Unit 1A - Course Notes

International Diploma in Occupational Safety and Health Unit 1A

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International Diploma - Course Contents Unit 1 Principles of Health and Safety Management

Element 1A – Fundamentals of Health and Safety Management Preventing Accidents

1A1

International Occupational Health and Safety Framework

1A2

Health and Safety Management Systems

1A3

Risk Assessment Safe Workplace

1A4 1A5

Control of Contractors

1A6

Safe Systems of Work

1A7

Personal Protective Equipment

1A8

Human Failure

1A9

Role of the Health and Safety Practitioner

1A10

Protecting the Environment

1A11

Engaging the Workforce

1A12

Element 1B – Applied Health and Safety Management Fire

1B1

Explosion

1B2

Major Accident Hazards

1B3

Emergency Control

1B4

Work Equipment

1B5

Occupational Transport and Driving

1B6

Mechanical Handling and Lifting Operations

1B7

Electrical Safety

1B8

Pressure Systems

1B9

Carriage of Dangerous Goods

1B10

Construction and Demolition

1B11

Working at Height Working in Confines Spaces

1B12 1B13

Lone Working

1B14

Violence against Employees

1B15

Reporting and Investigating Incidents

1B16

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© British Safety Council

BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management

CONTENTS Study Unit 1A1

Title

Page

Preventing Accidents

ACCIDENTS, INCIDENTS AND NEAR MISSES ...................................................................................................... 3 INTRODUCTION ............... .............. ................ ............. ................ .............. .............. ............... ................ .............. .. 3 DEFINITION OF ACCIDENT, INCIDENT AND NEAR MISS ................ ................ .............. ............... .............. ................ ........... 3 RELATIONSHIP BETWEEN ACCIDENTS, INCIDENTS AND NEAR MISSES ............. ................ ............... .............. .............. ............. 4 WHAT CAUSES ACCIDENTS ................................................................................................................................. 6 DOMINO THEORY ............... ................ .............. .............. ............... ................ ............ .............. ................. .............. 6 UNSAFE ACTS ............. ................ ............... .............. .............. ................ ............. ................ .............. ................ .... 8 UNSAFE CONDITIONS ............... .............. ................ ............. ................ .............. .............. ............... ................ ......... 9 MULTI-CAUSAL THEORIES .............. ................ ................ ............ .............. ................. ............ ................ ................ .. 10 COSTS ARISING FROM ACCIDENTS .................................................................................................................. 12 CONSIDERING OUTCOMES OF EVENTS ................ .............. ................ ............. ................ .............. .............. .............. .... 12 INSURED AND UNINSURED COSTS .............. ................ ............... ............ ................ ................ ............. ................ ....... 14 ACCIDENT COST ANALYSIS .............................................................................................................................. 16 DIRECT AND INDIRECT LOSSES................. .............. ................ ............ ................ ............... .............. .............. ........... 16 COST BENEFIT GRAPH .............. .............. ................ ............. ................ .............. .............. ............... ................ ....... 17 RISK CONTROL COST DECISIONS .............. .............. ................ ............ ................ ............... .............. .............. ........... 17 CALCULATING ACCIDENT COSTS ................ ................ ............... ............ ................ ................ ............. ................ ....... 18 REASONS FOR PREVENTING ACCIDENTS ......................................................................................................... 19 MORAL .............. ................ .............. ............... .............. ................ ............. ................ .............. ................ ......... 19 LEGAL ............. ............... ................ ............ ................ ............... .............. .............. ................ ............... ............ 19 ECONOMIC ................ .............. ................ ............ ................ ................. ............ .............. ................ ................ .... 19 ACCIDENT PREVENTION STRATEGY ................................................................................................................. 20

BSC International Diploma - Element 1A | Fundamentals of Health and Safety Management

BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A1 | Preventing Accidents Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.1.1 Explain the importance of and relationship between incidents and accidents 1.A.1.2 Explain why accidents occur 1.A.1.3 Explain the costs of accidents 1.A.1.4 Explain the need to prevent accidents 1.A.1.5 Implement an accident prevention strategy

Unit 1:

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©British Safety Council


Accidents, Incidents and Near Misses Introduction According to estimates by the International Labour Organisation (ILO), the number of jobrelated accidents and illnesses, which annually claim more than two million lives, appears to be rising because of rapid industrialisation in some developing countries. An assessment of workplace illness indicates that the risk jobs, of occupational disease has become the mostaccidents prevalentand danger faced by people at their accounting for 1.7 million annual work-related deaths and out pacing fatal accidents by four to one. In estimates, the ILO found that in addition to job-related deaths, each year there are some 268 million non-fatal workplace accidents in which the victims miss at least three days of work as a result, as well as 160 million new cases of work-related illness. The ILO has previously estimated that workplace accidents and illness are responsible for the loss of some four per cent of the world’s GDP in compensation and absence from work. Broken down by region, the figures indicate that workplace accidents have levelled off in many industrialised and newly-industrialised countries, while some countries (now undergoing rapid development in Asia and Latin America) are experiencing increases. For example, the ILO analysis showed that while the number of fatal and non-fatal workplace accidents held steady or declined in most regions, in China the estimated number of fatal accidents rose from 73,500 in 1998 to 90,500 in 2001, while accidents causing three or more days absence from work increased from 56 million to 69 million. Meanwhile, in Latin America, a rise in the total number of persons employed and growth in the construction sector, particularly in Brazil and Mexico, appear to have lead to an annual increase in fatal accidents from 29,500 to 39,500 over the same time period. Faced with a rising toll of occupational-related death, injury and sickness, international bodies such as the ILO, the World Health Organisation (WHO), the European Agency for Safety and Health at Work, and others highlight the need for a preventative safety culture worldwide.

Definition of Accident, Incident and Near Miss According to the UK’s Health and Safety Executive (HSE) document HSG65, accidents, incidents and near misses are defined accordingly:

Incident An incident is an event that includes all undesired circumstances and “near misses’’ that could cause accidents.

Accident The HSE defines an accident as “any undesired circumstances which give rise to: ill-health or injury; damage to property, plant, products or the environment; production losses or increased liabilities”. This would suggest that an accident is anevent with an adverse outcome that results from a combination of undesired circumstances.

Near Miss Near misses (or near hits) are any form of incident that could have resulted in injury or loss but did not. Examples include: A worker realises that the guard is missing and pulls his hand out, just getting a smear of oil on his fingers.

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A piece of material is ejected from a machine and lands on the floor of the workshop some distance away, missing the window. A worker runs into the car park and stumbles, but regains her balance and carries on unharmed.

Relationship Between Accidents, Incidents and Near Misses Activities at work often give rise to incidents. The outcome of these incidents may (but not necessarily do) cause harm to people as well as loss. Accidents are a particular type of incident and these result in loss, personal (minor) injury, serious injury or death. Where no such outcome results, the incident is classified as a near miss.

Accident Ratio Studies and Their Limitations There appears to be a relationship between a number of different types of accident. F. E. Bird used accident data to produce the following accident triangle:

1 10 30

Serious or disabling injury Minor injuries (first-aid injuries)

Damage accidents Accidents with no damage - near miss accidents

600

Bird’s Accident Ratio Triangle

Other researchers have produced similar accident ratio triangles:

1

Fatal

60

400

1

Major or lost time

29

Major

300

Over-3-day

Minor

No injury accidents

RIDDOR Heinrich It is interesting to note the variations in the findings of these surveys although, regardless of the actual data presented there is a consistent pattern that shows that there are always many more near misses than serious injuries. What should be obvious is that the larger figure of near miss incidents is a much better measure of accident potential than the smaller figure of actual injuries.

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Problems can arise when using accident ratios as a means of predicting accident rates in the workplace and comparing performance. Care needs to be taken to ensure that the basis on which the statistics were srcinally prepared is the same, or that the workplaces themselves being assessed are directly comparable. Where this is not the case, any comparison with other organisations would be meaningless. Another limitation of statistical analysis is the extent to which the numbers involved allow meaningful conclusions to be drawn. This is known as "statistical significance". Often, the numbers for an individual workplace are too low to allow meaningful comparisons with the much larger numbers involved across the industry as a whole.

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What Causes Accidents Domino Theory According to Heinrich: "A preventable accident is one of five factors in a sequence that results in aninjury. The injury is invariably caused by an accident and the accident in turn is always the result of the factor that immediately precedes it." The five factors in his accident sequence are summarised in the following table. Heinrich's Accident Sequence Accident Factors

Description Recklessness, stubbornness, greed and other undesirable traits of character that may be passed along through inheritance. Environment may develop undesirable traits of character or may interfere with education. Both inheritance and environment may cause faults of person.

1.

Ancestry and social environment

2.

Fault of person

3.

Unsafe act and/or mechanical or physical hazard

Unsafe performance of persons such as: standing under danger areas, careless starting of machines, removal of safeguards and horseplay; mechanical or physical hazards such as unguarded gears or points of operation, insufficient light, which result in accidents?

4.

Accident

Events such as falls of persons, striking of persons by flying objects, etc. are typical accidents that cause injury.

5.

Injury

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Inherited or acquired faults of person such as recklessness, violent temper, nervousness, excitability. These constitute reasons for committing unsafe acts or for the existence of mechanical or physical hazards.

Fractures, lacerations, etc. are injuries that result directly from accidents.

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Bird and Loftus extended Heinrich's theory to encompass the influence of management in the cause and effect of accidents. They suggested a modified sequence of events as follows: 1.

Lack of control by management.

2.

This permits the existence of basic or underlying causes (i.e. personal and job factors).

3.

In turn, this leads to immediate causes (such as unsafe acts or unsafe conditions)

4.

Which leads to the incident in question.

5. Finally resulting in some kind of loss This modified sequence can be applied to every accident and is of basic importance to loss control management. The major point that Heinrich and Bird makes is that a preventable injury is the natural culmination of a series of events or circumstances that occur in afixed logical order. Here an analogy can be made with a row of dominoes placed on end such that if one falls it will cause the next to fall and so on throughout the series If one of the dominoes is removed then the chain of events will be halted.

Lack of Management Control

Basic underlying Causes

Immediate causes

Accident

Loss

Accident Domino Sequence

Similarly, if the accident sequence is interrupted by the elimination of even one of the factors that comprise it, then the loss cannot occur and the accident has been prevented. In the case of the accident sequence, perhaps the easiest factor to eliminate is Number 3 “the immediate causes” which we define as "unsafe act and/or unsafe conditions". Unsafe acts and conditions are often caused by a range of underlying causes such as lack of policy or procedure, poor training, no systems of work, poor supervision etc which in turn may be due to a lack of interest or support of senior management. To quote from HSG65: “The immediate cause (of an accident) may bea human or technical failure, but they usually arise from organisational failings which are the responsibility of management.”

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Unsafe Acts Let us consider an example. In a wood yard, some lengths of timber were being stacked when the “siren” sounded to signal the start of the morning tea-break. The stackers quickly finished their job and went for tea. After tea they resumed work in another part of the yard. Unfortunately, they had left some of the timber in the first stack sticking out into the access path. Later, at dusk, another employee came along, omitted to turn onthe appropriate yard lights and tripped over the poorly-stacked timber. In example, the samehisyard, the other workers to used a in defective with theanother result that he fell in and broke arm one and of sustained laceration a leg additionladder, to other superficial injuries. Subsequent investigation revealed that the ladder had a non-slip safety foot on only one leg and that it had been too long for the job in hand. The result was that it was pitched at an excessively shallow angle, consequently causing it to slip at its base. In both examples, accidents occurred because of unsafe acts. In one case, a third party was injured; in the other, the unsafe act was done by the injured party.

Examples of Unsafe Acts Unsafe acts of persons may be considered under the following headings: Operating without authority. Operating or working at unsafe speed. Rendering safety devices inoperative. Using unsafe equipment, or using equipment unsafely. Unsafe methods, e.g. loading, carrying, mixing. Adopting unsafe position or posture. Working on moving or dangerous equipment. Horseplay, e.g. distracting, teasing, startling. Failure to wear safe clothing or use personal protective devices. Lack of concentration; fatigue or ill-health.

Types of Unsafe Act From an accident prevention point of view, it is useful to classify two types of unsafe act: active and passive. Active Unsafe Acts An obvious example of the active type of unsafe act is the case where a worker deliberately removes a safety guard, possibly to improve his rate of production. This act, coupled with the fact that he is now working faster, may produce more errors and/or stress. Many of these errors may go unnoticed, some may produce near-misses, but eventually, by the law of averages, an injury accident will ensue. Of course, it is difficult to control a person’s behaviour, but the most effective measures have been found to be through proper training and adequate supervision. Passive Unsafe Acts Passive unsafe acts are generally more difficult to deal with. An example here might be the failure of an employee to wear Personal Protection when clearly everyone knows that they

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should. There will be a range of possible reasons why the protection is not worn and these passive acts are often very difficult to change. Modifications to behaviour can be made through participation and consultation schemes, training programmes and effective supervision.

Unsafe Conditions Mechanical For many years machinery has been responsible for many industrial accidents around the world. Government legislation was enacted improved techniques in machine guarding, ergonomic design and an increased awareness of moral and social responsibilities have combined to drastically reduce the number of injuries attributable to machinery accidents. This still leaves considerable cause for concern, because machine accident injuries are usually severe, and often result in partial or even permanent disablement. Although there are regulations and standards relating to the fencing and guarding of dangerous machinery, most accidents arise because of lack of provision of adequate guards or because of failure to use the guards provided. Sometimes it is not possible to make guards that are 100% effective at all times and automatic and interlocking guards should not be regarded as infallible. Nevertheless, all guards should be well designed, correctly adjusted, adequately maintained and tested or inspected regularly. Some machines may be left unguarded because they are presumed to be 'safe by position'. No machinery can really be safe by position because its relative safety depends upon the proximity of people, and a person near the machine is, or is not, safe by position. In one case, a drive shaft and motor were sited unguarded high up on an internal wall of a factory. It was thought to be safe by position. At some later date, when alterations were being carried out, a worker on a ladder outside the factory reached through a hole in the wall with the result that his arm was amputated. Machines may sometimes be started by mistake or without the appropriate authorisation. One example is where a machine is stopped for routine maintenance or adjustment. This might not be obvious to the operative, particularly on a change of shift, who may start the machine, causing injury to the mechanic. The remedy in such cases lies in the adoption of a safe system of work, including a permit-towork. This commonly involves advising the supervisor at the start and completion of the job, removing fuses, locking or covering starter switches, and hanging the appropriate notices. It is essential the maintenance work should be unable to proceed without the necessary authorisation, duly signed by the appropriate supervisor as necessary.

Physical Industrial psychologists have spent a great deal of time in examining how operator performance varies as external conditions change, the idea being that there is an optimum condition for performing each kind of task. For example, when conditions of lighting, heating, ventilation, humidity and noise are closely studied, it has been found there is some desirable range whichwill anadversely operator will function efficiently. Anything that range, eitheran too little orwithin too much, affect his performance. However,outside many workers will make extra effort to maintain a given output despite a deterioration of working conditions. In such cases it has been found that this is usually accompanied by an increase in the frequency and severity of accidents.

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Temperature Many experiments have been carried out on the effects of temperature. The main variables are air temperature, humidity, air flow and the operator's clothing and activity. The general consensus is that conditions for thermal comfort, work efficiency and minimum accident rates are much the same. Temperatures in the range 16-24°C appear tobe acceptable for most people, with the heavier workloads at the low end of the range and sedentary tasks at the higher end. Very hard work, or the use of protective clothing, will lower this temperature range, while it will be raised by high air movement (which gives greater body cooling). Noise The effect of noise is extremely complex. It is known that noise can damage the auditory mechanism and that prolonged exposure to levels above 120 dB (decibels) causes permanent damage. Lower levels interfere with speech and communication and there can also be interference with working efficiency. Errors have been found to increase with noise and nonauditory effects, such as loss of touch sensitivity, have been reported. Either of these effects could easily be responsible for an accident.

Examples of Unsafe Conditions The following examples describe unsafe conditions from which an accident may result: Inadequate guarding; guards of inadequate height, strength, mesh, etc. Unguarded machinery or the absence of the required guards. Defective, rough, sharp, slippery, decayed, cracked surfaces. Unsafely designed machines, tools. Unsafe arrangement, poor housekeeping, congestion, blocked exits. Inadequate lighting, glare, reflection. Inadequate ventilation, contaminated air. Unsafe processes - mechanical, chemical, electrical, and nuclear. Hot, humid or noisy environment. This is not to say that an unsafe act or unsafe condition alone could not result in an accident. For example, horseplay is an unsafe act that could take place in otherwise safe conditions, but could nevertheless result in an accident. Similarly, a person could be working in a perfectly safe manner, using safe equipment and materials that are without hazard, but suffer injuries as the result of the collapse of a floor riddled with woodworm and dry rot. (One could argue, however, that collapse of the floor was due to an unsafe act, i.e. failure to inspect the floor and supporting joists and failure to calculate the floor loadings.)

Multi-Causal Theories There is often 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.

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The ignition will only happen if these three eventsoccur together. Each of the three events may, in themselves, be the endresult of a number of different sequences of events. In accident investigation, all causes must be identified. Systems Theory This is another way of looking at a multiple cause situation. Factories and processes may be treated as systems, i.e. an assembly of parts or components connected together in some organised way to perform some task, with inputs and outputs and various kinds of control mechanisms. A systems approach is often useful in simplifying complex operations. Part of the system can be taken as a 'black box', with only the inputs and outputs considered. System failures are prevented or minimised by components that cannot fail, by back-up systems, or by redundancy built into the system. Accidents happen in our system because it includes fallible components such as machines and human beings. The system is operating in the failure mode. The essential features of the multiple causation approach are shown diagrammatically in the figure that follows.

Sub Causes Cause a

Cause b

Unsafe Act

Cause c Accident

Injury, Damage or Near-miss

Cause d

Cause e

Unsafe Condition

Cause f

Features of the Multiple Causation Approach

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Costs Arising from Accidents Most accidents are minor in nature but may stop production for some time and lead to the injured employee being away from work for a few days. This involves the cost of lost production, and sick pay, etc. A major accident, on the other hand, can lead to a prolonged absence from work for the employee involved and the costs of an investigation during which equipment and machinery may be at a standstill.

Considering Outcomes of events

As explained earlier an accident is an event with an adverse outcome that results from a combination of undesired circumstances. Incidents include all loss making and non-loss making events but of course the outcome of any event is often a matter of chance and they may not lead to a loss at all. It is useful to consider the outcome of the event as being one of four types that can help us to determine the associated costs of the event: A: Those causing no injury. B: Those causing no injury but damaging property. C: Those causing injury but no property damage. D: Those causing injury and property damage.

Incident Outcomes

no property damage A No injury

A person steps on banana skin does not slip C

Injury

Steps on banana skin - slips sprains ankle

property damage B Steps on banana skin - slips drops cup which breaks D Steps on banana skin - slips sprains ankle - drops cup which breaks

There will be costs associated with any event, even the no-injury/no property damage event might incur costs associated with reporting and recording the event. But of course the more insignificant the event, the less cost will be attributed.

Direct and Indirect Costs Costs of accidents may be split into two types: Those relating directly to the incident. Those relating indirectly to the incident. Some examples are given below:

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Type A accidents •

Direct costs None.

•

Indirect costs Negligible. Possibly the cost associated with reporting and recording the “near miss”.

Type B Accidents •

•

Direct Costs −

Cost of replacement property.

−

Cost of repair to property.

Indirect Costs −

Waste of material and time spent on job to date.

−

Downtime awaiting repair.

−

Downtime awaiting replacement.

Type C Accidents •

•

Direct Costs −

Costs of medical treatment - first-aid, ambulance, etc.

−

Compensation payments.

−

Fines for breach of statutory duty.

−

Legal fees

Indirect Costs Lost time due to: −

Workers stopping to assist sympathise or discuss the incident.

−

Machinery stoppage to free victim.

−

Supervisors assisting victim.

−

Persons investigating accident.

−

Rearrangement of schedules.

−

Preparation of reports.

−

Attendances at courts of law.

−

Hospital visits.

−

Visits to relatives.

Lost profit due to: −

Loss of victim's production.

−

Cost of training replacement.

−

Reduced productivity, wages and overtime.

−

Failure to meet production dates.

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−

Cancellation of orders.

−

Loss of future orders.

Lost overheads due to: −

Higher insurance premiums.

−

Plant and staff idle.

−

Cost of plant hire.

Incidental costs: −

Difficulty recruiting good staff.

−

Poor staff causing increase in waste.

