuming and expensive, especially if the health and safety
management system used is less formal and not accredited.
It is possible for focal companies to streamline the process by encouraging suppliers and contractors to gain formal
accreditation, for example to ISO 45001, which is externally verified through an audit process. The ISO standard
demands a minimum standard of compliance which must be achieved and maintained by each company in order
to gain and retain accreditation. As this is externally verified by a third-party auditor, this can help build confidence
that the organisation meets the health and safety standards that are needed. In turn, if a focal company accepts the
external certification as evidence that the standards are adhered to, this will reduce the need to audit the suppliers
and subcontractors, benefiting all in the supply chain.
Management of Contractors Within the Supply Chain

As with all chains of command, good communication is essential in the supply chain, as failures will result in outcomes
varying from lost time and inefficiency, through to injury and ill-health. A common issue experienced by contractors
is the differing PPE standards across the sites that they may visit. A haulier who is turned away for not having suitable
safety footwear may rightly feel aggrieved if the client failed to communicate this to them at the outset. For this
reason, clear communication is the key to avoiding conflict. All parties in the supply chain must co-operate: the
suppliers and the contractors are there to ensure that the focal company can meet the needs of the client, and should
any part fail, the impact on the client could result in damage to the supply chain as a whole. As we have previously
mentioned, there must be training on relevant health and safety issues in order to ensure that the services delivered
are carried out safely; this could be the responsibility of the client or, if there is a principal contractor, this may fall to
them.
Throughout the contract, where practical works are carried out on-site, there may be a requirement for site controls
(such as permits to work) to be established. There should be one common process for this, managed by a central
authority in order to ensure that works do not clash and are coordinated: contractors trying to work and occupy
the same space are at increased risk of injury. There is also a benefit to sharing processes for reporting of incidents,
provision of first-aid and fire response, as one uniform method of working can help with clear communication.
Finally, at the end of the project it is best practice to carry out a review to understand what went well and what
could have been improved upon. This is particularly important if there were issues, in order to ensure that there are
organisational learnings to prevent similar issues in the future. This can be carried out within the focal company, but
most effective close-out meetings will involve the contractors and suppliers, as well as the client.

8.1 Supply Chains
Awareness of Where Modern Slavery May Be Happening in

the Supply Chain
An awareness of modern slavery must start with an understanding of what is meant by the term. A generally accepted
definition of ‘modern slavery’ is:
“the condition of being forced by threats or violence to work for little or no pay, and of having no power to control what work
you do or where you do it.”
In the UK, the local government organisation highlights that modern

slavery can include trafficking of people, forced labour, servitude and
slavery. Victims may be forced or coerced to work for little or no pay
by an “employer” who uses fear or intimidation in order to control
the victim and prevent them from leaving. This could include being
denied freedom of movement (not allowed to leave the property
or even passports and documents being withheld), being financially
or emotionally restrained, or being held in substandard living
accommodation. In 2014, the Home Office estimated that there were
10,000–13,000 potential victims of modern slavery in the UK. Victims of modern slavery can be forced
to work through fear or intimidation
MORE...
For more details on Modern Slavery in the UK, visit the Office for National Statistics website:
www.ons.gov.uk/peoplepopulationandcommunity/crimeandjustice
Unfortunately within the supply chain, there are a number of opportunities for criminals to exploit individuals and
force them into modern slavery, and many may not even realise that this has happened to them as they have been
promised a “better life”. Workers may be in bonded service in order to repay a debt, such as for training or for
transport into the country, or exploited and paid less than the minimum wage.
In response to concerns, the UK implemented the Modern Slavery Act 2015 which identifies several categories of
Modern Slavery. These include slavery, servitude and forced or compulsory labour. The Modern Slavery Act 2015
states:
“A person commits an offence if—
a. the person holds another person in slavery or servitude and the circumstances are such that the person knows or ought to
know that the other person is held in slavery or servitude, or
b. the person requires another person to perform forced or compulsory labour and the circumstances are such that the person
knows or ought to know that the other person is being required to perform forced or compulsory labour.”
There are many other examples of modern slavery, including the securing of services through threats or deception,
and the securing of services from children or vulnerable persons.