−

Poor workers having more accidents.

Type D Accidents These are likely to include, at least, all the costs involved in Class B and C accidents.

Insured and Uninsured Costs Employers will invariably take out insurance to cover themselves against potential losses caused by such events as fire and theft. In many countries they are also required by law to have insurance against certain types of liability,as discussed below. However, many of the costs involved in respect of accidents at work are not covered by insurance. Uninsured costs include all indirect costs as well as those relating to loss of production as a result of many types of incident. In addition, the insurance to cover loss in respect of certain events may be void where it may be shown that the employer has not taken adequate precautions to prevent the incident. Employers’ liability insurance is a legal requirement in the UK (under the Employers’ Liability (Compulsory Insurance) Regulations 1998) and without it a company cannot trade. It is required to cover the claims which may be brought in respect of the employer’s civil liabilities – such as negligence, breach of statutory duty, etc. – and the minimum insurance is for £5 million. Insurance claims under employers’ liability insurance have outstripped premium increases in recent years, partly due to increased public awareness and concern about health. Also, people are more ready to claim, and compensation payments as well as legal costs are continuing to rise. These factors are causing great concern among insurers, who fear the future cost of today’s health hazards (particularly issues such as work-related upper limb disorder and passive smoking). Employers’ liability insurance premiums can rise dramatically for employers who cannot show evidence that risks are being managed, and some companies may well become uninsurable.

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It is useful to be able to distinguish between the different cost elements and the following figure represents examples of types of accidents costs that make up the overall costs of an accident. INSURED Employers’ liability

Business interruption

I

D

Public liability

Product liability

N

I

Damage to buildings

D

R

Damage to vehicles

I

E

Sick pay

Investigation costs

R

C

Repairs

Loss of goodwill

E

T

Product lost/damaged

Loss of corporate image

C

Hiring and training of replacement staff

T

UNINSURED

Costs Associated with Accidents and Losses Each of these types of cost needs to be calculated. The easiest is the direct insured costs; a premium will be paid and any loss will (hopefully) be covered by the insurance. The indirect but insured costs will be partly covered by the insurance. Here the problem is that it is never possible to ensure that the be forecast and insured.risks In any the risk manager will be seeking to entire reducecost the can insurance burden byso retaining thatcase, can be controlled in other ways. The indirect and uninsured costs will need careful consideration, and are the costs of things like future loss of sales due to poor public image and loss of goodwill or the costs associated with the investigation itself or the recruitment of any replacement labour needed as a consequence of the accident: In a survey undertaken by the HSE it was found that that for every £1 that employers spend on insurance, the uninsured costs of accidents over a year amounted to between 8 and 36 times that amount. This is the reason why the direct costs of accidents are often considered to be just the “tip of iceburg”.

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Accident Cost Analysis Direct and Indirect Losses We have discussed the costs associated with accidents and when measuring potential losses, both indirect and direct losses must be considered. The problem here is that it is relatively straightforward to calculate the direct costs of an accident (if we have robust systems for capturing the data) but when calculating the indirect losses we may have to rely on reasonable assumptions and prediction which may not be entirely accurate but should be a close estimation so as to afford the opportunity for senior management to understand the impact of the accident on the financial standing of the business. If we are going to capture, analyse and present accident cost data as part of our performance monitoring programme we need to have a reliable cost for an injury accident, and for damage accidents. This will usually involve filling in an accident cost sheet. The following is an example of such a form. ACCIDENT COST SHEET Location Description of Accident Type of Accident:

Lost-time injury

Damage/(delete those not applicable)

Non-lost-time injury

Details of injury to employee(s) and/or damage to plant, equipment or materials Date of accident Number of days lost (lost-time injuries only) Cost Element

1.

8.

£

Safety administration costs

2.

Medical centre costs

3.

Cost of lost time of injured employee

4.

Cost of replacement labour

5.

Costs of welfare (or other) payments (made by company) to employee

6.

Cost of lost production

Cost of repair/replacement of damaged plant/equipment

(a) Labour cost (b) Materials cost 9. Cost of damaged materials 10. Other costs Total

£

Accident Cost Sheet

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Cost Benefit Graph There are costs involved with all accidents and losses. There will also be costs involved with accident prevention and risk reduction. It is possible to spend more on risk treatment than we save by the reduction of the losses. The cost-benefit graph is illustrated in the next figure.

+ T I F E N E B

MAXIMUM BENEFIT

POSITIVE BENEFIT

0 COST OF SAFETY −

NEGATIVE BENEFIT

Cost-Benefit Graph This graph shows the position where there is maximum benefit and suggests that there is a point where putting more money and resources into a project can achieve no further benefit and therefore is considered wasteful and unnecessary. The safety practitioner is often asked to carry out such an analysis for the safety measures that he is proposing.

Risk Control Cost Decisions Cost Areas

There is obviously a cost implication from controlling any kind of risk. These costs can be split into the following areas: •

Organisational These are the costs of staff, and the time involved in investigation, records and first-aid and medical provision.

•

Design Reduction of accidents will involve engineering aspects, such as the purchase and fabrication of safety devices. Safety systems need to be designed and programms for recording and costing losses will have to be tried out.

•

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 and interlocks, providing PPE as well as carrying out sampling and testing.

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Calculating Accident Costs The UK’s HSE has published a series of examples of accident costs. Students are encouraged to review the HSE website at http://www.hse.gov.uk/costs/index.asp

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Reasons for Preventing Accidents Moral It is widely accepted that moral reasons should be the prime reason for managing risk, although whether this is actually the case is open to debate in some cases. There is a need for maintaining a moral code within our society. Without it, employers can be tempted to treat the health and safety of the workforce as being of lower importance than financial profit. Moral reasons are based on the concept of an employer owing a duty of reasonable care to his or her employees. A person does not expect to risk life and limb, or physical health, as a condition of employment. Society expects every employer to demonstrate a correct attitude to health and safety to his or her workforce. It is totally unacceptable to place employees in situations where their health and safety is at risk. In addition to the obvious duties owed by an employer to his or her workers, he or she also has a moral obligation to protect other people whose health and safety may be affected by the undertaking, for example, contractors or members of the public.

Legal Over the years, many moral obligations have been turned into health and safety legislation. The "duty of care" is seen in the UK’s common law judgments. The UK’s Health and Safety at Work, etc. Act 1974 (HSWA), and Regulations made under it, follows a long list of legal enactments that reinforce the duty of care. Many countries have introduced their own legal duties regarding the protection of workers from harm and where this is not the case adoption of other countries’ health and safety laws as best practice is common. There are strong legal reasons for employers to manage risk: Preventive - enforcement notices (improvement or prohibition) can be issued by enforcement inspectors. Punitive - where the criminal courts impose fines and i mprisonment for breaches of legal duties. These punishments can be given to the company or to individuals within the company. Compensatory - where employees are able to sue in the civil courts for compensation.

Economic As has been explained accidents and ill-health are costly and the indirect costs involved are often substantially more than direct costs. The financial burden placed on employers is often a key factor in the ownership and development of safety management systems that will help to reduce the costs of failure and sub-standard practice at work. The Safety Practitioner will often be required to develop budgets and justifications for implementing safety initiatives and it is here that a sound knowledge and understanding of the costs associated with poor practice is essential if proposals and business cases are to be successful.

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Accident Prevention Strategy An accident prevention strategy is a long-term plan of action designed to prevent accidents from happening. Of course, the strategy maybe aimed at specific accident types or may be more general. Accident prevention means implementing measures toprevent them from happening. It will, necessarily, involve identifying how accidents canoccur. We have already seen earlier in this study unit that accidents can result in different types of The lives, resulting cost in to terms the company can bemeasured only in We terms of its effect on loss. people’s but also ofthe financial cost to thenot business. have also seen that behind serious incidents, there are many more near-miss events that could easily have led to something more serious – the underlying causes are the same. Therefore, because many of the causal factorsare the same, it makes sense to use a total loss approach – where the aim is to control all accidental loss. Accident prevention, when applied to acomplex organisation, can be quite daunting. We have already considered the myriad causes of accidents – arising from workplace, organisational, personal, job factors, etc. Many causes can ultimately be linked to a failure (or lack) of management systems. An overall approach to long-term accident prevention is therefore to effectively manage it. This can be done by implementing a safety management system; these are described in detail in Element 1A4.

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Title

Page

International Occupational Health and Safety Framework

THE MAIN FUNCTIONS AND RESPONSIBILITIES OF KEY INTERNATIONAL OHS ORGANISATIONS .................. 3 INTRODUCTION ............... .............. ................ ............. ................ .............. .............. ............... ................ .............. .. 3 INTERNATIONAL LABOUR ORGANISATION (ILO) ............... .............. ................ ............. ................ .............. ............... ....... 3 WORLD HEALTH ORGANISATION (WHO) .............. ................ ............... .............. ................ .............. .............. ............... 5 EUROPEAN UNION (EU) LAW............. .............. ................ ............. ................ .............. ................ ................. .............. 7 THE EUROPEAN TRADE UNION INSTITUTE (ETUI) .............. .............. ................ ................ ................ ............... ............ .... 9 THE HEALTH AND SAFETY EXECUTIVE ................ .............. ................ ............. ................ .............. .............. .............. .... 10 OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION (OSHA) U.S. ............... .............. ................ ............. ................ ....... 11 NATIONAL INSTITUTE FOR OCCUPATIONAL SAFETY AND HEALTH (NIOSH) U.S. ............... ............... ................ .............. ......... 11 THE NATIONAL OCCUPATIONAL HEALTH AND SAFETY COMMISSION (NOHSC) AUSTRALIA........ ........... .......... ......... ........... ...... 12 BRITISH STANDARDS INSTITUTION (BSI).............. ................ ............... .............. ................ .............. .............. ............. 12 GENERAL DUTIES OF EMPLOYERS .................................................................................................................... 14 DUTIES OF EMPLOYER TO EMPLOYEES ................ ................. .............. .............. .............. ................ ............. ................ 14 DUTIES ON EMPLOYERS TO NON EMPLOYEES .............. .............. ................ ............. ................ .............. .............. ........... 15 DUTIES OF PERSONS IN CHARGE OF PREMISES TO NON-EMPLOYEES .............. ................ ............... .............. .............. ........... 15

BSC International Diploma - Element 1A Fundamentals of Health and Safety Management

BSC International Diploma | Unit 1 Study Unit 1A2 | International Occupational Health and Safety Framework Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.2.1 Describe the functions of the key occupational health and safety informing bodies 1.A.2.2 Outline the principles underlying the general duties of employers in relation to occupational safety and health

Unit 2:

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The main functions and responsibilities of key international OHS organisations Introduction The aim of all health and safety legislation, no matter what Country it applies to is to protect the workforce and others who might also be affected from foreseeable hazards and associated risks from anth employers undertaking. International health and safety law has been developing since the 19 Century and many Country’s have suitable legislation in place to protect the workforce, however work practices and methods are constantly changing with technical progress and therefore legislation has to change to keep pace. New legislation is also sometimes brought into force as result of International working groups and organisations raising awareness of particular work practices which continue to cause death and serious injury year after year such as ‘work at height’ or health issues such as ‘vibration’. These two topics have recently been the subject of European Union Directives and implemented into the UK legal system as: Work at Height Regulations 2005. The Control of Vibration at Work Regulations 2005. In this section we shall review a number of key organisations along with their functions in relation to protecting workers from harm.

International Labour Organisation (ILO) The International Labour Organisation (ILO) is built on the constitutional principle that universal and lasting peace can only be established if it is based upon social justice. The ILO is responsible for the eight-hour working day, maternity protection, child-labour laws, and a range of policies which promote workplace safety and peaceful industrial relations. The ILO is the international institutional framework which makes it possible to address such issues (and to find solutions) allowing working conditions to improve everywhere. No country or industry could have afforded to introduce any of these in the absence of similar and simultaneous action by its competitors.

How the ILO Works The ILO has a tripartite structure unique in the United Nations, in which employers’ and workers’ representatives (the ‘social partners’ of the economy) have an equal voice with those of governments in shaping its policies and programmes. The ILO also encourages this tripartism within its member States by promoting a ‘social dialogue’ between trade unions and employers in formulating, and where appropriate, implementing national policy on social, economic, and many other issues. Minimum international labour standards and the broad policies of the ILO are set by the International Labour Conference, which meets annually. Every two years, the Conference adopts the ILO’s biennial work programme and budget, which is financed by member States.

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The Functions of the ILO The ILO has four principal strategic objectives: 1. To promote and realise standards, and fundamental principles and rights at work: 2. To create greater opportunities for women and men to secure decent employment: 3.

To enhance the coverage and effectiveness of social protection for all:

4.

To strengthen tripartism and social dialogue.

These objectives are realised in a number of ways: Formulation of international policies and programmes to promote basic human rights, improve working and living conditions, and enhance employment opportunities. Creation of international labour standards – backed by a unique system to supervise their application – to serve as guidelines for national authorities in putting these policies into action. An extensive programme of international technical co-operation formulated and implemented in an active partnership with constituents, to help countries in making these policies effective in practice. Training, education, research, and publishing activities to help advance all of these efforts.

International Labour Standards - Conventions and Recommendations International labour standards are legal instruments drawn up by the ILO's constituents and setting out basic principles and rights at work. They are either ‘conventions,’ which are legally binding international treaties that may be ratified by member states, or ‘recommendations,’ which serve as non-binding guidelines. In many cases, a convention lays down the basic principles to be implemented by ratifying countries, while a related recommendation supplements the convention by providing more detailed guidelines on how it could be applied. Recommendations can also be self governing, 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 to their this competent authority (normally the parliament) for consideration. In the case of conventions, means consideration for ratification. If it is ratified, a convention generally comes into force for that country 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. In addition, representation and complaint procedures can be initiated against countries for violations of a convention they have ratified.

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World Day for Safety and Health at Work In 2003, the ILO began promoting occupational safety and health across the globe as part of the annual World Day for Safety andHealth at Work. Since the ILO began observing the day, (which is held on 28 April each year), the event has become one of global importance and is now marked in over 100 ILO member States. In 2005, the ILO SafeWork programme chose the theme “preventative safety and health culture,” with a focus on the construction industry and younger and older workers. In 2010 the programme highlighted technological changing patterns of employment and workforce. advance, emerging workplace risks, and

World Health Organisation (WHO) The WHO is a specialised agency of the United Nations governed by 193 Member States throughout the World Health Assembly. WHO promotes technical co-operation for health among nations, carries out programmes to control and eradicate disease, and strives to improve the quality of human life. Its four main functions are: To give world-wide guidance in the field of health. To set global standards for health. To co-operate with governments in st rengthening national health programmes. To develop and t ransfer appropriate health technology, information and standards. Health is defined in WHO’s Constitution as: “A state of complete physical, mental and social well-being and not merely the absence of disease or infirmity.” The main tasks of the World Health Assembly are to approve the WHO programme and the budget for the following biennium and to decide major policy questions. WHO addresses occupational health through a programme in WHO headquarters, the six WHO regional offices and WHO country offices, with the support of a strong network of 70 Collaborating Centres.

Global Strategy on Occupational Health for All WHO is implementing a global strategy to: Provide evidence for policy, legislation and support to decision-makers, including work carried out to estimate the magnitude of the burden of occupational diseases and injuries. Provide infrastructure support and development through capacity building, information dissemination and networking. Support protection and promotion of workers’ health.

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WHO also assists countries to develop or upgrade their national occupational health profiles and action plans and to create the capacity to implement the plans. It has a particular focus on strengthening capacity building activities, particularly on practical solutions, and to enhancing work addressing selected priority groups, such as health care workers.

Other WHO Occupational Health Activities Needlestick Injuries Since 2003, there has been a special project “Health Care Workers/Prevention of Needlesticks: a special pilot project to reduce the exposure to HIV and other sharps-related infections (hepatitis B and C) in health care workers associated with injections.” The project aims to raise awareness and reduce injuries in a variety of health care settings in selected countries. The project is implemented by WHO (HQ, Regional and National Offices), WHO Collaborating Centres and the International Council of Nurses, and is based on the WHO Toolkit entitled “Behaviour Change Strategy to Achieve a Safe and Appropriate Use of Injections.” The Toolkit provides technical and policy guidance to health-care workers, administrators and politicians in order to promote injection safety. Practical Solutions The focus of WHO has been to support countries to implement solutions to tackle the most serious and prevalent occupational hazards. Work is under way on the development of practical solutions, with a focus on control banding, silicosis, child labour, and workplace health promotion. Control Banding is an approach to risk assessment and management that groups workplace risks into “control bands” based on a combination of hazard and exposure information. It can be applied to chemicals and other workplace hazards. Over the years, ILO and WHO have paid special attention to the prevention of silicosis in collaboration with national and international organisations. Continuous efforts are being undertaken in organising various activities in developing countries aimed at the prevention of occupational respiratory diseases, which are targeted particularly at the elimination of silicosis. Hazardous child labour is a widespread phenomenon that has recently appeared on many political agendas in countries in all regions. It is estimated that around 350 million children, about one in every six children aged 5 to 17 on the face of the globe, are involved in child labour. Of these, some 179 million (one in eight) are trapped in the “worst forms” of child labour, including hazardous child labour. The Occupational Health and Safety community has not been effectively involved in the definition and action on hazardous child labour. WHO considers the workplace as a priority setting for health promotion into the 21st century. The workplace can have a very positive impact on the health and well-being of workers, their families, communities and society at large. However, in spite of demonstrated benefits, current workplace health promotion efforts reach a limited number of workplaces and workers around the world. WHO supports a participatory process to help promote a stronger implementation of occupational and environmental health legislation. It suggests tools for

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maintaining or strengthening national (and sector-based) healthy workplace initiatives, such as an awards system as an incentive for participating enterprises, and creation of healthy workplace networks.

Regional Initiatives, Including the WHO/ILO African Joint Effort The Regional Initiatives in Occupational Health are the cornerstones for the implementation of tools and materials developed by the WHO Global Occupational Health Programme. Efficient application of available knowledge to practical solutions to overcome the ‘knowledge application gap’ is more important than generating new theoretical knowledge. An important example is the development and implementation of the WHO/ILO Joint Effort on Occupational Health in Africa (AJE). This project recognises that many factors are working in occupational health and safety in the African region, but that there has been a lack of strategic coordination. In many countries, less than 10% of workers are covered by any occupational health programme or service. With the support of WHO and the ILO, the AJE has established a precedent for promoting and protecting workers’ health by information generation and sharing, education and training for workers, employers, professionals and decision-makers, and risk assessment and management. Another regional initiative supported by WHO and ILO is under development in the Asian region, joining two of the WHO regional offices (Western Pacific Regional Office WPRO and South East Asian Regional Office SEARO) with both ILO Asian offices.

European Union (EU) Law European Law generally consists of EU Directives and EU Regulations. EU Directives are binding on member states with respect to the objectives to be achieved but the method for achieving this is left open. Directives are normally implemented by regulations made in the member states. EU Regulations however, are directly acting on member states and requires no further implementation.

The main institutions of the EU are as follows: Council of the European Union The Council of the European Union was previously known as the Council of Ministers. It consists of one member from each of the member states and usually meets inBrussels. The office of President rotates on a six monthly basis between the member states. The Council has a number of powers, the most important of which are: To ensure the co-ordination of the general economic policies of the member states. To take decisions and to delegate implementing powers to the European Commission. To request the Commission to undertake any studies the Council deem appropriate in order to achieve Community objectives and to submit proposals on them to the Council. The Council of the European Union is the principal decision-making institution in the Community.

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The European Commission The Commission is made up of Commissioners from the various member states. The President of the Commission is nominated by the member states in consultation with the European Parliament. Voting on issues is resolved by a simple majority. The Commission's functions are: To formulate and institute policy decisions. To promote and represent the interests of the EU. To implement EU policy. To institute proceedings before the European Court of Justice for any violations of EU obligations by member states, or against any EU institution considered to have exceeded its powers. European Parliament Originally, the Parliament lacked real executive power and had a mainly advisory role. However, with the adoption of theSingle European Act, its powers have widened considerably. In addition to its legislative role, the Parliament can join with the Commission and the Council of the European Union in dealing with legislation relating to discrimination on grounds of nationality, free movement of workers or services, and the establishment and function of the EU's internal market. European Court of Justice (ECJ) This Court, based in Luxembourg, consists of judges appointed from the member states who are assisted by advocates-general. Most cases brought before the ECJ deal with the interpretation or application of EU legislation as it affects individual rights. If an individual person can show that the member state is in breach of EU law, s/he can bring thecase before the ECJ. However, the individual cannot make a direct approach to the ECJ. The case must commence in a national court. Where there is a conflict between EU law and national law, EU law takes precedence. If during the course of a case in a national court a point of EU law is raised and disputed, the individual may ask the court to refer the matter to the ECJ.

Enforcement of EU laws Decisions of the ECJ become precedents for the courts of member states and any future legislation enacted by member states must have regard to such decisions. Once a Decision has been made by the ECJ the Court can impose a financial penalty on a member state which fails to comply with the judgment of the Court.

The European Agency for Safety and Health at Work (EASHW) The European Agency for Safety and Health at Work was set up by the European Union and is based in Bilbao, Spain. It aims to make Europe’s workplaces safer, healthier and more productive by encouraging improvements in the working environment. The main functions of the Agency are: To collect and disseminate technical, scientific and economic information in the Member States in order to pass it on to the Community bodies, Member States and interested

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parties. This collection takes place to identify existing national priorities and programmes and provide the necessary input to the priorities and programmes of the Community. To collect technical, scientific and economic information on research into safety and health at work and on other research activities which involve aspects connected with safety and health at work, and disseminate the results of the research and research activities. To promote and support co-operation and exchange of information and experience amongst the Member States in the field of safety and health at work, including information on training programmes. To organise conferences and seminars and exchanges of experts from the Member States in the field of safety and health at work. To supply the Community bodies and the Member States with the objective available technical, scientific and economic information they require to formulate and implement judicious and effective policies designed to protect the safety and health of workers. Furthermore, to provide the Commission with the technical, scientific and economic information it requires to fulfil its tasks of identifying, preparing and evaluating legislation and measures in the area of the protection of the safety and health of workers, notably as regards the impact of legislation on enterprises, with particular reference to small and medium-sized enterprises. To establish, in co-operation with the Member States, and coordinate the network referred taking into account the national, Community and international bodies and organisations which provide this type of information and services. To collect and make available information on safety and health matters from and to third countries and international organisations (e.g. WHO, ILO). To provide technical, scientific and economic information on methods and tools for implementing preventive activities, paying particular attention to the specific problems of small and medium-sized enterprises. To contribute to the development of future Community action programmes relating to the protection of safety and health at work, without prejudice to the Commission’s sphere of competence.

The European Trade Union Institute (ETUI) The Health and Safety Department of the European Trade Union Institute - Research, Education, Health and Safety (ETUI-REHS) at promoting high standards health and safety at the workplace throughout Europe.aims It succeeds the former EuropeanofTrade Union Technical Bureau for Health and Safety (TUTB), founded in 1989 by the European Trade Union Confederation.

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One of its main activities is in providing information on health and safety issues and policy while coordinating European networks of health and safety experts in the field of technical standards and chemicals.

The Health and Safety Department The Health and Safety Department monitors the framing, national incorporation and implementation of European legislation in the field of occupational health and safety. It has set up an Observatory on the application of the European directives to carry out comparative research into the impact of Community legislation on prevention systems in EU countries, and work out common trade union responses.

Expertise and Research The Health and Safety Department also provides resources of expertise to trade union members of the Advisory Committee on Safety, Hygiene and Health Protection at Work, which meets in Luxembourg and the Bilbao-based European Agency for Safety and Health at Work. It conducts research into such fields as risk assessment, prevention systems, musculoskeletal disorders, gender dimension and health at work, ergonomics, mental workload and occupational stress. It runs networks of experts on technical standardisation (ergonomics, safety of machinery) and hazardous substances (classification, risk assessment, setting occupational exposure limits). The Health and Safety Department works in co-operation with the two other departments of the ETUI-REHS involved in industrial relations and education and is financially supported by the European Commission.

The Health and Safety Executive The UK’s Health and Safety Executive (HSE) is responsible for the regulation of almost all the risks to health and safety as a result of workplace activities. Their mission is to protect people by ensuring the control of risk in the workplace. This is done through the enforcement of the Health and Safety Work Act and other relevant statutory provisions The HSE covers health and safety in a variety of workplace sectors including nuclear plants, mines, factories, farms, hospitals, schools, offshore gas and oil installations, the safety of the gas grid and the movement of dangerous goods and substances, railway safety, and many other aspects of the protection both of workers and the public. Local authorities are responsible to HSE for enforcement in offices, shops and other parts of the services sector. The duties of the HSE include protecting people in the UK against risks to health or safety from workplace activities by conducting a sponsoring research, promoting training, providing an information service and by putting forward proposals for new or revised legislation and guidance. They also have a specific duty to maintain the Employment Medical Advisory Service which provides advice on matters relating to occupational health.

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Their field-staff include many specialist areas such as nuclear, railways, mines, agriculture and the Employment Medical Advisory Service (EMAS), the latter dealing exclusively with the ‘health’ aspect of Health and Safety.

Occupational Safety and Health Administration (OSHA) U.S. OSHA's mission is to ensure the health and safety of people in the American workplace by setting and enforcing standards; providing training, outreach, and education; establishing partnerships; and encouraging continual improvement in workplace safety and health. OSHA and its state partners have over 2000 inspectors, as well as complaint discrimination investigators, engineers, physicians, educators, standards writers, and other technical and support personnel spread throughout the country. OSHA establishes protective standards, enforces them, and reaches out to employers and employees through technical assistance and consultation programs. Nearly everyone who works in the U.S. comes under OSHA's jurisdiction (except miners, transportation workers, many public employees, and the self-employed). Other users and recipients of OSHA services include occupational safety and health professionals, the academic community, lawyers, journalists, and personnel of other government entities. OSHA aims to ensure worker safety and health in the United States by working with employers and employees to create improved working environments. Since it launched in 1971, OSHA has helped to cut workplace fatalities by more than 60 per cent and occupational injury and illness rates by 40 per cent.

National Institute for Occupational Safety and Health (NIOSH) U.S. The National Institute for Occupational Safety and Health (NIOSH) is the federal agency responsible for conducting research and making recommendations for the prevention of workrelated injury and illness. NIOSH is part of the Centre for Disease Control and Prevention (CDC) in the Department of Health and Human Services. NIOSH was established by the Occupational Safety and Health Act of 1970 which also established the Occupational Safety and Health Administration (OSHA). Although NIOSH and OSHA were created by the same Act of Congress, they are two distinct agencies with separate responsibilities. NIOSH is in the U.S. Department of Health and Human Services and is a research agency. OSHA is in the U.S. Department of Labour and is responsible for creating and enforcing workplace safety and health regulations. NIOSH and OSHA often work together toward the common goal of protecting worker safety and health. NIOSH objectives include: Conduct research to reduce work-related illnesses and injuries. Promote safe and healthy workplaces through interventions, recommendations and capacity building. Enhance global workplace safety and health through international collaborations.

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The National Occupational Health and Safety Commission (NOHSC) AUSTRALIA The National Occupational Health and Safety Commission (NOHSC) is Australia’s national body that leads and coordinates national efforts to prevent workplace death, injury and disease in Australia. The NOHSC’s vision is injury and disease free workplaces across the country. NOHSC is a tripartite statutory body with 18 members including representatives of all Australian governments, employers and employees. Its objectives are achieved implementing the National OHS Strategy 2002-2012 and through coordinating a through national forum that operates through meetings of the Commission and its committees. NOHSC is not a regulatory authority and so does not make or enforce laws. The types of activities that NOHSC undertakes include: Producing key national standards as a model for laws in each Australian jurisdiction to help achieve nationally consistent regulation. Providing OHS statistics. Ensuring health and safety issues are included in training courses for employees in Australian industry. Providing practical guidance on solving OHS problems. Setting the national OHS research agenda.

British (BSI) Founded inStandards 1901, the BSI Institution Group is a leading business services provider to organisations worldwide. The Group has over 5,700 employees in 110 countries, providing: Independent certification of management systems and products. Commodity inspection services. Product testing services. The development of private, national and international standards. Management systems training. Information on standards and international trade. The Group is divided into a number of divisions: ■

BSI British Standards is the National Standards Body o f the UK and develops standards and standardisation solutions to meet the needs of business and society. They work with government, businesses and consumers to represent UK interests and facilitate the production of British, European and international standards. British Standards’ trading arm is BSI Business Information, which focuses on providing standards information and dynamic services that add value to business standards, best practice and management systems.

■

BSI Management Systems operates world wide to provide organisations with independent third-party certification of their management systems, including ISO 9001:2000 (Quality), ISO 14001 (Environmental Management), OHSAS 18001 (Occupational Health and Safety), BS 7799 (Information Security), BS15000, an IT management system

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and Food Safety management systems. In addition, BSI Management Systems also offers a range of training services around management systems. ■

BSI Product Services is best known for the Kitemark, the UK’s first product quality mark. BSI Product Services exists to help industry develop new and better products and to make sure they meet current and future laws and regulations, from commercial construction to motorcycle helmets, from mobile phones to fire extinguishers, from car headlights to medical devices. It also provides third party certification, specifically for CE marking – a legal requirement for certain categories of products sold within the within EU. The division also offers an exciting new range of schemes aimed to at be improving quality service markets.

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General Duties of Employers The Health and Safety at Work etc. Act 1974 is the principle legislation governing health and safety standards in the UK. The Act takes a self-regulatory approach supported by enforcement from the UK enforcement agencies (HSE and Local authorities). The principles underlying the general duties of employers with respect to occupational safety and health are supported by various levels of compliance against legal duties. Whilst we will not cover all UK duties within this text it is useful to consider the standards of compliance as is it applies to UK legislation. In the UK the extent to which employers must comply with the legal duties are qualified by certain phrases. Some duties are absolute and must be complied with. Others are qualified by terms such as “so far as is reasonably practicable” and “so far as is practicable” which allow for some degree of judgement based on level of risk and costs involved in managing the risk. “So far as is reasonably practicable” means that the degree of risk must be balanced against the time, cost, effort and degree of difficulty necessary to combat it. If these were so disproportionate that it would be quite unreasonable to carry them out then it would not be reasonably practicable. “So far as is practicable” implies a stricter standard - where if it is technically possible in light of current knowledge and best practice then it must be done. Cost, time and trouble are not taken into account. This concept was challenged recently within the European Union but was considered an acceptable approach and remains in force in the UK.

Duties of Employer to Employees Regardless of any legal background for protecting employees from harm, the general duty placed on the employer is to “….ensure, so far as is reasonably practicable, the health, safety and welfare at work of all his employees”. The general duty includes: •

•

the provision and maintenance of plant and systems of work that are safe and without risks to health; arrangements for ensuring the safety and absence of risks to health from the use, handling, storage and transport of articles and substances;

•

the provision of information, instruction, training and supervision sufficient to ensure

•

the health and safety at work of his employees; the maintenance of any workplace in a safe and healthy condition including means of access and egress and

•

provision and maintenance of the working environment for his employees which is safe and without risk to health and adequate as regards the provision of and arrangements for their welfare facilities.

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Employers must also prepare a written statement of their safety policy. This policy must show the statement of intent from senior management, the organisation (including roles and responsibilities) and arrangements for the implementation of it. Together with any revisions, it must be brought to the attention of his employees.

Employers must also consult with employees in good time about any matters which might affect the health and safety of the employees. This might include for example, the introduction of new technologies or systems of work, safety training or information to be provided

Duties on Employers to Non Employees An Employers must conduct his undertaking in such a way as to not endanger others because of his work activities. “Others” could include persons such as contractors, visitors, the general public and, under certain circumstances trespassers and burglars. The duty to contractors really starts before they enter the premises to commence work. The employer should ensure that they are “competent” to do the job that they are being employed to carry out - however large or small it may be. The contractors themselves have the same duty of care. The duty of care to visitors will be similar to that provided to employees. The level of protection necessary will be determined by the degree of risk. A visitor may become a trespasser should he enter any area where he is not permitted to go. An employer has a duty of care to members of the public. For example they should protect them from falling scaffolding and lamp posts - they should not allow infected water droplets to fall upon them causing legionellis nor should they permit them access to premises such as building sites.

Duties of Persons in Charge of Premises to Non-Employees Any person who has, to any extent, control of non-domestic premises or the machinery or equipment in it or access and egress from or to it, used by people who are not their employees, has a duty of care to them. “Control” means the person in charge of the premises and not employees such as a caretaker or on-site agent. “Premises” could include buildings where contractors enter to service or install machinery or equipment, coin-operated launderettes, games arcades or university laboratories used by research students. The duty to safeguard people will be determined in the light of his knowledge of the expected use for which the premises have been made available and of the extent of his control and knowledge, if any, of the use thereafter.

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Title

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Health and Safety Management Systems

HEALTH AND SAFETY MANAGEMENT SYSTEMS .................................................................................................. 3 HSE’S MANAGING FOR HEALTH AND SAFETY .............. .............. ................ ............. ................ .............. .............. ............. 3 PLAN ................................................................................................................................................................... 5 DETERMINING THE POLICY ................ .............. ................. ............ ................ .............. ............... .............. ................ .. 5 PLANNING FOR IMPLEMENTATION .............. .............. ................ ............ ................ ............... .............. .............. ............. 5 DO ....................................................................................................................................................................... 7 PROFILING HEALTH AND SAFETY RISKS ................ ................. .............. .............. .............. ................ ............. ................ .. 7 ORGANISING FOR HEALTH AND SAFETY .............. .............. ................ ............. ................ .............. .............. .............. ...... 7 ONTROL ................. .............. ................ ............ ................ ................. ............ .............. ................ ................ ...... 7 C CO-OPERATION ............... .............. ................ ............. ................ .............. .............. ............... ................ .............. 10 COMMUNICATION ............... ................ .............. .............. ............... ................ ............ .............. ................. ............ 10 COMPETENCE .............. ................ ............... .............. .............. ................ ............. ................ .............. ................ .. 11 IMPLEMENTING THE PLAN .............. ................ ................ ............ .............. ................. ............ ................ ................ .. 13

CHECK ............................................................................................................................................................... 14 MEASURING PERFORMANCE ............... .............. ................. ............ ................ .............. ............... .............. ................ 14 INVESTIGATING INCIDENTS AND ACCIDENTS ............... .............. ................ ............. ................ .............. .............. ........... 15 ACT .................................................................................................................................................................... 17 REVIEW YOUR PERFORMANCE ............. .............. ................ ............. ................ .............. ............... .............. ................ 17 TAKE ACTION ON LESSONS LEARNED ............. ................ .............. ............... .............. ................ ............. ................ ..... 18 ACTIVE MONITORING TOOLS ........................................................................................................................... 19 OCCUPATIONAL HEALTH AND SAFETY ASSESSMENT SERIES ( OHSAS) 18001 ................................................. 34 SUMMARY TABLE OF MAIN REQUIREMENTS OFOHSAS 18001 .............. ................ ............... .............. .............. ................ .. 35 HSG65 ............................................................................................................................................................... 37

BSC International Diploma – Element 1A | Fundamentals of Health and Safety Management

BSC Level 6 Diploma | Unit 3 Element 1A | Fundamentals of Health and Safety Management

Study Unit 1A3 | Health and Safety Management Systems Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.3.1 Describe the elements of a health and safety management system (e.g. HSG65) 1.A.3.2 Outline the principles of OHSAS 18001

Unit 5:

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Health and Safety Management Systems According to OHSAS18001 (see below), a health and safety management system can be defined as follows:

The part of the overall management system that facilitates the management of the occupational health and safety risks associated with the business of the organisation. This includes the organisational structure, planningachieving, activities,reviewing responsibilities, practices, the procedures and resources for developing, implementing, and maintaining organisation’s occupational health and safety policy. Health and safety management systems can be defined and described, with certain functions ascribed to each part of the system. Until recently, there have been two main frameworks for such systems. The first is usually referred to as ‘HSG65’ and is described in the guidance document ‘Successful Health and Safety Management’ produced by HSE. The second is the framework found within BS OHSAS 18001 which an internationally recognized standard to which organisations can gain certification.

HSE’s Managing for Health and Safety HSE has now moved away (since August 2013) from the model previously provided in HSG65, and the guidance given in the srcinal document has been replaced by an online resource ‘Managing for Health and Safety’ which can be found on the HSE website at http://www.hse.gov.uk/managing/index.htm. At the time of writing (September 2013) there is no hard copy of this guidance, but HSE has stated that this will be produced in the near future. The srcinal model within HSG65 was based on the POPMAR (Policy, Organising, Planning, Measuring performance, Auditing and Review) framework for managing health and safety. A brief summary of this framework is provided at the end of this chapter. The POPMAR framework has been replaced by one of ‘Plan, Do, Check, Act’ (PDCA). It is the view of HSE that the move towards PDCA achieves a better balance between the systems and behavioural aspects of management. It also treats health and safety management as an integral part of good management generally, rather than as a stand-alone system. The components of this PDCA model are summarised in the table below.

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Elements

Plan

Outline content

Determining the policy Planning for implementation

Do

Profiling health and safety risks •

Assessment and prioritisation of risks

Organising for health and safety •

Control

•

Co-operation

•

Communication

•

Competence

Implementing the plan

Check

Monitoring performance •

Active monitoring

•

Reactive monitoring

Investigating accidents and incidents

Act

Reviewing performance Learning lessons

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Plan Managing for Health and Safety divides guidance on planning into two main elements: •

Determining the policy.

•

Planning for implementation.

Determining the Policy Brief guidance is provided here; the main points are: •

•

•

The policy sets a clear direction for the organisation to follow and should be shared throughout the workforce, so that everyone understands how health and safety will be managed. It is best written by someone within the organisation rather than someone from outside, as it needs to reflect the organisation’s values and beliefs, and its commitment to provide a safe and healthy environment. It should be written in consultation with the workforce, and should be signed by a person at the top of the organisation; the owner or a director.

Further detail regarding the legal requirements for a health and safety policy are given below.

Planning for Implementation Planning the system to manage health and safety involves: designing, developing and implementing suitable and proportionate management arrangements, risk control systems and workplace precautions.

•

operating and maintaining the system while also seeking improvement where needed. linking it to the management of other aspects of the organisation.

• •

In order to plan successfully, the following need to be established: where the organisation is now, by considering accurate information about the current situation.

•

where the organisation needs to be, using legal requirements and benchmarking to make comparisons.

•

the action that is necessary to reach that point.

•

Key Actions in Effective Policy Development and Planning Leaders should: Make a statement of intention. State what will be done to keep a safe and healthy environment for workers and anyone else who could be affected by work activities.

•

Clearly set out everyone’s roles and responsibilities. This should include those with

•

particular roles, for example directors, workers, fire wardens, first-aiders and supervisors/managers, the competent person. safety representatives, State how things will be done and what resources will be allocated to make things happen. Details should be included of the systems and procedures that will be in place to help to meet legal obligations, such as:

•

o

how risk assessments will be carried out.

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o

o

plans are for training and safe use of equipment. the controls that will be in place to ensure specifiers and buyers are competent in assessing the risks in procurement, for example knowing the requirements for purchasing suitable personal protective equipment (PPE).

o

how accidents/incidents will be investigated.

o

how workers will be consulted.

o

how equipment will be maintained.

o

how success of the plan will be measured. Consider how health and safety performance will be measured. Consider setting performance targets e.g. for reductions in accidents or absences, or an increase in reporting issues or near misses.

•

•

Prioritise actions.

•

Sign the policy statement to demonstrate commitment to health and safety.

Managers should: Consider the management of contractors when developing a policy.

•

Identify when the policy be reviewed, for example:

•

o

o

o o

•

when changes have taken place, such as in processes or staff. following accident or incident investigations, both within the organisation and where lessons have been learned from others. following consultation with employees’ representatives. if new information is received, e.g. from manufacturers or others in the same sector or industry. Talk to other occupants not employed or managed by the company, but who share the same premises.

•

Discuss plans with workers or their representatives.

•

Communicate the plan so that everyone knows what is required.

•

When developing plans and policies, consider the level of competence necessary to comply with the law.

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Do Managing for Health and Safety divides guidance on doing into three main elements: •

Profiling health and safety risks.

•

Organising for health and safety.

•

Implementing the plan.

Profiling health and safety risks This is the term used for assessing and prioritising risks within the organisation Key actions in profiling health and safety risks •

•

•

Effective leaders and line managers should know the risks their organisations face, rank them in order of importance and take action to control them. The range of risks should go beyond health and safety risks and include quality, environmental and asset damage; issues in one area could impact in another. A risk profile examines the nature and levels of threats faced by an organisation. It examines 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.

Risk profiles will cover: • • • •

the nature and level of the risks faced by the organisation. the likelihood of adverse effects occurring and the level of disruption. costs associated with each type of risk. effectiveness of the controls in place to manage those risks.