Supply Chains 8.1
Duty to Manage Modern Slavery in Supply Chains

Part 6 of the Modern Slavery Act 2015 covers the need for transparency in supply chains. Commercial organisations
are required to produce an annual statement on modern slavery within their organisation. Commercial organisations
are defined as those which:
• Are a body corporate or a partnership.

• Carries out a business or part of a business in the UK.
• Supplies goods or services.
• Has an annual turnover of more than £36 million.
The modern slavery statement must be updated every year, published on the organisation’s website, and approved by
board members.
The statement must cover ‘the steps the organisation has taken during the financial year to ensure that slavery and
human trafficking is not taking place in any of its supply chains, and in any part of its own business’. The requirement
isn’t to guarantee that the supply chain is in all cases “slavery free”, but rather to prove the steps that have been taken
and in which areas. Conversely, if the organisation has taken no steps then the statement must still be published.
The Home Office guidance requires that the statement covers the following areas:
1. Organisation structure and supply chains.

2. Policies in relation to slavery and human trafficking.
3. Due diligence processes.
4. Risk assessment and management.
5. Key performance indicators to measure effectiveness of steps being taken.
6. Training on modern slavery and trafficking.
The intention of the modern slavery statement is to provide transparency so that it is clear in large organisations
whether action has been taken to mitigate the risk of slavery, or whether organisations have failed to take steps. The
government guidance reinforces the need for this legislation.
A focus on tackling modern slavery not only protects vulnerable workers and helps prevent and remedy severe human
rights violations, but it can bring a number of business benefits too. These include:
• protecting and enhancing an organisation’s reputation and brand;

• protecting and growing the organisation’s customer base as more consumers seek out businesses with higher
ethical standards;
• improved investor confidence;
• greater staff retention and loyalty based on values and respect; and,
• developing more responsive, stable and innovative supply chains.
If a business fails to provide and publish a slavery and human trafficking statement, then this is a breach of the
Modern Slavery Act 2015. An injunction may be sought through the high court, and if the organisation fails to
comply with the injunction, it may be subject to a contempt of court order which is punishable by an unlimited fine.
The intention is that organisations will build year on year, and demonstrate improvements in this critical area to help
ensure that the most vulnerable in society receive the basic human rights that most of us take for granted.

8.1 Supply Chains
MORE...
More details on modern slavery can be found at:
www.gov.uk/government/collections/modern-slavery
The UK Modern Slavery Act 2015 contains details on the requirement for transparency in the supply chain.
You can access the Act through:
www.legislation.gov.uk/ukpga/2015/30/part/6
Statutory guidance for businesses on slavery and human trafficking in supply chains, and a practical guide on
transparency in supply chains, can be downloaded from:
www.gov.uk/government/consultations/transparency-in-supply-chains
STUDY QUESTIONS
1. Give three examples of evidence you could gather in order to demonstrate that a contractor is suitable and
capable?
2. What is a ‘focal company’?
3. What legislation places a duty on clients to manage modern slavery in the supply chain and what is the
nature of this duty?

Summary
Summary

8.1: Contractors and Supply Chains
In this section, we considered the selection of contractors, including:
• The need to define the roles and responsibilities at the start of the contract.
• The use of preferred lists and safety schemes.
• The criteria used to select contractors.
• Demonstration of resources.
• The additional requirements needed when engaging specialist contractors, such as occupational hygienists.
• The procedures needed to ensure that contractors co-ordinate and co-operate when sharing a workplace.
• The importance of emergency procedures, safe systems of work, signing in/out, active monitoring of contractor
performance, and assessing incidents.
When looking at managing health and safety in supply chains, we looked at:
• Focal companies and the role of a focal company in driving safety through the supply chain.
• The use of formal health and safety management systems in the supply chain.
• Co-operation throughout the supply chain and the importance of joint procedures.
• The need for contractor evaluation.
Finally, we considered the potential for modern slavery to occur through the supply chain, and the duty to manage
the issue.