Risk assessment is dealt with in detail in Unit 1A5.

Organising for health and safety There are four key areas important in organising for health and safety: •

Control

•

Co-operation

•

Communication

•

Competence

Control

The actions of leaders, line managers and supervisors are all important in delivering effective health and safety. Leaders, at all levels, need to understand the range of health and safety risks in their part of the organisation and to give proportionate attention to each of them. This applies to the level of detail and effort put into assessing the risks and the effort put into

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implementing controls, supervising and monitoring. Main points within the guidance on control include the following: •

• •

•

•

•

•

There must be clear, visible leadership for health and safety from the top of the organisation. Leaders should set a clear example and talk about health and safety in a positive manner. Managers should know the significant risks an know that they are being controlled. There should be a process for ensuring that all health and safety implications of business decisions are recognised and addressed. There should be evidence that the board or leader of the organisation is responsive to the health and safety information that is reported. Health and safety should be included in the processes or management arrangements made for running the business. Health and safety responsibilities of key people should be clearly set out and included in job descriptions. The organisation should ensure access to competent advice.

The following table gives examples of effective and ineffective leadership:

When done effectively

When done badly or not at all Leaders

Maintain attention on the significant risks and implementation of adequate controls.

Set no health and safety priorities.

Demonstrate theiraware commitment by health their actions, they are of the key and safety issues.

oversight. Don’t meet their own organisation’s standards/procedures, eg wearing correct PPE on site/shop floor.

Ensure consultation with the workforce on health and safety. Challenge unsafe behaviour in a timely way.

Don’t understand the need to maintain

Lack of engagement with health and safety by workers. Health and safety is seen as an add-on, irrelevance or nuisance. Poor incident history (accidents, near misses, plant damage or other indicators, eg poor maintenance, poor housekeeping).

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When done effectively

When done badly or not at all

Management of health and safety A systematic approach is used to manage health and safety.

Incomplete or missing paperwork. Does not link to actual risks in workplace.

People understand the risks and control measures associated with their work. Contractors adhere to the same standards.

Confusion over roles, inaction as no one takes responsibility for health and safety, distrust of management motives.

Appropriate documentation is available: current, organised, relevant. People understand their roles and those of others. Performance is measured - to check controls are working and standards are being implemented, and learn from mistakes after things go wrong.

Widespread, routine violations of procedures. No oversight of contractors. Information is not passed on, not understood, or not implemented. Managers are unaware of employee concerns or do not respond appropriately. Lessons are never learned.

Beyond compliance If a formal system (such as BS OHSAS 18001, ISO 9001) is used: has it been externally certified - is the certification accredited? Health and safety is integrated into business processes. Benchmarking is used to compare performance with others. Supply chains are influenced to improve health and safety. A ‘wellness’ programme is in place.

Additional factors to consider Type of industry •

•

Smaller and medium-sized businesses may not need a formal, documented system of safety management. In these situations the behaviours and attributes of a very small group, or perhaps one person such as the business owner, are critical. It is what the owner does to set an example and to provide a lead on health and safety to their staff that determines the outcome. Larger organisations should have someone in senior management who champions health and safety to the board. Safety performance should be monitored with key performance indicators and the arrangements for managing safety should be periodically reviewed.

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•

Leadership in the process industries is critical and board level involvement and competence are essential - constant and active engagement in, and promotion of, process safety by the leadership sets a positive safety culture; ‘rigour in leadership’.

Occupational health issues Dealing with a work-related ill-health issue in an organisation may not be as straightforward as it is for a safety issue. It is important to get the right competent advice to identify what needs to be done. Both immediate ill-health risks and those which can have a latency period must be considered.

Co-operation Worker involvement: This means involvement of the workforce beyond the required legal minimum standard (i.e. more than consultation), where there is development of a genuine management/workforce partnership based on trust, respect and co-operation. The following are the ways of involving workers according to Managing Health and Safety : •

• •

encouraging open communications (e.g. toolbox talks, suggestion schemes, notice boards, or health and safety walkabouts) where workers can discuss or raise their concerns. giving recognition when workers identify risks. for larger businesses, more formal health and safety forums or committees can be a means of enabling worker involvement which may need to cater for part-time workers and contractors.

Co-operation also includes: • • •

Co-ordinating with contractors. Contacting external services. Emergency planning.

.

Communication Key actions in communicating Leaders should: •

Ensure that time is allocated so that communications can take place.

Managers should: •

•

• • • • • •

Formulate plans for cascading information. This will include getting messages across to contractors, anyone with low levels of literacy, or those whose first language is not English. Consider what needs to be communicated and to whom e.g. health and safety policy, risk assessment findings and safe systems of work be shared. Lay out clear communications procedures for safety-critical tasks. Where needed, plan communications with emergency services. Ensure that communication is included in change management procedures. Ensure that written instructions are clear and up to date. Make sure that safety-critical messages have been given attention and are understood. Plan training or coaching to ensure that line managers have the skills needed to carry out face-to-face discussions at all levels within the organisation.

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•

• •

Workers or their representatives should be involved in planning communications activities. Workers should be able to give feedback and report their concerns. Vulnerable groups within the workforce should be involved in communications plans, e.g. young or inexperienced workers, workers with a disability or migrant workers.

Competence Key actions in competence Leaders should: •

• •

Consider the organisation’s risk profile and establish whether there is enough in-house competence to comply with legal obligations. Ensure that workers and managers are able to deliver their responsibilities. Ensure that the nominated competent person(s) has time available to keep up to date with changes in the law and industry good practice.


•

•

•

• •

•

• • •

Carry out proper induction and reinforce learning through peer behaviour, coaching and supervision. Make sure all workers have the necessary training, knowledge and experience to carry out their job safely and without risk to their health. Make sure workers understand the information, instruction and training given, taking account of any language difficulties or disabilities. Information may need to be in a language other than English. Consider workers' individual capability before allocating work. Set out arrangements to capture workers' ideas and suggestions. Make sure there are arrangements for retaining and sharing corporate knowledge. Identify workers with knowledge and experience who could help others develop their level of competence. Training alone does not achieve competence – managers must make sure competence is achieved through consolidation and practical experience . Make sure human factors are covered, for example the effects of fatigue. Encourage workers to identify gaps in their knowledge or experience. Discuss plans for learning and development with workers or their representatives.

Key actions in capability and effective health and safety t raining Leaders should: • • •

•

•

•

Provide resources to enable training to take place. Ensure that sufficient time is given for training. Ensure that a system is in place that provides assurance that workers and managers involved in safety-related work remain competent. Make sure that contingency plans are in place, e.g. if a key member of staff were to suddenly leave the organisation? Ensure that the organisation has access to competent health and safety advice. This may be through a trained in-house adviser, or a competent external consultant e.g. from the Occupational Safety and Health Consultants Register (OSHCR). Demonstrate personal compliance with health and safety training.

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Managers should: Plan training •

• •

•

• •

•

• •

•

•

•

•

• • • •

• •

• •

•

• •

Decide if training is necessary. Think about the job, the person who carries it out, the processes and equipment required. Remember that contractors will need to be trained. Ensure there is a system in place to identify training needs during recruitment and when there are changes of staff, plant, processes, substances or technology. Find out trucks . which specific training must be provided by law, such as for operating forklift Prioritise training needs. Decide the format that training will take e.g. formal course coaching, informal, ‘on the job’ training, written instructions, online information or simply telling someone what to do. Remember that additional arrangements may be necessary for those whose first language may not be English, or those with low levels of literacy . Ensure processes are in place to ensure workers receive refresher training. Ensure that training material or information comes from a reliable source and that the person carrying out the training is competent to do so. If training is outsourced, make sure the trainer has a good understanding of the organisation and its requirements. Decide how the organisation will keep up to date with changes in legislation and methods of risk control. Remember that competence levels will drop if skills are not used on a regular basis schedule refresher training at regular intervals. Simulation exercises and drills will be required for some high-risk activities, e.g. control room operators’ full-site emergency exercises . Devise means of keeping training records . Monitor learning outcomes and training methods. Review training material regularly to ensure that it remains current . Consider remedial training if lack of competence is identified as the cause of an incident . Gather feedback on training. Decide whether the training delivered its objectives. Consider whether there have been any improvements following the training - if not, initiate changes. Ensure training is carried out. Don’t assume that workers will be competent following a course or instruction - check to make sure. Review your employees’ capabilities and provide additional or refresher training if needed. Consult workers or their representatives during the planning and organising of training. Consider the needs of appointed safety representatives, who have paid time to carry out their functions, and to have training in those functions.

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Implementing the Plan Key actions in implementing the plan effectively Leaders should: •

•

Leaders should take positive steps to address human factors issues and to encourage safe behaviour. They need to recognise that the prevailing health and safety culture is a major influence in shaping people’s safety-related behaviour. Make necessary available to successfullyinfrastructure, implement thetechnology plan. These include humanthe resources andresources specialised skills, organisational and financial resources. Managers should:

•

•

•

•

•

•

•

•

•

•

Keep any documentation proportionate to the complexity of the risks concerned. Keep it to the minimum needed for effectiveness and efficiency. Agree realistic timescales for implementation of plans with the workforce. Ensure all concerned are clear on their role and responsibilities, and understand the steps they need to take to meet the objectives. Clearly communicate who is responsible, accountable and competent to undertake specific tasks. Demonstrate commitment to delivery at all levels within the organisation, using a variety of communication channels to engage the workforce in implementation. This can be through visible behaviour, written material and face-to-face discussions. Keep people informed of progress and maintain a focus in the key risks and issues. Use review meetings (or make use of existing internal forums) as a basis for helping to make further improvements. Measure progress of implementation against clear milestones or performance indicators and make necessary adjustments if there is early evidence that requirements are not being met. Recognise contributions and safe behaviours that help create or reinforce positive attitudes and behaviours. Ensure that the arrangements give assurance that workers and contractors are following workplace precautions and risk controls. Make full use of expertise available on safety committees and other forums (where these are in place). Involve and consult workers and representatives throughout any implementation, by ensuring systems are in place that allow workers to raise concerns and make suggestions, e.g. staff suggestion schemes, online communities, committees etc.

•

Consider all feedback, take action or provide a prompt response.

•

Ensure the competence of individuals is developed through experience and training, managers are providing coaching and the organisation learns by making use of specialist advice as required.

•

Use the results of progress reviews to feed into future training plans - this helps with continuous improvement and avoids complacency.

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Check Managing for Health and Safety divides guidance on checking into two main elements: •

Measuring performance

•

Investigating accidents and incidents

Measuring performance Types of monitoring

There many different types of monitoring but they can generally be categorised as either ‘active’ or ‘reactive’: Active methods monitor the design, development, installation and operation of management arrangements. These tend to be preventive in nature, for example: • • •

routine inspections of premises, plant and equipment by staff. health surveillance to prevent harm to health. planned function check regimes for key pieces of plant.

Further information on a range of active monitoring tools is given below. Reactive methods monitor evidence of poor health and safety practice but can also identify better practices that may be transferred to other parts of a business, for example: • •

investigating accidents and incidents. monitoring cases of ill health and sickness absence records.

Key actions in measuring performance effectively Leaders should: • •

•

• •

Demonstrate commitment to the process. Ensure that systems are in place to report performance upwards so that leaders or directors, can review and be assured that legal compliance is achieved and maintained. Make certain there is a process in place to report serious incidents upwards immediately. Receive and review reports at regular intervals. Question results and ensure that action is planned to tackle poor performance and ensure the system you use to manage health and safety works.

Managers should: • •

•

• •

• •

•

Determine which areas require monitoring. Involve different levels within the management chain, as well as workers’ representatives and health and safety advisers. Decide on the frequency of monitoring; it will be appropriate to monitor key risks more often and in more are detail. Plan what actions necessary if measures go up or down. Use performance measurement results to improve health and safety performance, and learn from human and organisational failures. Share lessons learned within their own organisation and with other organisations. Review performance measures every so often against policy; changes in the business could mean that existing performance measures are out of date. Worker consultation and involvement.

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•

• • • • •

Involve the workforce in setting and monitoring health and safety performance measures . Involve everyone in the monitoring process. Encourage workers to monitor their own work area, reporting any issues they observe. Make reports available to everyone within the organisation. Use the results of monitoring to feed into future training plans. For sites with major-accident hazards, focus on performance measures for critical activities or plant, especially safety-critical tasks with much human interaction and the operational performance of safety-critical devices (e.g. relief valves).

Investigating incidents and accidents Key actions in effective accident/incident investigation Leaders should: • •

•

•

Verify that plans are in place to deal with immediate risks following unforeseen events. Make sure there is a reporting process so that leaders are informed of accidents, incidents or cases of occupational ill health. Consider lessons from the accident/incident history of others in similar industries or organisations - could the same mistakes be avoided? Ensure that people are held to account if failings reoccur.

Managers should: • • • • • • • •

• • •

•

• •

•

• • •

Determine what should be reported. Ensure reporting procedures are communicated to workers. Decide who will assist and carry out investigations. Decide on remedial action. Ensure that procedures are in place to identify trends. Ensure reporting procedures are suitable and workable. Examine all incident/accident/near-miss reports and identify trends . Be proportionate in any investigation, according to the level of risk identified. Establish what happened, when, where and why. Collect and consider evidence. Compare evidence against industry standards/HSE guidance etc. Investigate accidents with a high priority - before people’s memories fade and while evidence is still available. Look at root or underlying issues not just immediate causes: o immediate causes - premises, plant and substances, procedures, or people. o underlying causes - management arrangements and organisational factors such as design, selection of materials, maintenance, management of change, adequacy of risk controls, communication, competence etc. Record and keep findings. Engage specialist help to support complex investigations, e.g. an operation involving major accident hazards. Involve workers or their representatives in the planning process and in the targetsetting process. Carry out joint investigation with workers’ representatives . Consider how competency is achieved, tested and maintained. Ensure investigators have the necessary training, knowledge and experience to carry out their duties.

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•

Consider whether training issues contributed to causes of accidents/incidents/near misses.

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Act Managing for Health and Safety divides guidance on acting into two main elements: •

Review your performance

•

Take action on lessons learned

Review your performance Key actions in reviewing performance effectively Leaders should: •

•

•

Consider the review findings. If improvement is needed act immediately, rather than reacting to an incident in the future . Make sure that the review is carried out according to the plans, and that a report is issued to senior leaders at least annually. Ensure the scope of the review will give assurance that risks are as low as reasonably practicable. This means balancing the level of risk against the measures needed to control the real risk in terms of money, time or trouble. However, action is not required if it would be grossly disproportionate to the level of risk, and that the organisation is complying with health and safety law.


Set the review objectives and consider o Judgements about the adequacy of health and safety performance o Assure that the system for managing health and safety is working Ensure legal compliance Setting standards Improving performance o Responding to change o Learning from experience. Determine who will carry out the review and which information to consider o Results of active and proactive monitoring o Accident/incident/near-miss data o Training records o Inspection reports o Investigation reports o Risk assessments o New guidance o Issues raised by workers or their representatives o Checks required by law, e.g. on lifting equipment and pressure systems. Determine the frequency of the review depending on the risk profile. Consider the supply chain and contractors. Consider incidents that have occurred in similar organisations . Report the review findings to everyone within the organisation. Ensure remedial actions have been carried out . Discuss plans for review with workers or their representatives. Use information from safety representative’s inspections to feed into review. Discuss the findings from the review with workers or their representatives Ensure that those carrying out the review have the necessary training, experience and good judgement to achieve competence in this task. o o o

•

• • • • • • • • •

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• •

•

Talk to similar organisations to compare performance and management practices. If risks are complex and could have serious consequences, consider getting specialist advice, or supporting an employee by providing additional training. Check that training needs identified by the review have been addressed.

Take action on lessons learned Key actions in learning lessons effectively •

•

•

•

•

•

•

•

•

Learning lessons involves acting on findings of accident investigations and near-miss reports, organisational vulnerabilities identified during monitoring, audit and review processes. Even in well-designed and well-developed management arrangements there is still the challenge of ensuring that all requirements are complied with consistently. After an accident or case of ill health, many organisations find they already had systems, rules, procedures or instructions that would have prevented the event but were not complied with. The underlying causes often lie in arrangements which are designed without taking proper account of human factors, or inappropriate actions are condoned implicitly or explicitly by management action or neglect. Analysis of major incidents in high-hazard industries, with different technical causes and work contexts, commonly find problems with leadership, attitudes and behaviours and risk management and oversight. When these aspects of an organisation become dysfunctional, important risks can become ‘normalised’ within it, leading to serious consequence. Organisational learning is a key aspect of health and safety management. If reporting and follow-up systems are not fit for purpose, for example if a blame culture acts as a disincentive to reporting near misses, then valuable knowledge will be lost. If the root causes of precursor events are not identified and communicated throughout the organisation, this makes a recurrence more likely. In many cases, barriers within an organisation - where different departments operate in ‘silos’ - inhibit organisational learning. Human factors; leaders and managers need to be aware of the people-related, cultural and organisational issues that may prevent lessons from being learned effectively in their organisations.

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Active Monitoring Tools The foundations of effective performance measurement are the specifications and performance standards for the management arrangements and risk control systems. These provide the yardsticks for the measurement process. The measurement process will gather information about performance through: Direct observation of conditions and of people's behaviour. Talking to people to elicit facts and their experiences as well as gauging their views and opinions. Examining written reports, documents and records. These information sources can be used independently or in combination. Direct observation includes inspection activities and the monitoring of the work environment (such as temperature, dust levels, solvent levels, noise levels) and people's health and safety related behaviour. This lies at the heart of the measurement process, since most of the reports and records which will also be examined will be developed from previous inspection and monitoring activities. For this to be an effective means of monitoring the state of health and safety arrangements, it cannot be something which is done every now and again – and certainly not something which can be left until there is an incident. These activities must be carried out on a planned, regular basis. In other words, there must be a system for doing it. Systematic monitoring, involving inspections and other forms of examining health and safety arrangements and control measures, will be based on the nature and severity of the risks. High risk situations will require a greater depth and frequency of monitoring than situations of lower risk. Therefore, some measures may need to be checked on a daily basis, or even before any work activity. Others may only need examining every weekor month, and still others every few months or every year. However, we have seen that it is important to monitor all aspects of health and safety, so there must be a plan to ensure that this is done. Only in this way will the adequacy of the arrangements and measures be measured. There are a variety of means of doing this.

Safety 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 some form of checklist is used (see later). Inspections will include a review of such issues as: −

General maintenance, including the conditions of floors, work surfaces, machinery and equipment, etc.

−

Compliance with safe systems of work.

−

Housekeeping and cleanliness.

−

Condition of information and warning signs.

−

Fire precautions and means of escape in case of fire.

−

Effective guarding of machinery.

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−

Condition of, and compliance with, PPE.

Workplace inspections involve the systematic examination of the controls in operation, such as the condition of guards and the level of compliance with safe systems of work, and the effectiveness of the level of information, instruction, training and supervision. Workplace inspections are concerned with ensuring that the control arrangements specified in the safety policy are operating effectively and that they cover all the risks. As such, they are the foundation of systematic health and safety monitoring. They demonstrate management's commitment safety, afford an opportunity to involve employees, and thereby giving them ownership of to safety. Byand identifying problems, making recommendations, eliminating or controlling the risk before an accident happens, the morale of employees is raised. There are a variety of types of inspection, as we discuss below, but they all comprise the same three basic elements: An assessment of the standards of workplace health and safety against the specified performance standards and the risks. The identification and reporting of any deficiencies. The identification of causes and of action to be taken to remedy the problem. Inspections should be carried out by competent people – i.e. people with the knowledge and skills to appreciate the requirements of the performance standards and assess the actual situation against them. The frequency of the inspections will be determined by the nature of the risks and the importance of the measures to their control. However, workplace inspections also provide an active demonstration of commitment to health and safety and, as such, should be a sufficiently regular occurrence to assure the workforce that safety issues are important and demand constant vigilance.

Types and Frequency of Inspection The types and frequency of inspections will reflect the nature of the risks in the workplace and the methods used to control them. There is, therefore, a range of inspection regimes designed to ensure the effectiveness of control systems: •

Routine Inspections The first level of inspections are those which are carried out as a matter of routine at all times or at very frequent intervals. Some precautions needed to control a particular risk may need to be monitored on an almost continuous basis to ensure their effectiveness – for example, local exhaust ventilation systems to remove toxic fumes. Others need to be checked prior to beginning operations to ensure that it is safe to carry out the activity – for example, that guards are in place and working properly, or that PPE is in good condition and correctly put on. Generally, these will be systems to control hazards which present a high risk of personal injury, and may be incorporated with permit-to-work systems. The requirement to carry out such inspections will be written into the safe system of work for the particular operation and it will be the responsibility of the operator and/or the immediate supervisor to ensure compliance. Routine inspections are also good practice in most situations where there is some measure of risk. Workers should be encouraged always to carry out at least a quick visual

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check of equipment before using it – for example, to ensure that the cable on a portable drill is not damaged or the wiring into the plug is not loose. It will not generally be necessary to document that routine inspections have been carried out, although where they form part of a permit-to-work system this will be required. However, any deficiencies must be reported to a manager immediately and work should not commence before the issue has been resolved. •

Maintenance Inspections Many physical control systems or items of plant, machinery and equipment need to be checked on a regular basis to ensure that they remain fit for the purpose. These inspections will involve examining, testing and making repairs/adjustments to such items as fire extinguishers, portable electrical equipment, vehicles, etc. This should be done in accordance with a maintenance schedule which is designed to ensure that all items are checked within defined periods, depending on the rate at which they may be expected to deteriorate and therefore present a risk in their use. For example, for vehicles, the requirement may be that they are inspected every six months or after having travelled 10,000 miles, or for adjustable machine guards it may be every two weeks. The maintenance schedule is very often specified by the manufacturer or supplier of the plant and machinery, etc., and in some cases it is reinforced by legal requirements (as in the case of fire-fighting equipment). Maintenance inspections will normally need to be documented and the record should include the general state of repair of the item, results of any tests and what repairs/adjustments were made, if any.

•

One-Off Equipment, etc. Inspections There will always be a need to specifically inspect particular items of plant, machinery and equipment in certain circumstances, such as: −

−

−

After a breakdown, accident or other incident affecting the item. After a period of non-use – for example, on resuming operations after a weekend or holiday period. After resetting the equipment – for example, checking the positioning of the fixed guard which had been removed to allow for the changing of a grinding wheel.

The circumstances in which any items of plant, machinery and equipment will need to be inspected will generally be stated in the safe system of work and it is usual for there to be a ban on operations using the item until the inspection has been carried out. Such inspections will normally be documented.

Use of Checklists While checklists are often included in safety procedures and manuals, they should not be seen as set in tablets of stone. 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 also be reviewed from time to time to take account of recent or proposed developments in health and safety issues in the particular workplace. In order to get maximum value from inspection checklists, they should be designed so that they require objective rather than subjective judgments of conditions. For example, asking the people undertaking a general inspection of the workplace to rate housekeeping as good or bad begs questions as to what good and bad mean, and what criteria should be used to judge this. 04 - IDipOSH A4 v2 160514

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Specimen Checklist This checklist extract is based on that produced in Safety for the Smaller Firm , published by the Chemical and Allied Products Industry Training Board. It was produced as a quick reference for distribution to those concerned in the inspection of safety and good housekeeping standards in all work areas. Note that the third column ("Comments") is reserved for any statements of proposed action where the answer is NO. Specimen Safety Inspection Checklist - Extract (Reproduced by permission of the Chemical and Allied Products Industry Training Board) Comments

Commitment Is it accepted that accident prevention is an essential part of management function?

YES/NO

Is this made clear to supervisors?

YES/NO

Do supervisors accept that accident prevention is an essential part of their function?

YES/NO

Do they make this clear to operators?

YES/NO

Communications How often is accident prevention discussed with supervisors?

Do supervisors discuss accident prevention with their operators? How effective are communications on accident prevention?

Weekly Monthly Quarterly YES/NO Poor Fair Good

Safety Training Is safety training an integral part of all job instruction?

YES/NO

Is safety training done by: Safety advisers?

YES/NO

Supervisors?

YES/NO

Other operators?

YES/NO

Is there any follow-up?

YES/NO

What percentage of operators have attended accident prevention courses?

%

How many trained auxiliary fire-fighters are there?

............

Have all operators had training in the use of portable fire equipment?

YES/NO

If the answer is NO, what percentage have had training? When did this training take place?

.........% ............

How many trained first-aiders are there?

............

Is a record kept of safety training of each operator?

YES/NO

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Access Is adequate safe access and egress provided at all points where operators work?

YES/NO

If portable access platforms are necessary:

YES/NO

Are they sufficient? Are they regularly inspected?

YES/NO YES/NO

Priorities for Action As a general point, inspections are not designed to provide a problem-solving mechanism at the very instant a hazard or risk is identified. It would normally be more appropriate to analyse any deficiencies in the safety arrangements during a post-inspection discussion. However, action may need to be taken if there is an immediate risk to life or limb. The purpose of inspection is, though, to identify remedial action to be taken in respect of deficiencies. This needs to be based on an assessment of the causes of the problem – immediate and underlying. Priority should be given to remedying any immediate causes of risk, since they may have the potential to cause accidents and action should be taken at the earliest opportunity. Other underlying causes also need to be addressed, but these are likely to involve further investigation and consultation with management to identify the roots of the problem. They must not, though, be overlooked. It is also useful to rank the outstanding issues – i.e. those that are not earmarked for immediate the greatestaction risk. – so that priority can be given to those deficiencies which appear to present

Safety Tours Conducting safety tours is an important aspect of safety management, because it allows management to: See how the safety programme is progressing. See conditions as they exist in the workplace. Observe unsafe acts and conditions. Provide lower levels of management and staff with visible indication of management's commitment to safety. Provide the opportunity for management to engage in two-way communication with staff members about safety. As well as being a monitoring tool, the safety tour is also included in HSG 65 (in "Organising for Health and Safety – Communication") as a method of demonstrating management commitment and interest. A safety tour follows a predetermined route through the workplace and can be performed by a range of personnel from works managers to supervisors and safety representatives. Such tours typically last only 15 minutes or so and may be conducted regularly to ensure that standards of housekeeping are acceptable, gangways and fire exits are unobstructed, and

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hazards are dealt with quickly. The frequency of safety tours depends on the needs of the organisation, but a method adopted by one large organisation is to require first line supervisors to tour weekly and intermediate managers to tour monthly. Safety tours will not generally be documented in detail, except in so far as any deficiencies are found. These will need to be reported and follow-up action checked (perhaps on the next tour or, if urgent, by a special inspection). Safety tours are not as thorough as safety sampling (see below). They give a quick but limited snapshot of workplace conditions.

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 workplace. The premises are first divided into a number of walking routes so that at least 90% of all the normal working locations are covered. An observer is then assigned to each route. Supervisory and junior management staff are generally thought to make the most suitable observers, because they are familiar with the workplace and personnel and are competent persons in respect of inspection procedures. Observers will be drawn from a variety of departments to help stimulate interest in the exercise and reinforce the idea that health and safety is a common responsibility shared by the entire workforce. At a given signal or time, the observers start to carry out the inspection, each following his/her prescribed route and taking a similar time to complete the inspection. (The time allowed is usually twice timeexceeds normallythe taken to walk at a steady, This but not fast, pace. aIt is essential that the no-one allotted timethe forroute the inspection.) then provides snapshot of the state of health and safety at this particular time throughout the premises (the sample). Each observer will record the various safety defects which they notice on a standard tabulated form or checklist. These sampling sheets will be handed to the sampling co-ordinator for detailed analysis. When the forms are handed over, observers must also report any serious defects or hazards which have been observed, so that action can be taken to have them remedied immediately. It is not the role of the observer to carry out corrections. The key to good safety sampling is the use of a simple, but comprehensive checklist. This will be some form of classification of unsafe acts and unsafe conditions which can be directly observed. For example, the following extracts from a sampling list cover prescribed protective clothing which is not worn or is defective, and the misuse, abuse, non-use or neglect of protective equipment:

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Group 1: Protective Clothing

Code 101 102 103 104 105 106 107

Description No eye protection No head protection Inadequate foot protection No hair net or cap Wearing rings Not wearing apron/overalls/coat Not wearing gloves/gauntlets

Group 2: Protective Equipment

Code 201 202 203 204

Description Machine guard removed Machine guard defective Foot pedal unguarded Guard improperly adjusted

As with all checklists, there should be scope for noting additional items which are not on the list. The simplest way of using the information obtained is to count the total number of defects for the whole workplace, which gives a numerical index of accident potential. More sophisticated analyses can be performed to give total numbers of particular types of unsafe act or unsafe conditions, and these can be collated with incident data to broaden the picture. Results may also be compared with previous samples to give an indication of trends. The purpose of the sample is not to investigate working practices in any detail, but simply to highlight areas of concern which may then be subject to more detailed inspection and investigation. The main outcomes are: The provision of a numerical basis for assessing accident potential in terms of unsafe acts and unsafe conditions. An indication of those areas where accident prevention measures should be concentrated (i.e. those areas with high indices). A warning to management of matters needing urgent attention. It may also be seen as a participatory exercise, involving all levels of management across different parts of the organisation, in the common pursuit of improved health and safety. This will help to build the safety culture.

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However, the sample provides a quantitative measure of performance only in a limited area of the organisation. The regularity of the exercise can be seen as time-consuming and also lead to complacency.

Safety Audits A safety audit is an in-depth, systematic, critical investigation into all aspects of safety. It needs to include management systems, policy, attitudes, training and practice.

Scope and Purpose of Audits Auditing supports monitoring by assessing the effectiveness of the health and safety management system, usually throughout the whole organisation (but occasionally in defined parts), by ensuring that: Appropriate management arrangements are in place. Adequate risk control systems exist, are implemented, and are consistent with the hazard profile of the organisation. Appropriate workplace precautions are in place. It provides verified feedback to management that the standards and procedures are satisfactory, and recommends any changes necessary. Together with performance review, it enables an organisation to maintain and develop the effectiveness of its safety management system. Audits are designed to assess the key elements of health and safety management by reference to performance standards. To achieve these very broad objectives, the audit has to be an indepth, systematic, critical investigation into all aspects of safety in the organisation being audited. This is based on an evaluation of a wide range of performance standards of health and safety management, such as: Health and safety policy. Management organisation, including the safety committee. The training and instruction of workers. Supervision. Hazard control. The investigation of accidents and other incidents. Legislative compliance. Hazardous materials and health monitoring. Regular inspections. First-aid services and emergency response, including fire precautions. Review processes. During the audit, actual performance in relation to each standard could be rated as a percentage of full compliance to give a 'compliance rating'. This rating is established by the answers found to a series of questions which detail the way in which the standard is designed to operate. These questions are similar to a checklist of points to be addressed in relation to the standard, although in the case of an audit, the answers will be judgments about the extent

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to which the organisation meets it, rather than a simple 'yes/no'. Some examples of questions are given shortly. The way in which these compliance ratings may be interpreted varies between organisations and the nature of the risks faced. However, in general terms, the following table indicates what different ratings might mean: 85 – 100%

Functioning effectively.

65 – 84%

Documented and implemented.

50 – 64%

Meets minimum requirements.

0 – 49%

Requires immediate attention.

Audits are time-consuming and costly. They are, therefore, only carried out at reasonable intervals – at most once a year, but often less frequently. The frequency will depend on the nature of the risks, the extent of change in the organisation and existing compliance levels. Some components of the system do not need to be audited as often as others. Technical audits verify the continued effectiveness of critical risk control systems in high hazard industries and need to be carried out frequently. An auditing plan or programme indicates when and how each component part of the safety management system will be audited. Further information on Audits will be discussed later in this chapter.

Safety Surveys A safety survey is a very 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 surveys may be carried out following such events as the introduction of new equipment or changes in working practices. They may also be initiated after problems have been highlighted by other monitoring techniques – for example, where there has been a rise in particular types of accident or a deficiency has been disclosed by a safety audit. One example is in a large office block where, following a safety audit, it was established that some fire extinguishers did not seem to have been tested or examined for a number of years; certain floors did not seem to be adequately protected; and there was doubt about the efficacy of some extinguishers. A safety survey was ordered which examined all aspects of the provision of fire extinguishers throughout the building. Safety surveys are conducted by the managers responsible for the workplace(s) being inspected, together with safety officers. The findings will be fully documented in the form of a formal report to management.

Effectiveness of Above Techniques Ideally the measurement techniques used will have some active as well as reactive features. The Annual Report of the HSE sets out their performance measures and the results which they achieved. This may give you some good ideas. In this case the objective is to provide an efficient, cost-effective, quality service. Health and safety audits are ideally done by some external organisation or by a special unit from head office in the case of multi-site operations. The purpose will be to see the extent to which the elements of the system are still effective, and whether any action needs to be taken to avoid accidents and other losses. To be used as a measure, some standard needs to be set

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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. Audits are time-consuming and costly. It is not feasible to carry out a full audit more than once a year. There are 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. There are a number of proprietary audit (ISRS). systems Often whichthese are available, sometimes referred to as the 'International Safety Rating System' are 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 shouldgive 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. The advantage of workplace inspections is that the inspection can be much more frequent than an audit. In order for it to be an effective measure, the workforce as well as management need to be involved, as this effectively 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. Some scoring system needs to be involved 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. Points to watch are that if the inspections or sampling are too frequent, 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. You will be well aware that some inspectors are very lenient, and others are very strict. Some inspectors will just have to find something wrong. Training and experience on the part of the inspectors is important. Often inspections find minor matters that are not really likely to cause accidents and then fail to find larger potential hazards. 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. The advantage is the thoroughness of the exercise, but the limitation is the narrow aspect of health and safety examined.

Health Surveillance Health surveillance includes keeping individual health records and setting up procedures for monitoring employee health. Where employees are exposed to hazardous substances in the course of their work, health surveillance aims to: Protect the health of individual employees by detecting as soon as possible adverse changes which may be attributed to exposure to substances hazardous to health. Assist in the evaluation of measures taken to control exposure. Collect and maintain data for the detection and evaluation of hazards to health. Assess, in relation to specific work activities involving micro-organisms hazardous to health, the immunological status of employees. Review records and occupational history during and after exposure, to check correctness of the assessment of risks to health and to indicate whether the assessment needs reviewing.

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For certain substances and processes which may give rise to identifiable adverse health effects, the health surveillance measures mentioned above must be carried out.

Methods of Obtaining Data You need to be aware of the major methods of obtaining data. Medical Examination Before Employment This is usual, particularly for young people. For older employees, the examination may be only very cursory. Regular Health Screening Articles often appear in health and safety publications which relate to specific health issues. These include: back-pain, leptospirosis, sick building syndrome, non-smoking policies, asthma, soldering, vibration and stress. These articles invariably make the point that ill-health is a greater risk than injury, and certainly ill-health is responsible for at least 50% of time off work. Preventing ill-health is a more difficult problem than accident prevention. You have also probably heard about the recent problems in the Lloyd's insurance market. The reason for the losses is asbestosis claims. Lloyd's underwriters arranged health insurance, a lot of it in the USA. Only now are the workers claiming compensation. The risk was underestimated and very few precautions were taken. Since health insurance relates to the time when the risk was taken, and the premium paid, the insurance company is responsible for paying out claims. An Ethical Problem Involving Health Screening Pre-employment tests often involve testing for allergies, but can also involve tests for drink, drugs and HIV status. Quite sophisticated tests can be carried out on a single drop of blood, perhaps given to test for diabetes or to find the blood group. The blood can also be used for a complete battery of tests, at very little cost. Issues which arise include: Should the employee be told the reason for the test? Would the test result be a valid reason for refusing employment? This certainly comes under the heading of risk management. It would avoid employing people with health problems, or those with drug, alcohol or substance-abuse problems. Screening could be to protect other members of the workforce or simply to avoid future compensation claims. There is a statutory obligation to monitor the health of workers involved with lead, and ionising radiation, and other groups could also be included.

Factors Other than Work Activities which can Affect the Health of Workers The list is probably endless, but here are some of the most significant factors: Smoking - cause of 90% of lung cancer. Passive smoking - workers who have to breathe air polluted by smokers. Poor diet. Excess eating. Alcohol. Lack of exercise.

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Too much or inappropriate exercise. Dangerous sports. Drug abuse. An ill-health condition caused by an activity other than work can be made worse by an industrial situation. Compensation is only paid for work-related conditions and it can be difficult to establish precisely where the problem lies.

Problems in Obtaining Data Related to Health

The following list shows some of the problems that you will need to consider. The list is not exhaustive but will cover some of the vital areas you need to be aware of: Personal details: what does the employer have a right to know? An employer must know certain personal details about his employees, but does he have the right to know what they do when they are away from work? Such questions are often asked at an interview, but might not always be answered in enough detail. If a person plays football at the weekend, he might possibly try to pass off an injury as work-related. A person who drinks too much could be an accident risk, or have time off on Mondays. Is it ethically acceptable for the employer to send out 'spies' to gather data? If he gets the information, can or should he take action? Is the danger recognised? Alcoholics usually don't know they are. Heavy smokers may have no wish to cut down or stop. They may claim that industrial asthma is caused by fumes in the workplace. Their habit can affect other workers, who will have a right to compensation for passive smoking. Original data will change: if personal details are kept, the employee has a right to see them. The employer will need to keep track of any changes and consider how modifications are to be notified to the employee. Storing of data: the method of storage, confidentiality and access need to be considered. Effect on compensation: employees are unlikely to give information freely if it would reduce a possible claim. The courts may consider data from the employer, not freely given by the employee, as inadmissible if the ill-health is partly related to poor working conditions. Cause of death : when not too directly related to work activity this may not be recorded as industrial ill-health. Often it can only be established by a post-mortem, and the family may not wish for this. The doctor has to know his or her facts, since a death certificate is an important document. Research suggests that there is a lot of under-reporting of ill-health conditions. This is particularly the case where the condition is affected by working conditions, but not necessarily caused by them.

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Reactive monitoring techniques Near-Miss Reports Data on near misses has a significant part to play in monitoring safety performance. It is generally regarded as being a better guide to accident potential than actual injury data. To some extent, such data can be seen as falling between reactive and active measures, because it represents information on accidents that have not yet happened, but where the potential for them exists already. The report into the Clapham train crash indicated that there had already been a total of 15 wrong signal failures, which were the result of inadequate testing. If these near misses had been acted on, then it is possible that the actual disaster might not have occurred. Near-miss data is, though, very difficult to collect. It is difficult enough to get accurate information about actual accidents, so it is even more difficult to get reports of those which didn't happen. If there are not many actual accidents, there will not be many near misses either, so the numbers might not be statistically significant. Also, as the Clapham crash indicates, management is unlikely to be convinced to take action regarding events which almost happened.

Accident Reports It is an interesting reflection that, if a managing director was asked how the company's performance is measured, the answer would mention a range of measures like profit, return on investment or market share – all generally positive achievements. On the other hand, if you asked about how the company's health and safety performance is measured, the answer would be likely to be through accident statistics – a single, negative measure. Health and safety differs from many areas measured by managers because success results in the absence of an outcome (accidents or ill-health) rather than a presence.However, a low accident rate, even over a long period, is no guarantee that risks are being controlled and that there will not be accidents or ill-health in the future. There is no single reliable measure of health and safety performance. What is required is a 'basket' of measures providing information on a range of health and safety activities, and this is provided by the range of active monitoring measures we have seen. Data on accidents, dangerous occurrences and ill-health does, though, have a significant part to play in monitoring safety performance. Accident data in particular is relatively easy to collect – injuries are generally reported and investigated, so the information is usually readily available. It is easily understood by the workforce, and can be discussed at safety committee meetings. Management can easily link accidents with safety performance, so it is easy to discuss accident reports and get management to take action. There are also a number of standard calculations of accident rate, which are fairly easy to understand and may stimulate management action. Further analysis of the data can be used to build up an understanding of the incidents which occur in the workplace and, therefore, to identify patterns which may disclose underlying causes – failings –which may otherwise not be clear . Analysis of information collected nationally and even internationally also contributes to our understanding of causes and risks and the development of programmes designed to control them. Comparisons can readily be made with other similar companies (benchmarking) to establish whether a company is doing well or poorly. Accident data can act as a guide to resource allocation, and also lends itself to determining the costs of accidents.