Unit ID1
Suggested Answers - Part 2
No Peeking!
Once you have worked your way through the study questions in this book, use the suggested
answers on the following pages to find out where you went wrong (and what you got right),
and as a resource to improve your knowledge and question-answering technique.

Learning Outcome 4

Question 1
The 4 Ps recommended by the HSE when preparing a checklist for inspections are:
• Premises, including:
–– Access/escape.
–– Housekeeping.
–– Working environment.
• Plant and substances, including:
–– Machinery guarding.
–– Local exhaust ventilation.
–– Use/storage/separation of materials/chemicals.
• Procedures, including:
–– Permits-to-work.
–– Use of personal protective equipment.
–– Procedures followed.
• People, including:
–– Health surveillance.
–– People’s behaviour.
–– Appropriate authorised person.
Question 2
The concept of ‘sensible risk management’ aims to balance the growing ‘risk averse’ attitude of society towards
innovation and development, and involves:
• Ensuring that workers and the public are properly protected.

• Enabling innovation and learning, not stifling them.
• Ensuring that those who create risks manage them responsibly and understand that failure to do so is likely to
lead to robust action.
• Providing overall benefit to society by balancing benefits and risks, with a focus on reducing significant risks:
–– Those with serious consequences.
–– Those which arise more often.
• Enabling individuals to understand that as well as the right to protection, they also have to exercise responsibility.
It is not about:
• Reducing protection of people from risks that cause real harm.

• Scaring people by exaggerating or publicising trivial risks.
• Stopping important recreational and learning activities for individuals where the risks are managed.

• Creating a totally risk-free society.

• Generating useless paperwork mountains.
Question 3
(a) Acceptable: no further action required. These risks would be considered by most to be insignificant or trivial and
adequately controlled. They are of inherently low risk or can be readily controlled to a low level.
(b) Unacceptable: certain risks that cannot be justified (except in extraordinary circumstances) despite any benefits
they might bring. Here we have to distinguish between those activities that we expect those at work to endure,
and those we permit individuals to engage in through their own free choice, e.g. certain dangerous sports/
pastimes.
(c) Tolerable: risks that fall between the acceptable and unacceptable. Tolerability does not mean acceptable but
means that we, as a society, are prepared to endure such risks because of the benefits they give and because
further risk reduction is grossly out of proportion in terms of time, cost, etc. In other words, to make any
significant risk reduction would require such great cost that it would be out of all proportion to the benefit
achieved.
Question 4
The factors to be taken into account when choosing control measures are:
• Long/short term.
• Applicability.
• Practicability.
• Costs.
• Proportionality.
• Effectiveness.
• Legal requirements/standards.
• Competence and training requirements.
Question 5
The main risk management strategies are:
• Avoidance or elimination.
• Reduction.
• Risk retention - with or without knowledge.
• Risk transfer.
• Risk sharing.

Learning Outcome 5

Question 1
According to Reason, latent failures are failures in the organisation or environment that remain dormant and are
often either unrecognised or not appreciated until they lead to an active failure and a loss event. An example would
be a lack of adequate training for a particular task. Only when a worker who undertakes the task commits an error
due to the lack of training does the failing become appreciated.
Question 2
Accident triangles show there is a ratio between unsafe acts, minor incidents and more serious ones. If employers aim
to reduce the frequency of unsafe acts, this will lead to a reduction in more serious outcomes.
Question 3
Accident frequency rate: 22.4

× 100,000
Number of worker-hours worked = 20 × 38 × 47h = 35720h.
8
Accident frequency rate = × 100,000 = 22.4
35,730
Question 4
The main measurement techniques available for measuring health and safety performance in the workplace are:
audits, inspections, safety tours, safety sampling, safety surveys, safety conversations and behavioural observations.
Question 5
Benchmarking is the process of comparing the practices and performance measures of one organisation with
organisations that display excellence and whom it might wish to emulate.
Question 6
The two sources of information that the review process uses are routine monitoring data and audit data.

Learning Outcome 6

Question 1
Examples of how a safety professional would be expected to adhere to ethical principles may include any five from
the following:
• Abide by relevant legal requirements.