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Limitations of Accident Data as a Performance Measure There are certain limitations on the reliability of accident data as a source of information about safety performance: It is historic – i.e. relates to past events – and does not necessarily predict what may happen in the future. Most ill-health problems are chronic effects – i.e. they have built up over a long time – and the reporting of an instance of work-related ill-health may be too late to prevent many other occurrences. There is often considerable under-reporting of incidents – particularly of minor injuries and near misses which seemingly have little consequence at the time. This can be especially so where there is an emphasis on injury and ill-health rates as a measure of management control (possibly related to reward systems) and not reporting incidents helps to 'maintain' performance. Whether a particular incident results in an injury is often a matter of chance, so it will not necessarily reflect whether or not a hazard is under control. An organisation can have a low injury rate because of luck or fewer people exposed, rather than good health and safety management. Injury statistics often do not reflect the potential severity of an event, merely the consequence. For example, the same failing to adequately guard a machine could result in a cut finger or an amputation. People can stay off work for reasons which do not reflect the severity of the event. There is no necessary relationship between minor injury statistics (such as slips, trips and falls) and the control of major hazards (such as a spillage of toxic material). A low injury rate can lead to complacency. Incident data reflects outcomes not causes. Hopefully accidents are very rare occurrences, and there are not a lot of cases of illness and disease which are caused by the work environment. This means that there are not many cases to count, and the numbers may not be regarded as statistically significant. Variations from year to year might be due to pure chance rather than any accident reduction measures that we have introduced. This is why we often have to resort to national statistics or even international data in order to find significant numbers to target safety programmes. If we keep data for many years, it is possible to iron out these fluctuations by finding the moving average. As we get another year's, or month's, figure we are able to enter this into the average and so determine a trend. Accident statistics tend to reflect the results of actions which were taken some time ago, so that there is not a rapid cause and effect situation. It is also unfair to blame a manager for accident situations when the present situation is to some extent dependent upon actions taken some time ago, and the present actions will take some time to show. Cases of occupational disease are, by their very nature, long-term effects. Accident recording therefore has some value, but it 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 inger. f Also, if the staff are made aware of safety

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matters, they tend to report more accidents. The picture may then look worse when actually the safety culture is improving.

First-Aid Reports First-aid reports provide valuable data on health and safety performance, because they represent an accurate record of actual injuries occurring in the workplace. Although the limitations of using accident data as a measure of health and safety performance are well known, if the simple objective of the health and safety policy is to prevent injury at work, then first-aid reports give a direct indication of the level of success.

Sickness Absence Reports

Analysis of sickness absence reports can be used as a performance indicator, if care is taken to specify work-related conditions that can be identified from the absence returns. Systems should be in place to identify notifiable diseases, but many causes of sickness absence such as stress, chest complaints, musculoskeletal conditions, visual problems, hearing conditions, etc. could be either occupational or non-work-related. However, if the organisation is one that takes a holistic approach to staff health and safety, and the home/workplace overlap is acknowledged, then it may be considered immaterial as to the cause of the sickness absence and the primary aim only to reduce it regardless.

Property Damage Reports Property damage can be considered as a non-injury accident and therefore gives an indication of unsafe acts/conditions that had the potential for harm, which was not realised. As such it can be included with near misses and accident reports proper as an overall indication of management system failures and provide reactive monitoring data that can be used as a performance indicator.

Insurance Claim Reports Reduction in civil claims is likely to be high on a company's health and safety agenda and therefore the incidence of insurance claim reports would appear to give a measure of success for this objective and consequently a measure of health and safety performance generally. The actual value as an accurate health and safety performance indicator is limited, because the trigger to lodge a compensation claim against a company and the likelihood of success for the claimant are both generally outside the control of the organisation in question. Pressure from no-win, no-fee legal companies, and the desire by insurance companies to settle out of court are the main drivers and neither can easily be influenced by the organisation in question. It is true that a company with very poor standards of health and safety performance will be vulnerable to accident compensation claims, but it is quite possible that good performers may be subject to such claims also. Consequently, the use of insurance claim reports as a performance indicator must be treated with caution

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Occupational Health and Safety Assessment Series (OHSAS) 18001

OHSAS 18001 was introduced in 1999 to provide a method of assessing the occupational health and safety management systems in a way that is compatible with both ISO 9000 and 14000 series. It is a certification system requiring an audit to be completed which determines whether a safety management system meets the requirements of 18001. Successful organisations are issued with a certificate of compliance which is renewed annually based on the findings of subsequent audits to ensure continued compliance. The components of the system to be audited are summarised in the table below. Note: OHSAS 18001 has yet to be accredited by ISO but has been adopted by a number of countries as a national standard. There have been a number of significant changes to the standard since the first edition was published in 1999. The changes reflect the widespread use and experience of the standard in more than 80 countries, and by approximately 16000 certified organisations. Principal amongst the changes are much greater emphasis on "health" rather than just "safety", and significantly improved alignment to ISO 14001:2004 (to enable organisations to develop "integrated management systems").

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Summary table of main requirements of OHSAS 18001 Occupational Health and Safety Policy

To be appropriate, to contain a commitment to prevention of injury and ill-health, continual improvement and legal compliance. To set a framework for setting objectives, to be documented, implemented, maintained, communicated to all persons and parties and to be reviewed.

Planning

Risk assessment and controls – to be carried out according to a method defined and documented by the organisation. The standard gives a control hierarchy of elimination, substitution, engineering controls, signage/warning and administrative controls, PPE Compliance with legal requirements Programmes for setting measurable objectives Provision of resources Defining roles, responsibility, accountability and authority – including the appointment of a member of ‘top management’ with specific responsibility for OH&S Ensuring competence, provision of training and ensuring awareness Communication – including internal communication with employees, contractors, visitors and external interested parties Participation and consultation – including involvement in hazard identification and risk assessments, employee representation on OH&S matters Documentation and control of documents Operational control – including written procedures, procurement and systems for control of contractors Emergency preparedness and response – including procedures for testing Performance measurement and monitoring – including quantitative and qualitative measures, proactive and reactive measures. Evaluation of compliance Incident investigation – timely, communicated, and identifying needs for corrective action Nonconformity, corrective and preventive action – in reference to nonconformity with the standard Control of records – legible, identifiable and traceable Internal audits – feedback to management At planned intervals to ensure suitability, adequacy and effectiveness. Inputs to reviews to include results of consultation, results of

Implementation and Operation

Checking and Corrective Action

Management Review

audits, OH&S performance results and the extent to which objectives have been met Outputs include actions related to policy, objectives and performance.

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Continual Improvement

The process of enhancing the OH&S management system, to achieve improvements in overall OH&S performances, in line with the OH&S policy. It is not necessary for the process to take place in all areas simultaneously. Note that this element contains no ‘dedicated’ clauses in the standard but is met through requirements within the other elements e.g. 4.3.3. Objectives and Programmes (in Planning element) to be set according to policy, to meet legal requirements and the commitment to continual improvement.

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HSG65 As discussed previously, the health and safety management system described in HSE’s Successful Health and Safety Management (HSG65) describes a commonly used model for managing health and safety in an organisation. Although HSE has moved away from this model now, it is still in place at many workplaces. For this reason there is a brief summary here. An outline of the model is given in the diagram below:

Policy

Organising

Auditing

Policy development

Organisational development

Planning and Implementing

Measuring performance

Reviewing performance

Developing techniques of planning, measuring and reviewing

Feedback loop to improve performance

Elements of Successful Health and Safety Management Based on the Approach in HSG65 A summary of the content within each element is summarised in the following table: Policy

Key messages - policies contribute to business performance by: supporting human resource development minimising financial loss from avoidable events recognizing that accidents, ill-health and incidents result from failings in management recognize that development of a suitable culture is necessary to avoid risks ensure a systematic approach to risk control • • •

•

• •

support quality initiatives aimed at continual improvement

Examples of health and safety philosophy Integration with quality and environment management systems

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Organising

Planning and Implementing

Setting key objectives and reviewing against them Planning, reviewing and auditing to ensure legal compliance Setting performance standards Effective implementation of plans Allocation of specific responsibilities Individual job descriptions with H &S responsibilities Performance review and appraisal Procedures to act upon failures by employees Effective supervision Participation and ownership Co-operation Encouraging and supporting consultation Communication H&S coming into/flowing within/going out of the organisation Visible behaviour Written information Face-to-face discussion Arrangements for competence: recruitment, identifying Competence training needs, providing information, cover for absence, assessment of fitness for work. Roles of health and safety advisers. Planning to control risks, react to changing demands, sustaining a positive H&S culture Concept of risk control systems to maintain workplace precautions Concept of business inputs (minimise risk of hazards entering), processes (contain risks during process) and outputs (prevent export of risks). Outputs of planning process to include health and safety plans, specifications

Control

for management arrangements, health and safety performance standards Systematic approach to co-coordinating activities Use of gap analysis and benchmarking Setting objectives and developing workplace precautions Risk assessment Risk control and preferred hierarchy: Eliminate risks by substituting the dangerous by the inherently less dangerous Combat risks at source by engineering controls and giving collective measures priority Minimise risks by suitable systems of working, using PPE as a last resort Inspection of plant and premises Active Periodic examination of documents monitoring Environmental monitoring Direct observation Audits Regular reports by board •

•

•

Measuring Performance

Reactive monitoring

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Staff surveys Injuries, ill- health, accidents and near misses Weaknesses in standards Accident investigation and identification of causes Information to be included in accident reports

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Reviewing Performance

Auditing

To examine the operation and maintenance of the system – and to examine whether the design is responsive to change Continuous process taken at different levels Reviews may include monthly reviews of supervisors and individuals, 3-monthly reviews of departments, annual reviews of sites. Review against key performance indicators and/or benchmarks ‘The structured process of collecting independent information on the efficiency, effectiveness and reliability of the total health and safety management system and drawing up plans for corrective action’. Setting audit aims Collecting information by interviewing, examining documents and visual observation Audit control

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Title

Page

Risk Assessment

RISK ASSESSMENT AND HEALTH & SAFETY MANAGEMENT SYSTEMS................................................................ 3 CARRY OUT A SUITABLE AND SUFFICIENT RISK ASSESSMENT ......................................................................... 4 RISK ASSESSMENT .............. .............. ................ .............. ............... ................ ............ .............. ................. .............. 4 FIVE STEPS TO RISK ASSESSMENT .............. ................ ............... ............ ................ ................ ............. ................ ......... 4 GENERIC AND DYNAMIC RISK ASSESSMENTS............... .............. ................ ............. ................ .............. .............. ............. 8 DETERMINE, IMPLEMENT AND EVALUATE MEASURES FOR CONTROLLING RISKS .......................................... 11 PRINCIPLES OF PREVENTION .............. .............. ................ ............. ................ .............. ............... .............. ................ 11 COMMON HIERARCHICAL APPROACH ............. ................ .............. ............... .............. ................ ............. ................ ..... 12 CONSTRAINTS ON THE CONTROL OF RISKS IN THE WORKPLACE ................................................................... 14 F ................ ............ .............. 14 CINANCIAL ONFLICT OF................ PRIORITIES .............. .............................. ............................ ................ ............................. .............. ................. ............................ ................................ .................... .. 14 MANAGEMENT PERCEPTIONS ............. .............. ................ ............. ................ .............. ............... .............. ................ 14 RESISTANCE TO CHANGE ................ ............... ................ ............ .............. ................. ............ ................ ................ .. 15 TIME ............... ............... ................ ............ ................ ............... .............. .............. ................ ................ ........... 15 BENEFITS OF RISK ASSESSMENT AND CONTROL STANDARDS, AND GUIDANCE ON THE WORK ENVIRONMENT .......................................................................................................................................................................... 16

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BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A4 | Risk Assessment Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.4.1 Describe the risk assessment process in the context of a health and safety management system 1.A.4.2 Conduct a suitable and sufficient risk assessment 1.A.4.3 Determine, implement, evaluate and maintain measures for controlling risks

Unit 3:

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Risk Assessment and Health & Safety Management Systems The management of health and safety should be at the heart of every organisation regardless of the size or the nature of the business. Managing health and safety risks is no different to managing other business risks in that they both require the identification of what might cause harm or loss to people or facilities, an evaluation of what is being done to prevent such mishap and the implementation of additional controls (where required) to ensure that the risks remain under control. This risk assessment process is central to any safety management system. It is the means by which we identify hazards and evaluate risks, regardless of whether we are discussing health and safety, site security, fraud or natural disasters. Consider how it fits within the context of the ‘plan, do, check, act’ framework for managing safety described within HSE guidance.

Elements

Interface with Risk Assessment Process

Plan

Effective planning is concerned with prevention through identifying and controlling risks. Risk assessment is a proactive process whereby hazards are identified and prioritized. This enables employers to plan the implementation of controls.

Do

This is the stage where actions are taken to ensure that employees and others are protected safe so far as reasonably practicable. Risk profiling is the process where all the risks effecting an organization are identified and assessed. Doing includes allocating responsibilities for risk assessment and implementing control measures.

Check

This includes the processes of proactive and reactive monitoring. Measuring performance will ensure that the precautions implemented as a result of risk assessment are implemented and appropriate.

Act

Activities should be reviewed against the risk assessment findings to ensure that all hazards were correctly identified and that any new hazards have been properly identified and assessed. The process of assessment is to be reviewed to ensure that it remains a workable and effective system.

The full risk assessment process will be explained further within this chapter

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Carry Out a Suitable and Sufficient Risk Assessment Risk Assessment There are various ways that a risk assessment could be carried out, although the basic principles remain the same whatever system you choose, and there will necessarily be some overlap between various methods. We will consider a simple five step approach to risk assessment:

Five Steps to Risk Assessment 1. Identify the Hazards This is the process of identifying all the hazards that exist in the workplace. You need to be aware of all the possible hazards, but it is the significant ones that are important. One approach is to take each task and break it down into steps, assessing the hazards associated with each step. Each step will have its own hazards. The staff, actually performing the tasks are likely to be the best people to assess them, although their familiarity with the job may make them less objective about potential hazards: •

•

•

•

Physical, for example: −

Slipping or tripping hazards.

−

Moving parts of machinery.

−

Work at heights.

Chemical, for example: −

Fumes, Vapours

−

Chemicals (e.g. battery acids).

Biological, for example: −

Viruses, Fungi

−

Bacteria

Ergonomic, for example: −

Manual handling.

−

Poor lighting.

For example, the preparation of a meal could be broken down initially into the following steps: preparation of meat and vegetables; cooking, to include boiling and roasting; serving, including the dishing-up and the moving to the table; and washing-up. These steps could then be broken down into potential hazards related to the above categories, for example: •

Physical: −

Slipping on liquid or other substances spilled during cooking.

−

Tripping over objects left lying around on the kitchen floor.

−

Trapping a hand in the oven door, or cutting a finger on a knife.

−

Falling off a ladder or chair when climbing to retrieve something from a high shelf.

−

Burns by fire from flames on a gas stove, or by touching hot surfaces or objects.

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•

•

•

Chemical: −

Burns if fat or other substances used in cooking catch fire.

−

Skin ailments caused by an allergy to washing-up liquid.

Biological: −

Risks from bacteria on raw meat.

−

Inhaling dusts such as flour.

Ergonomic: −

Dropping an object, such as a pot or plate, on your foot.

−

Damage to your back while carrying things around.

−

If the kitchen was insufficiently lit, there would be a higher risk of cutting yourself, dropping objects and suffering burns.

2. Who Might be Harmed and How This is the process of determining who may be at risk from the hazards – the groups of staff and others likely to be affected in the case of an incident involving the hazard. It is important to consider the wider implications of hazards, not just as they may affect those working in the immediate environment. You need to be aware of other staff groups, such as maintenance personnel and cleaners, as well as visitors and the public. Special attention should be paid to inexperienced staff, lone workers or temporary staff, and to the particular needs of disabled staff, pregnant women and children.

3. Evaluate the Risks and Decide on Precautions The term risk can be defined as ‘the likelihood of harm’. This is usually regarded to have two components: •

The likelihood of the hazardous event occurring

•

The severity of the harm that results

Thus a better definition might be ‘the likelihood of harm together with the potential severity of harm that results from a hazard’. The simplest way to evaluate the risk is to allocate descriptions such as high, medium and low to the l evel of risk. Another method is to use a numerical system, allocating numbers to variations in likelihood and severity, and then applying these to a matrix e.g.

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Likelihood Likelihood

Description

Rating

Unlikely

Occurrence close to zero

1

May happen

Capable of taking place

2

Likely

Tend or inclined to occur

3

Very likely

High inclination of occurrence

4

Certain

Most definitely happen - not 'if' but 'when'

5

Severity Severity

Description

Rating

Minor injury

First-aid on site

1

Minor injury

Treatment off site

2

Over 3 day injury

Three days off work

3

Major injury

e.g. a broken leg

4

Death

5

When considering the severity of the injury that may result, it is important to be realistic. If someone tripped over a trailing cable on the floor in a warehouse, the person may end up with bruises or a fractured bone. However, if the cable was running across the entrance tothe busy metal stairs on the second floor, a more severe injury, even death may result. It is often useful to ask the question: ‘Based on actual injuries – how many of the injuries resulting from that hazard did result in the severity of injury that I have proposed?’ Again, some organisations will adapt their own accident experience over these subjective statements with a view to making them more relevant for their own organisation. This simple model allows this, and customisation, without over complication, is to be encouraged.

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Risk rating In our simple risk assessment, the next stage is to multiply the ‘likelihood’ number by the ‘severity’ number to arrive at a risk rating for each hazard. The result of this exercise will provide a risk rating from 1 to 25, as seen in the table that follows. Risk Assessment Matrix Certain

ery Likely

Likely

May Happen

Unlikely

(5) 25

(4) 20

(3) 15

(2) 10

(1) 5

Major Injury (4)

20

16

12

8

4

Over 3 Day Injury (3)

15

12

9

6

3

Minor Injury (treatment off site) (2)

10

8

6

4

2

Minor Injury (first-aid on site) (1)

5

4

3

2

1

Death (5)

Action planning The risk assessment matrix provides the results of the risk rating using likelihood × severity, and gives a rough guide to the size of the risk. To convert the information recorded so far into a practical internal tool, the risk rating should now be considered and converted into an internal action plan indicating priorities for action. There is no reason why the action plan needs to be a separate document and, in some organisations, the risk assessment documentation is designed to include the action plan component. Good practice dictates that an action plan will contain details of who has been assigned responsibilities, for what actions, with target and completion dates shown. In general, high risks are likely to require the provision of considerable additional resources, involving special training, equipment, supervision or effective methods of controlling the hazard. Even though lower levels of risks may be considered tolerable by the employer, action should still be taken over time to further minimise risks associated with the hazards.

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Actions to be taken following the Risk Assessment Score

Priority

Action

1-4

LOW

This represents a low risk, although control measures must be maintained.

5-10

MEDIUM

Action required soon to control.

12-25

HIGH

Interim measures may be necessary in the short term. Action required urgently to control risks. Further resources may be needed.

The ranges of scores used above must be fully considered and customised, if necessary, to better reflect differing organisational expectations of risk tolerability.

3. Record Your Findings The significant findings of the assessment must be recorded and kept. There should, then, be a record of all hazards, the risks that they present and what precautions are in place to protect people from harm. This written record is an important reference for future use – as the basis for reviewing risks, but also as information for enforcement officers or even as evidence in any proceedings arising from an accident involving the risk. The record needs to cover all significant risks and state the current position – for example, “electrical wiring checks carried out in building A and everything found to be satisfactory”. Reference can be made to other information where appropriate – for example, “loading bay markings checked and all in accordance with site plan 44A”. If the company has less than five employees it is not necessary to prepare this written record, although it is always useful to keep one anyway.

4. Review Your Assessments and Revise If Necessary The way we work is constantly changing – as a result of new or modifications of existing equipment, building alterations, new procedures, new or modified products, etc. Sometimes systems and procedures get changed by the staff themselves. These all bring their own hazards, but new hazards can also arise in existing methods of work – the effects of stress is a recent example. It is important, then, to continue to be vigilant about hazards and risks and to review workplace conditions regularly. How often is “regularly” will depend on the extent of the risks and the degree of change.

Generic and Dynamic Risk Assessments Generic assessments are where assessments produced once only for a given or type of is workplace. For example, a company has several locations whereactivity the same activity carried out, a single generic assessment could be done for that activity to cover all the locations. Similarly, if a company has employees who work away from base, such as electricians, then generic assessments can be used for their hazardous work rather than attempting to produce a task based risk assessment for each activity at each location.