• Give honest opinions.
• Maintain their competence.
• Undertake only those tasks they believe themselves to be competent to deal with.
• Accept professional responsibility for their work and make those who ignore their professional advice aware of
the consequences.
• Not bring the professional body into disrepute, injure the professional reputation or business of others, or behave
in a way that may be considered inappropriate.
• Not use their membership or position within the organisation or Institution improperly for commercial or
personal gain.
Question 2
Effective health and safety leadership will ensure that:
• Instruction, information and training are provided to enable workers to work in a safe and healthy manner.
• Safety representatives are able to carry out their full range of functions.
• The workforce is consulted (either directly or through their representatives) in good time on issues relating to
their health and safety, and in the results of risk assessments.
• Workers are clear who to go to if they have health and safety concerns.
• Line managers regularly discuss how to use new equipment or how to do a job safely.
• Health and safety information is cascaded through the organisation through team meetings, notice boards and
other communication channels.
Question 3
Activities that can act as drivers to influence ownership of health and safety in an organisation include:
• Participation by employees supports risk control by encouraging their ‘ownership’ of health and safety policies. It
establishes an understanding that the organisation as a whole, and people working in it, benefit from good health
and safety performance. Pooling knowledge and experience through participation, commitment and involvement
means that health and safety really becomes ‘everybody’s business’.
• Management accountability means that managers are judged on how well or effectively they carry out the
duties they are responsible for. Consequently their credibility relies on taking on board their responsibilities and
accounting for or explaining the actions taken (or not taken) to senior managers.
• Consultation can occur at each stage of the health and safety management system:
–– Consult workers or their representatives during the planning and organisation of training.
–– Involve and consult workers and their representatives during the implementation process, by ensuring there
are systems in place that allow workers to raise concerns and make suggestions.

–– Involve the workforce in setting and monitoring performance measures and encourage them to monitor their
own work area.
–– Discuss plans for review with workers or their representatives, use information from safety representatives’
inspections to feed into the review and discuss the review findings with workers or their representatives.
• Feedback on success and failure is an essential element in motivating employees to maintain and improve
performance. Successful organisations emphasise positive reinforcement and concentrate on encouraging
progress on those indicators which demonstrate improvements in risk control. This also encourages identification
with and ownership of the health and safety programme.
Question 4
Sources of information to be considered when determining costs of health and safety initiatives include:
• New personnel (salary and training) – obtained from internal staffing data and national figures.
• Disruption to normal working (temporary staff to cover workers being trained or overtime) – obtained from past
internal staffing costs.
• Purchase, fabrication and installation of safety devices – based on external suppliers’ data.
• Lost production and sales – from past balance sheets.
• New safe methods of work and permit-to-work schemes – projected from internal and sector figures.
• New factory layouts – based on external suppliers’ estimates.
• Running and maintaining safety systems, maintaining guards – projected from internal and suppliers’ figures.
• Reduction in accidents, with associated savings – based on internal and national projected accident figures.
• Projected reduction in civil claims – based on past claims experience.
• Projected reduction in insurance premiums – based on internal and national insurance premium trends.
• Increased productivity (i.e. reduced cost per unit) – projected from internal and sector figures.

Learning Outcome 7

Question 1
Societal factors that influence health and safety standards are (any five from the following):
• Economic climate: wealthy countries can afford to give occupational health and safety a higher priority.
• Government policy: those who work tend to be healthier than those who are unemployed. Improving workers’
health will help keep people at work, who can then contribute financially to society.
• Risk profile: higher-risk activities demand greater standards than those for lower-risk activities.
• Globalisation: businesses that operate across the world may adopt different standards, depending on the
requirements of the host countries.
• Migrant workers: in recent years, immigration policies have increased the proportion of migrant workers.
• Incapacity: the proportion of the working age population on incapacity benefits is much higher today than in the
1970s.
• Societal expectations of equality.
Question 2
‘Corporate Social Responsibility’ refers to the voluntary actions that business can take, over and above compliance
with minimum legal requirements to address both its own competitive interests and the interests of the wider society.
Question 3
The five stages of grief on the Kubler Ross curve are:
1. Shock/denial.
2. Frustration/anger.
3. Bargaining.
4. Depression.
5. Acceptance.
The 'experiment' step can occur as people seek to try to make sense and try out the new environment that they find
themselves in.