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Whilst this method of assessment has significant benefits in terms of practicability and time saving there is a major drawback that must be considered. The concept that a single assessment can be applied to repeating tasks is sound, however, in many situations the repeating task is not always identical to the one assessed. The application of the risk control measures as identified from the generic assessment is dependant on the task actually being carried out exactly as it was assessed. Any variation in working methods, materials or equipment may have a significant impact on the assessment of risk and the required level of protection required. Therefore it is essential that operators and supervisors are provided with training on the effective use of generic assessments and what actions to take when situations differ from the one assessed. There are also times when people do not necessarily know what problems they will be faced with before they get to the scene (e.g. field employees’ responding to a call-out). If the tasks are not completely predictable then it is often considered difficult to foresee what the associated risks might be and therefore not know which risk controls will be appropriate in advance. Field employees who face such safety issues will therefore require training in identifying, analysing and controlling risk at the time it presents itself. These types of assessments are said to be called Dynamic Risk Assessments. Dynamic risk assessments rely on the development of generic assessments covering the known hazards and risks associated with the task. It is important that operators who come across unfamiliar situations (and manage them accordingly by implementing their skills in risk management) feed the new information back into the generic assessments. In this way the generic assessment will develop to include more and more new situations which will mean that risks will be more predictable and foreseeable and in the field.

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Example General Risk Assessment Form Area/task/process assessed: Date:

Assessed by:

Assessment No:

Review date:

Risk rating Hazard(s)

Key:

S = Severity

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Persons at risk/numbers affected

L = Likelihood

Existing control measures

L

S

Risk rating R

Proposed control measures (if any)

L

S

R

R = Risk rating

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Determine, Implement and Evaluate Measures for Controlling Risks Principles of Prevention The principles of prevention provide a framework against which to make judgments on the preventive and protective measures that are required to control risks to an adequate level. The principles are given below along with comments on their application: •

Avoiding Risks Not using the material (e.g. toxic chemicals) or carrying out the activity (e.g. excavations) eliminates the need for control.

•

Evaluating The Risks That Cannot Be Avoided For these risks a suitable and sufficient risk assessment must be carried out.

•

Combating The Risks at Source Control the risk as close to the point of generation as possible to prevent its escape into the workplace (e.g. extract dust directly from a circular saw blade using Local Exhaust Ventilation systems).

•

Adapting the Work to The Individual This would be relevant especially as regards the design of workplaces, the choice of work equipment and the choice of working and production methods, with a view, in particular, to alleviating monotonous work and work at a predetermined work-rate and to reducing their effect on health. The traditional approach has always been for the person to adapt to the machine or process. This measure requires the employer to carefully consider ergonomic principles and design the work to suit the person.

•

Adapting to Technical Progress Many risks disappear from the workplace as better processes and methods are introduced (e.g. the use of vacuum lifting equipment to avoid manual handling).

•

Replacing the Dangerous With the Non-Dangerous or The Less Dangerous This is always a key aim, and an example of this is the demise of the metal-cased, handheld mains electric drill from the workplace, and its replacement with rechargeable battery-operated plastic-cased drills.

•

Developing a Coherent Overall Prevention Policy This should cover technology, organisation of work, working conditions, social relationships and the influence of factors relating to the working environment. This embodies the principles of risk management and requires the employer to look at all aspects of the health and safety management system rather than simply concentrating on basic workplace precautions.

•

Giving Collective Protective Measures Priority Priority should be given over individual protective measures and giving appropriate instruction to employees.

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A safe place of work should be the main priority rather than a safe person. Consequently, control of noise at source should be the aim rather than the issue of hearing protection. •

Giving Appropriate Instructions to Employees This covers specific and general instructions, including the use of signs, training and supervision.

Common Hierarchical Approach The principles outlined provide a broad framework which to work. More commonly cited control above measure lists are frequently used of to control providewithin a structured hierarchy to help with the selection of control measures based on the desired protection required for differing levels of risk where the control measures at the top of the hierarchy would be considered before other, less effective measures at the lower end of the scale. Take a look at this general outline of a typical control measure hierarchy and see whether you can identify a relationship between this hierarchy and the principles or prevention. •

Elimination or Substitution This is often the most effective way of avoiding serious risk of harm. Elimination requires the total abandonment of a process or activity because the risk is considered too high to live with. In some situations the hazardous materials in use can be substituted for a less harmful material, for example using a water-based product in place of a solvent-based one.

•

Use of Barriers This option is achieved by introducing engineering controls. The aim here is to physically separate person from the hazard. IsolationSegregation involves taking the hazard away from the person (orthe putting the hazard in an enclosure). involves taking the p erson away from the hazard (or putting the person in an enclosure). Total enclosure or containment is the best form of risk control since no-one can then be exposed to the hazard.

•

Procedures and Systems of Work This option requires the development of safe working practices which considers such things as limiting exposure time, changing working methods or improving workplace layout and housekeeping.

•

Training, Information and Supervision Having a competent workforce is a fundamental safety requirement. Appropriate training, such as that offered to the employee as induction training when joining the company, and job specific training (with refresher training where necessary), goes towards ensuring such competence. Depending upon the experience and knowledge of the workers, suitable supervision must be given to ensure that safety procedures and requirements are followed. Information includes such things as signs, posters and warning systems which bring hazards to the attention of the worker and require a human response.

•

Personal Protective Equipment Despite consideration of the range of control measures outlined previously, it may still not be possible to reduce a risk down to an acceptable level. Under such circumstances it becomes necessary to consider protecting the individual rather than the working

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environment. Many different types of personal protective equipment are available, such as ear defenders for noise. However, in the hierarchy of control measures, personal protective equipment (PPE) comes last and is only introduced when all other control measures have been found inadequate in eliminating or controlling the risk.

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Constraints on the Control of Risks in the Workplace Those points that appear earlier in the list of control measures at the beginning of this section will be most effective in reducing therisk. However, they will usually be more expensive and take much longer to put in place. They should be thought of as long-term objectives. Although, in practice, it might be technically possible to achieve total elimination of a hazard, the costs involved and the b enefits achieved may mean that it does not pass the test of "reasonably practicable". A lot of the improvements in safety standards have been due to the reduction in manpower and increase in 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 later in the list of control measures are usually the cheapest options. They can be put into operation very quickly, and give some measure of risk reduction, but their effect is often of short duration. One very important element of the control procedure is to monitor the effectiveness of those controls that have been implemented. This will tell you whether they have been successful or not.

Financial The main problem with making improvements in safety is that there is little, if any, perceivable financial gain. It is difficult to justify asking the Finance Director to authorise spending on safety when nothing has gone wrong in the past. It is only when the cost of accidents in terms of lost business (we talked about the costs of accidents in a previous Study Unit) is appreciated that good health and safety is accepted as part of good overall business management. Another financial issue that may put a constraint on any risk reduction programme is a conflict of priorities.

Conflict of Priorities Where finances are restricted and budgets have been set for the coming period, a decision has to be made on what gets priority. Whilst the safety professional will argue that safety of the workforce is paramount, the production manager will argue with equal conviction that if the new process is not introduced then safety will not be an issue. The factory will close. It is often a case of making compromises and accepting that everything cannot be done today. Risk evaluation will determine which areas need urgent attention.

Management Perceptions It is a fact that, even today, many managers see health and safety as a waste of time and money, or just pay no attention to it whatsoever . There are a number of reasons for this, ranging from total disregard for authority and the well-being of their workers, to ignorance of the requirements regarding health and safety in the workplace. Changing the perception of managers to health and safety is one of the more difficult tasks facing a safety professional. Once achieved, however, having management’s backing and commitment makes other tasks that little bit easier.

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Resistance to Change One of those ‘other tasks’ mentioned above is convincing people that the changes that you are advocating are for their benefit. Very few people like change when the advantages are not obvious. People get set in their ways and become familiar with routine, and change can cause anxiety and stress. It is important to remember that you are dealing with different people who have different needs. A sympathetic approach, with explanations for the need for change, along with the benefits, will often succeed where imposing your will can cause resentment.

Time As mentioned before, not everything can be achieved today. Probably the second biggest constraint facing safety professionals, after money,is time. Whilst everything may seem important and top priority, it is essential that the risk evaluation includes some sort of rating to allow priority of work to be set. This will then allow the truly urgent matters to be dealt with, with other matters being timetabled for less urgent action.

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Benefits of Risk Assessment and Control Standards, and Guidance on the Work Environment Prior to the introduction of risk assessment, there was very little emphasis on the employer to manage health and safety. In the UK requirements were only maintained by enforcement agencies policing workplaces. Typical enforcement visits would be like a workplace inspection with the enforcement officer pointing out problems in the workplace. Risk assessment requires the employers to consider what might go wrong for all tasks, before it does and not just looking for the obvious workplace defects as in the inspection The introduction of risk assessment based health and safety management has resulted in: An improved health and safety culture with managers taking a proactive approach to risk and safety management. Fewer accidents, and less lost time through ill-health. Where the working conditions within an organisation have improved, these would seem to be the obvious benefits. These, in turn, will lead to fewer insurance claimsand possibly lower premiums.

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Title

Page

Safe Workplace

MAINTAINING SAFE AND HEALTHY WORKPLACES AS BEST PRACTICE ............................................................. 3 MAINTENANCE OF WORKPLACES, AND OF EQUIPMENT, DEVICES AND SYSTEMS .............. ................ .............. ............... ..............3 VENTILATION .............. ................ ............... .............. .............. ................ ............. ................ .............. ................ .... 5 TEMPERATURE IN INDOOR WORKPLACES .............. ................ .............. ............ ................ ................ ............. ................ .. 6 LIGHTING ................. .............. ................ ............ ................ ................. ............ .............. ................ ................ ...... 7 CLEANLINESS AND WASTE MATERIALS ................ ................. .............. .............. .............. ................ ............. ................ .. 9 ROOM DIMENSIONS AND SPACE ................ .............. ................ ............ ................ ............... .............. .............. ............. 9 WORKSTATIONS AND SEATING ................. .............. ................ ............ ................ ............... .............. .............. ........... 10 CONDITION OF FLOORS AND TRAFFIC ROUTES .............. ................ .............. .............. .............. ................. ............ ......... 10 FALLS OR FALLING OBJECTS .............. .............. ................ ............. ................ .............. ............... .............. ................ 12 WINDOWS, AND TRANSPARENT OR TRANSLUCENT DOORS, GATES AND WALLS .............. ................ .............. ............... ............ 12 WINDOWS, SKYLIGHTS AND VENTILATORS ............. ................ ................ ............. .............. ................ ............. .............. 13 ABILITY TO CLEAN WINDOWS, ETC. SAFELY ............... .............. ................ ............. ................ .............. .............. ........... 13 ORGANISATION, ETC. OF TRAFFIC ROUTES ................ .............. ................ ............. ................ .............. .............. ........... 13 DOORS AND GATES.............. ................ ............... .............. .............. ................ ............. ................ .............. ........... 14 ESCALATORS AND MOVING WALKWAYS .............. .............. ................ ............. ................ .............. .............. .............. .... 14 SANITARY CONVENIENCES ................ .............. ................. ............ ................ .............. ............... .............. ................ 14 WASHING FACILITIES ............... .............. ................ ............. ................ .............. .............. ............... ................ ....... 15 DRINKING WATER .............. .............. ................ .............. ............... ................ ............ .............. ................. ............ 15 ACCOMMODATION FOR CLOTHING .............. ................ ............... ............ ................ ................ ............. ................ ....... 16 FACILITIES FOR CHANGING CLOTHING ................ ................. .............. .............. .............. ................ ............. ................ 16 FACILITIES FOR REST AREAS AND TO EAT MEALS ........................... ................ ............. ................ .............. ............... ..... 17 FIRST-AID PROVISION .............. .............. ................ ............. ................ .............. .............. ............... ................ ....... 18

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BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A5 | Safe Workplace Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.5.1 Apply best practice in maintaining a safe and healthy workplace

Unit 4:

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Maintaining Safe and Healthy Workplaces as Best Practice One of the most basic requirements for any employer is to provide a workplace for their employees which is safe and free, so far as is reasonably practicable, from risks to health and safety. All workplaces, regardless of the nature of the organisation, should be designed, equipped and maintained to safeguard the health and safety of those who use them. Best practice standards must be developed for all aspects of the workplace including: General maintenance of the workplace, equipment, etc. Ventilation Temperature in indoor workplaces Lighting Cleanliness and waste materials Room dimensions and space (11 m 3 per person) Workstations and seating Condition of floors and traffic routes Protection against falls or falling objects Windows and ease of cleaning them Sanitary conveniences, drinking water, washing, changing of clothing and clothing accommodation and other welfare matters Facilities to rest and eat meals The following paragraphs will serve as an overview of these standards:

Maintenance of Workplaces, and of Equipment, Devices and Systems Efficiency within the terms of this guidance is directed towards health, safety and welfare, and not to areas of productivity. It is essential, therefore, that a planned system of maintenance is installed with a suitable and adequate system of maintenance records. There is a diverse range of required maintenance which covers all equipment. In essence, maintenance should be provided for anything and everything that if not cleaned or maintained in a proper fashion may cause an adverse effect on health, safety and welfare. As a further guide, maintenance should be carried out on all essential items to include sanitation, safety harnesses, anchorage points, escalators and automatic or powered doors, walls and partitions to include fences, ventilation and emergency power and lighting.

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Cleaning (Housekeeping) The term 'housekeeping' is used to describe the general condition of premises, and control of equipment and materials within it to avoid creation of risks to workers The standard of cleanliness of the workplace will depend on what the particular workplace is used for. Food preparation areas, forexample, would require a higherstandard of cleanliness than a general warehouse. Certain issues, however, such as trips, slips and falls should be addressed in all workplaces. In workplaces where dirt and rubbish accumulate, any dirt and rubbish not in bins or other suitable receptacles should be disposed of daily. This may have to be done more frequently to keep workplaces free from pests or decaying organic matter. Workplaces should be kept free from offensive waste, such as from leaking drains or toilets. Cleaning should not create, or expose anybody to, a health and safety risk. To summarise, a suitable system of maintenance involves ensuring that: Regular maintenance (including, as necessary, inspection, testing, adjustment, lubrication and cleaning) is carried out at suitable intervals. The frequency will depend on the type of equipment and the use it is put to. Any potentially dangerous defects are remedied and access to defective equipment is prevented in the meantime. Regular maintenance and remedial work is carried out properly. A suitable record is kept to ensure the system is properly implemented and to assist in validating maintenance programmes.

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Ventilation Suitable provision should be made to ensure that every enclosed workplace is ventilated by a sufficient quantity of fresh or purified air. Approximately 5 to 8 litres of fresh air per second, per occupant, would be considered sufficient for removal and replacement of stale, humid or hot air from any workplace. Equipment installed out or this function should, for event healthofand safety purposes, be equipped with eitherto ancarry audible visual warning in the failure or breakdown. Planned maintenance should include cleaning of these systems to ensure against any formation of harmful substances or bacteria. Natural Ventilation Enclosed workplaces should be sufficiently well ventilated so that stale air, and air which is hot or humid because of the processes or equipment in the workplace, is replaced at a reasonable rate. The air which is introduced should, as far as possible, be free of any impurity which is likely to be offensive or cause ill-health. Air which is taken from the outside can normally be considered to be ‘fresh’, but air inlets for ventilation systems should not be sited where they may draw in excessively contaminated air (for example, close to a flue, an exhaust ventilation system outlet, or an area in which vehicles manoeuvre). Where necessary, the inlet air should be filtered to remove particulates. In many cases, windows or other openings will provide sufficient ventilation in some or all parts of the workplace. One problem of relying on natural ventilation is that it is reliant on the direction and strength of the wind. This gives either positive or negative wind pressure depending on the locations of the openings. Where necessary, mechanical ventilation systems should be provided for parts or all of the workplace, as appropriate. Mechanical Ventilation Workers should not be subject to uncomfortable draughts. In the case of mechanical ventilation systems it may be necessary to control the direction or velocity of air flow. Workstations should be re-sited or screened if necessary. In the case of mechanical ventilation systems which re-circulate air, including air-conditioning systems, re-circulated air should be adequately filtered to remove impurities. To avoid air becoming unhealthy, purified air should have some fresh air added to it before being recirculated. Systems should therefore be designed with fresh air inlets which should be kept open. Mechanical ventilation systems (including air-conditioning systems) should be regularly and properly cleaned, tested and maintained to ensure they are kept clean and free from anything which may contaminate the air.

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As previously discussed the fresh air supply rate should not normally fall below 5 to 8 litres per second, per occupant. Factors to be considered include the floor area per person, the processes and equipment involved, and whether the work is strenuous. Ventilation control systems function by removing atmospheric contaminants from the workplace in a current of air. There are two basic systems: Dilution Ventilation, also known as general or natural ventilation, which utilises normal air movement through open doors, or assisted air movement by means of roof fans or blowers. Local Exhaust Ventilation (LEV), in which atmospheric contaminants are trapped close to their point of generation and then ducted (sucked) away by a powered fan-assisted airflow.

Use of Air Conditioning Systems Insufficient fresh air in the workplace may lead to tiredness, headaches, dry or itchy skin or eye irritation, so it is important for employers to provide a sufficient quantity of fresh or purified air in the workplace. When purified air is provided, it can involve inlets; outlets; filters and some form of heat exchanger (usually a refrigeration unit) and fan or blower. Water is presented into the system to keep the humidity at the acceptable level and to take the ‘dryness’ out of the air. The major problem associated with air-conditioning systems, apart from mechanical, is that of the presence of warm water. This gives the bacteria of Legionella a breeding ground, if suitable precautions are not taken, i.e. regular monitoring and maintenance.

Temperature in Indoor Workplaces During working hours, the temperature in all workplaces inside buildings should be reasonable. The possibility of stress arises in situations where people have to work in very hot or cold conditions. Excess heat or cold can adversely affect levels of work and efficiency. Heat can cause a number of illnesses, such as heat exhaustion, dehydration, heat cramps and heat stroke. Excess cold can lead to a decrease in dexterity, which is particularly hazardous when operating some machines. There are certain conditions which should be adhered to. Best practice requirements are that for any workroom the temperature should not be less than 16ºC, however, in certain cases where there is a high level of physical effort it is acceptable that the temperature can be as low as 13ºC. In maintaining reasonable comfort it should not be necessary for special clothing to be worn but it must be remembered that air movement and relative humidity are also important factors in controlling temperature. In cases where it is not possible to meet these temperature guidelines, certain responsibilities have to be considered. Workers should not only be provided with special clothing but also adequate rest areas. Thermometers should be available at a convenient distance from every part of the workplace to enable temperatures to be measured throughout the workplace.

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Work areas which are subjected to extreme conditions, such as those affected by process heat or chill, must be fitted with auxiliary heating or cooling methods to adjust temperatures to as near requirements as possible. The temperatures in workrooms do not apply to rooms or parts of rooms where it would be impractical to maintain those temperatures, for example, in rooms which have to be open to the outside, or where food or other products have to be kept cold. In such cases the temperature should be as close to those mentioned above as is practical.

Lighting Every workplace should have suitable and sufficient lighting. In all instances natural lighting is preferable to artificial lighting but in the case of this not being practical there are specific requirements. Lighting levels should be such that work can be carried out safely without eyestrain and if necessary, local workstation lighting should be provided. Care should be taken to ensure the level of lighting is always sufficient for the occupants and workforce in any location. Areas of potential risk should be adequately lit. Dazzle, glare and extremes in contrast should be avoided and attention given to external areas during hours of darkness. Light fittings in storage areas should not be obscured; windows should be kept clean as should light fittings and skylights. Provision should be made for emergency lighting which should be supplied from an independent source should the mains lighting fail. Increased Risks of Trips and Falls Lighting should be sufficient to enable people to work, use facilities and move from place to place safely and without experiencing eye strain. Stairs should be well lit in such a way that shadows are not cast over the main part of the treads. Where necessary, local lighting should be provided at individual workstations and at places of particular risk such as pedestrian crossing points on vehicular traffic routes. Outdoor traffic routes used by pedestrians should be adequately lit after dark. A good standard of lighting, whether artificial or natural, has an important role to play in ensuring health and safety at work as it helps people to see hazards and can reduce visual fatigue and discomfort. The more quickly and easily a hazard can be seen and identified, the more easily it can be controlled. Visual Fatigue Poor lighting can cause visual fatigue (or eye to strain) by making the visual work harder. and Theglare symptoms of fatigue varyaccording the task being carried outsystem and the lighting conditions. It is most common when the visual system has to act at the limit of its capabilities for any length of time. Symptoms of visual fatigue include irritation of the eyes (inflammation itchiness), breakdown of vision (blurred or double vision) and referred symptoms (headaches, giddiness, fatigue).