Learning Outcome 8

Question 1
Evidence to demonstrate that a contractor is suitable and capable could include (any three of the following):
• Evidence of experience of the same type of work.

• References from previous clients.
• Membership of professional bodies.
• Accident and ill health statistics.
• Qualifications of workers.
• Evidence of training.
• Risk assessments and method statements.
• Evidence of how subcontractors are selected.
• Recognition of their limitations.
Question 2
A ‘focal company’ is an organisation which is connected to the client (delivers a product or service) but also acts as
the central hub for the supply chain, co-ordinating the supply of goods and services (through subcontractors) in order
to meet the requirements of the client.
Question 3
Part 6 of the Modern Slavery Act 2015 covers the need for transparency in supply chains. Commercial organisations
are required to produce an annual statement on modern slavery within their organisation.

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RRC Study Text

Unit ID1 - Part 1

ID1 Learning Outcome 1

ID1 Learning Outcome 2

ID1 Learning Outcome 3

Zoe Neasham, BSc (Hons), CMIOSH, Dip2.OSH

© RRC International ACKNOWLEDGMENTS

Non-Governmental Bodies and Health and Safety Standards 1-23

Third Parties 1-31

ID1 Learning Outcome 2

ID1 Learning Outcome 3

High Reliability Organisations (HRO) 3-13

Suggested Answers to Study Questions - Part 1

© RRC International © RRC International

A sample assessment for ID1 can be found at:

Unit Estimated time required to Time period given by NEBOSH to

Unit ID1 Assessment

Keeping Yourself Up-to-Date

Please visit https://www.rrc.co.uk/news-resources/newsletters.aspx to access these updates.

© RRC International © RRC International

© RRC International ID1 Learning Outcome 1 1-1

Socio-Legal Models 1-3

Non-Governmental Bodies and Health and Safety Standards 1-23

Third Parties 1-31

1-2 ID1 Learning Outcome 1 © RRC International

Examples of legislation relating to occupational health and safety include:

• Health and Safety at Work, etc. Act 1974 (HSWA) (UK).

© RRC International ID1 Learning Outcome 1 1-3

‘Goal-Setting’ and ‘Prescriptive’ Legal Models

Regulation 26, Rolling over of mobile work equipment states:

1-4 ID1 Learning Outcome 1 © RRC International

Advantages and Limitations

Legal Hierarchy of State and Federal Laws

Law created by the federal government of a nation.

© RRC International ID1 Learning Outcome 1 1-5

Loss Events in Terms of Failures in the Duty of Care to

• No-Fault Compensation Schemes

Most No-Fault Workers’ Compensation Schemes fall into one of two

–– Employers provide the benefits; they pay premiums to insurance

1-6 ID1 Learning Outcome 1 © RRC International

• Social Insurance Schemes

• Fault Compensation Scheme – Employers’ Liability

The liability of the employer may come about in two ways:

© RRC International ID1 Learning Outcome 1 1-7

In an action for breach of statutory duty, the claimant has to prove:

–– The statute places the obligation on the defendant.

–– The defendant owed the claimant a duty of care; it is well

1-8 ID1 Learning Outcome 1 © RRC International

Such damages can be classified as special damages and general damages:

–– Loss of future earnings as a result of the incapacity.

© RRC International ID1 Learning Outcome 1 1-9

1-10 ID1 Learning Outcome 1 © RRC International

In order to achieve this, legal compliance must be enforced. The ultimate

Enforcement ensures that dutyholders:

Principles of Enforcement with Reference to the UK’s HSE

© RRC International ID1 Learning Outcome 1 1-11

–– The degree of risk.

Dutyholders, employees, their representatives and others also need

1-12 ID1 Learning Outcome 1 © RRC International