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Strain injuries, such as neck and backache, can also occur and are usually due to the person bending to get closer to the task due to poor lighting. Glare In the process of seeing, the eye performs two quite separate functions. The first is to act as a focusing system to give a pattern of the scene on the back of the eye - the retina. The pattern is converted by the nerve endings in the retina through the optic nerve as a complex signal to the brain. An object is generally seen because of the difference in brightness between the object and its immediate background. This is obvious when a white object can be seen clearly against a black background but it is very indistinct against a white background! Normally the eye adapts to whatever it is seeing but if a task or a background is too bright or the contrast too great, vision suffers by the situation becoming uncomfortable. Glare, which occurs when one part of the visual field is brighter than the average brightness to which the visual system has become adapted, must be considered. Glare can be direct from the primary lamp source or it may be indirect, such as the reflection of bright light from a highly polished surface Temporary Loss of Vision when Moving from Brightly to Dimly Lit Areas and Vice Versa Lighting should be sufficient to enable people to see in order to move about without walking into, or falling over, objects. Some types of work require the ability to see in fine detail, e.g. to read gauges or displays or to see a work piece or tool. The level of lighting necessary will depend upon the type of work being carried out and the hazards associated with it. The finer the detail of the work, the higher the illumination (light level) required. The illumination in areas adjacent to the work location must be considered if movement occurs within these areas. Lighting Recommendations Natural daylight should be utilised wherever possible, although it rarely provides sufficient illumination throughout the whole working area for the whole working day. A combination of natural and artificial light will usually provide sufficient suitable lighting. Maintenance of Light Fittings The lighting output of lamps diminishes with age but can be improved by regular cleaning and maintenance of the lamps, reflectors, diffusers and other parts. Lamps must be carefully disposed of. The hazards associated with theminclude cuts from broken glass and inhalation of dust containing phosphor or vapour from mercury lamps. Low-pressure sodium discharge lamps can catch fire or explode if water is present. Those carrying out the disposal of lamps should be suitably instructed and provided with protective clothing.

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Cleanliness and Waste Materials Every workplace and the furniture, furnishings and fittings should be kept sufficiently clean. The standard of cleanliness required will depend on the use to which the workplace is put. For example, an area in which workers take meals would be expected to be cleaner than a factory floor, and a factory floor would be expected to be cleaner than an animal house. Floors should be cleaned at least once a week but where an accumulation of dirt is excessive, cleaning should be carried out daily. Waste materials shall not be allowed to accumulate in a workplace, except in suitable receptacles. Walls and furnishings are not exempt and should be cleaned regularly or as required. In the interests of maintaining hygienic conditions washable surfaces should be provided and sealing should take place where absorbent walls and floors are likely to be affected by spillage contamination. Floors and indoor traffic routes should be kept as clean as practicable. In factories and other workplaces of a type where dirt and refuse accumulates, any dirt and refuse that is not in suitable receptacles should be removed at least daily. These tasks should be carried out more frequently, where necessary, to maintain a reasonable standard of cleanliness or to keep workplaces free of pests and decaying matter.

Room Dimensions and Space Every room where people work should have sufficient floor area, height and unoccupied space for purposes of health, safety and welfare. Workrooms should have enough free space to allow people to get to and from workstations and to move within the room with ease. The number of people who may work in any particular room at any one time will depend not only on the size of the room, but on the space taken up by furniture, fittings, equipment, and on the layout of the room. Workrooms, except those where people only work for short periods, should be of sufficient height (from floor to ceiling) over most of the room to enable safe access to workstations. In older buildings with obstructions such as low beams the obstruction should be clearly marked. The total volume of the room, when empty, divided by the number of people normally working in it should be at least 11 cubic metres. In making this calculation a room or part of a room which is more than 3.0 metres high should be counted as 3.0 metres high. The figure of 11 cubic metres per person is a minimum and may be insufficient if, for example, much of the room is taken up by furniture, etc. Calculating floor space per person will not always give sufficient unoccupied space. Rooms may have to be larger, or have fewer people working in them, depending on such factors as the contents and layout of the room and the nature of the work. Where space is limited, careful planning of the workplace is particularly important. In all aspects of production and storage the question of spacing plays a vital part. Overcrowding causes a number of very real hazards, including: Accidents.

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Obstruction of escape routes. Fires developing undetected. Problems with fire-fighting; not only getting the fire-fighting equipment to the area, but gaining access to the fire. Increased fire and water damage.

Workstations and Seating

Every workstation should be arranged so that it is suitable both for any person at work in the workplace who is likely to work at the workstation and for any work which is likely to be undertaken there. Workstations should be arranged so that each task can be carried out safely and comfortably. The worker should be at a suitable height in relation to the work surface. Work materials and frequently used equipment or controls should be within easy reach, without the need for undue bending or stretching. Workstations including seating, and access to workstations, should be suitable for any special needs of the individual worker, including workers with disabilities. Each workstation should allow any person who is likely to work there adequate freedom of movement and the ability to stand upright. Spells of work which unavoidably have to be carried out in cramped conditions should be kept as short as possible and there should be sufficient space nearby to relieve discomfort. There should be sufficient clear and unobstructed space at each workstation to enable the work to be done safely. This should allow for the manoeuvring and positioning of materials, for example lengths of timber. Seating provided should, where possible, provide adequate support for the lower back, and a footrest should be provided for any worker who cannot comfortably place his or her feet flat on the floor.

Condition of Floors and Traffic Routes Every floor in a workplace and the surface of any traffic route in a workplace should be of a construction such that the floor or surface of the traffic route is suitable for the purpose for which it is used. In any working environment the floors, traffic routes, (‘traffic routes’ applying to all roads), passages, pavements, steps, stairs and escalators etc., must be kept in good condition and free of damage. They must be appropriately constructed to prevent any danger by slipping, falling and tripping and above all be able to accept weights imposed on them for loading purposes or otherwise. Surfaces should be safe in all conditions, even when wet and if required suitable drainage made available. It is important however that in the case of drainage, people or the environment must not be put at risk by contamination of sewers, drainage systems, water supplies or watercourses. Of the many fatal accidents that occur each year involving the use of transport at work sites, the most common type involves victims being struck or run over by vehicles.

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Pedestrian A secure and substantial handrail should be provided and maintained on at least one side of every staircase, except at points where a handrail would obstruct access or egress. Handrails should be provided on both sides if there is a particular risk of falling, for example where stairs are heavily used, or are wide, or have narrow treads, or where they are liable to be subject to spillages. Where possible, specific routes should be provided for pedestrians with the aim of keeping people and vehicles apart. Where appropriate, pedestrian routes should have designated crossing points over roads and suitable barriers at entrances to, and exits from, buildings to discourage pedestrians from walking directly into the road. In areas where traffic is particularly heavy, bridges or subways may be appropriate. Where vehicles pass through doorways, or under narrow bridges or tunnels that have insufficient width to allow vehicles and pedestrians to be separated by a raised or railedoff footpath, a separate access for pedestrians should be considered. Vehicular Ideally, to prevent accidents occurring, the movement of vehicles should be governed by stringent rules that are enforced by management supervision and control. However, as direct supervision of site traffic is not always practicable, and as many visiting drivers may be unfamiliar with the site, the layout and design of road systems within sites is a particularly important consideration. Once a site has been built, even with due attention paid to the design, three problems always occur: Parking must be controlled either by making some provision for it elsewhere, or introducing an enforcement system; preferably both methods should be used. Space is required to store returns, empties, pallets and other materials that tend to accumulate in loading areas unless specific provision is made for them. Waste paper and cartons create problems in certain premises that can be helped by the use of skips and organised collections. However, skips use up a lot of loading area, as well as the extra space of the collection vehicle to pick up and deposit a return skip. Road Systems Road systems should be clearly and logically arranged, allowing adequate space for movement, reversing, turning, loading and offloading. Roads should be wide enough for the safe movement of the largest vehicle likely to use them, with allowance made for visiting vehicles which may be larger than those used exclusively on site. Therefore, a heavily used two-way access road must be wider than one which is so lightly trafficked it is unlikely to have goods vehicles arriving and departing at the same time. The number of pedestrians and vehicles likely to be entering and leaving the site at peak time should also be considered. Vehicle Parking Sufficient and suitable parking areas should be provided for all vehicles, including employees' and visiting cars, motor cycles and cycles, waiting goods vehicles, sites for skips and pallet stacks. If any of these are left in unplanned positions, the safe operation of the site can be disrupted. Parking areas should have firm, even surfaces with adequate means of access and egress. As far as private vehicles are concerned, a site manager has only limited control over

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their use. Vehicles should be regulated by restricting their routes and enforcing speed restrictions in addition to providing designated parking areas.

Falls or Falling Objects All work at height must be appropriately planned and organised. All at of height take at into consideration the weather, which may affect the health andwork safety thosemust working height. The workplace where ‘work at height’ is being conducted must be safe. Those working at height must be trained and competent to conduct work. Work equipment used at height must be inspected regularly. Any risks from fragile surfaces and from falling objects must be adequately controlled. Employers must also ensure that any work that can reasonably practicably be done without having to work at height must be carried out. Employers must ensure that all risks from work at height are assessed. Work at height must be appropriately supervised, planned, while taking into consideration emergency situations. It is good practice to: Avoid work at height where they can. Where they prevent falls.cannot avoid working at height, use work equipment or other measures to Where they cannot eliminate the risk of a fall, use work equipment or other measures to minimise the distance and consequences of a fall should one occur. Work Equipment for Working at Height When selecting equipment for work at height, the responsible person must: Use the most suitable equipment. Give collective protection measures, such as guardrails, priority over personal protective measures, such as safety harnesses. Take account of working conditions. Consider the safety of all those at the place where the work equipment is to be used. Care should also be taken to ensure the reduction of risks from unstable stacks of materials in storage areas and from materials falling from vehicles, especially when loading and unloading.

Windows, and Transparent or Translucent Doors, Gates and Walls Every window or other transparent or translucent surface in a wall or partition and every transparent or translucent surface in a door or gate should, where necessary for reasons of health or safety:

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Be of safety material or be protected against breakage of the transparent or translucent material. Be appropriately marked or incorporate features so as, in either case, to make it apparent. In assessing whether it is necessary for transparent or translucent surfaces in doors, gates, walls and partitions to be of a safety material or be adequately protected against breakage, particular attention should be paid to the following cases: In doors and gates, (and door and gate side panels), where any part of the transparent or translucent surface is at shoulder level or below. In windows, walls and partitions, where any part of the transparent or translucent surface is at waist level or below, except in glasshouses where people work, it is likely they will be aware of the presence of glazing and avoid contact. Safety materials are materials which are inherently robust, such as polycarbonates or glass blocks; or glass which, if it breaks, breaks safely; or ordinary annealed glass of a specified thickness.

Windows, Skylights and Ventilators No window, skylight or ventilator which is capable of being opened should be opened, closed or adjusted in a manner which exposes any person performing such an operation to a risk to his health and safety. No window, skylight or ventilator should be in aposition when open which is likely to expose any person in the workplace to a risk to his health or safety. All windows should be in a safe condition and must be capable of being operated without danger. If there is any danger of a person falling through or out of a window while opening or closing them, then a safety device must be f itted to prevent harm. If the bottom of a window is less than 800mm from the floor, a safety bar or similar suitable equipment should be installed where necessary to prevent falls. Open windows should not protrude across a pedestrian walkway which could cause injury by collision with the window.

Ability to Clean Windows, etc. Safely All windows and skylights in a workplace should be of a design or be constructed so that they may be cleaned safely. It is essential that all windows can be cleaned in a safe manner. When it is not practical to clean windows from the ground, all precautions must be taken and these include fitting access equipment such as cradles or suitable anchorage points for harnesses or safety belts. Windows can be cleaned from the inside where tilt and turn windows are installed.

Organisation, etc. of Traffic Routes Every workplace should be organised in such a way that pedestrians and vehicles can circulate in a safe manner. The following are termed as traffic routes:

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Roads. Pathways. Gangways. Doorways. Ramps. Stairs and fixed ladders. Gates and loading bays. Pedestrians and vehicles should be able to move about freely and safely, but in the case of vehicles there should be speed limits. Reversing for vehicles should be allowed in safe circumstances and in the case where large numbers of pedestrians gather at specific times, such as shift changes, there should be some consideration given to restricting vehicular traffic flow. In the event of the type of premises not always allowing freedom of movement, special consideration should be given to marking obstructions and overcoming restricted vision for pedestrians.

Doors and Gates Doors and gates shall be suitably constructed including being fitted with any necessary safety devices. Any door or gate that can be opened in either direction should be fitted with a vision panel. Power doors should have safety devices to prevent injury to those working near them. Easily accessible and identifiable control switches should be fitted. In the situation of a power door being inoperable due to power failure, there should be a means of operating it manually.

Escalators and Mo ving Walkways Escalators and walkways must: Function safely. Be equipped with any necessary safety devices. Be fitted with one or more emergency stop controls, which are easily identifiable and readily accessible.

Sanitary Conveniences Suitable and sufficient sanitary conveniences should be provided at readily accessible places. Sanitary conveniences should be suitably cleaned and maintained and provided with: toilet paper, coat hook, flushing mechanism and drainage. They should have adequate lighting, ventilation and have special facilities for disabled people including those in wheelchairs.

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Unless doors can be secured from the inside separate conveniences have to be supplied for men and women. Where remote workplaces exist, chemical closets can be provided, but where possible should be of the type not requiring manual emptying. The number of water closets and urinals required in particular installations may vary and the following table could be used to help identify requirements Minimum numbers of facilities Number of people at work

Number of toilet facilities

Number of hand washing basins

1 to 5

1

1

6 to 25

2

2

26 to 50

3

3

51 to 75

4

4

76 to 100

5

5

Adapted from the HSE Workplace (Health, Safety and Welfare) Approved Code of Practice

Washing Facilities Suitable and sufficient washing facilities, including showers if required by the nature of the work or for health reasons, should be provided at readily accessible places. Adequate ventilation and and lighting essential part of anyThey washing The washing area must be well maintained keptisinan a state of cleanliness. mustfacility. be provided in the same areas as sanitary conveniences and have an adequate supply of running hot and cold water together with soap, towels or alternative drying means. Washing areas together with sanitation facilities must be protected from the weather. Men and women should have separate facilities unless the doors can be locked from inside. This does not apply to facilities that are provided for washing faces, hands and forearms only. Temporary or remotely situated workplaces can be provided with water in containers only when running water is not available.

Drinking Water An adequate supply of wholesome drinking water should be provided for all persons at work in the workplace. Drinking water should be supplied from the public mains or by a storage cistern and marked as such. In either case the supply should comply with national water law. An adequate supply of clean disposable cupstoshould available, or there is provision wash be cups nearby.the exception being if a water fountain is provided Where it is not practicable to supply mains water, a supply of bottled water is permissible as long as it is accessible and adequate.

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Accommodation for Clothing Suitable and sufficient accommodation for clothing should be provided. Where special clothing is worn at work and not taken home, suitable accommodation must be provided. Where personal clothing is stored during the working day it is the duty of the employer, if necessary, to install suitable security. There may be cases where it is not desirable for work clothing and personal clothing to come into contact and in these circumstances separate storage facilities must be provided. Minimum requirements are that a peg or hook be provided on which to hang clothing. Practicable facilities should be provided for the drying of personal clothing before the end of a shift and drying of work clothes before the start of a shift.

Provision for the Storage of Clothing It is considered best practice to provide accommodation for clothing which is not worn during working hours and similarly for special work clothing (that which is worn for work but not taken home, such as overalls, uniforms, thermal clothing and hats worn for food hygiene purposes). Accommodation for work clothing and workers’ own personal clothing should enable it to hang in a clean, warm, well-ventilated place where it can dry out during the course of a working day if necessary. If the workroom is unsuitable for this purpose then accommodation should be provided in another convenient place. The accommodation should consist of, as a minimum, a separate hook or peg for each worker. Where work clothing (including personal protective equipment) which is not taken home becomes dirty, damp or contaminated due to the work it should be accommodated separately from the worker’s own clothing. Where work clothing becomes wet, the facilities should enable it to be dried by the beginning of the following work period unless other dry clothing is provided.

Facilities for Changing Clothing Suitable and sufficient facilities should be provided for any person at work in the workplace to change clothing. Where there is the need to wear special or protective clothing and the situation demands a separate changing area, there are certain requirements: Separate changing rooms should be provided for men and women. The changing areas should be sufficient for the number of persons using them without causing overcrowding. There should be direct access to shower facilities. In all cases the changing rooms have to provide adequate privacy together with seating accommodation. A further requirement is that the changing rooms should be readily accessible to the working and refreshment areas.

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Facilities for Rest Areas and to Eat Meals Suitable and sufficient rest facilities should be provided at readily accessible places. For workers who carry out their duties in a standing position, seats should be provided for resting during natural breaks or when activity is stopped for whatever reason. The rest areas should contain tables and chairs, the chairs being suitable for the purpose and having backrests. These should be in a suitable place where personal protective equipment (for example, respirators or hearing protection) need not be worn. In offices and other reasonably clean workplaces, work seats or other seats in the work area will be sufficient, provided workers are not subject to excessive disturbance during breaks, for example by contact with the public. In other cases one or more separate rest areas should be provided (which in the case of new workplaces, extensions and conversions should include a separate rest room). Hygiene is an essential factor in areas where food is consumed: the rest area should be clean and free from contamination from any process or material associated with the workplace environment. Where workers regularly eat meals at work, suitable and sufficient facilities should be provided for the purpose. Seats in work areas can be counted as eating facilities provided they are in a sufficiently clean place and there is a suitable surface on which to place food. Eating facilities should include a facility for preparing or obtaining a hot drink, such as an electric kettle, a vending machine or a canteen. Workers who work during hours or at places where hot food cannot be obtained in, or reasonably near to, the workplace should be provided with the means for heating their own food. Eating facilities should be kept clean to a suitable hygiene standard. Responsibility for cleaning should be clearly allocated. Steps should be taken where necessary to ensure that the facilities do not become contaminated by substances brought in on footwear or clothing. If necessary, adequate washing and changing facilities should be provided in a conveniently accessible place. Canteens or restaurants may be used as rest facilities, provided there is no obligation to purchase food in order to use them. Good hygiene standards should be maintained in those parts of rest facilities used for eating or preparing food and drinks. Interests of non-smokers should be taken into account to protect them from the discomforts of tobacco smoke. There are two considerations: Provision of separate facilities for smokers and non-smokers. Prohibiting smoking completely.

Facilities for Pregnant Women and Nursing Mothers Pregnant women and nursing mothers must be considered. Facilities should be provided to allow them to lie down and rest and the rest area should be conveniently close to the sanitary facilities.

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In the UK, there are prohibitions and restrictions on pregnant women and nursing mothers working with certain processes or carrying out particular work activities, e.g. those involving ionising radiation, lead or lead compounds, and other toxic chemicals, such as benzene and mercury.

First-aid provision

The general requirements in relation to providing first aid are: The requirement on the employer to provide first-aid. The requirement on the employer to inform employees of the arrangements made in connection with first-aid. The employer should firstly carry out an assessment to determine the hazards likely or foreseeably present with the particular workplace and to provide adequate and suitable f irstaid provisions accordingly. The hazards which may be identified by the assessments could include chemical hazards (including antidotes), mechanical hazards and electrical hazards. The first aid assessment would consider: The number of employees. The nature of the undertaking. The size of the establishment and distribution of the employees. The location of the establishment and the locations to which the employees go in the course of their employment. Use of shift working and the effect of delayed response. The distance from external medical services. It is not sufficient just to rely on the number of employees to determine appropriate first-aid cover. First-aiders The employer must provide an adequate and appropriate number of suitable persons to render first-aid to ill or injured employees at work. A suitable person is someone who holds a current first-aid certificate issued under an approved training course. In certain circumstances additional specialised training may be required by a first-aider, i.e. where specific hazards or risks exist within a workplace, such as: Danger of poisoning by certain cyanides and related compounds. Danger of burns from hydrofluoric acid. Need for oxygen as an adjunct to resuscitation. In situations where suitable persons are absent in temporary and exceptional circumstances, it is acceptable for the employer to appoint a person to take charge of: Any situation where an ill or injured employee requires attention from a medical practitioner or nurse. Any first-aid equipment and facilities while the suitable person is absent.

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Such appointed persons should not render any treatment other than emergency first-aid and then only where they have been specifically trained in those procedures, but should be responsible for calling for professional assistance. All first-aiders should have access to any equipment provided and all employees should have reasonable access to first-aid. Although equipment will vary, all establishments without exception should provide at least one first-aid box. An employer whose establishment presents a high risk from hazards should provide a suitably equipped and of staffed first-aidAdequate room. A note should door showing the names and locations first-aiders. records mustbe beplaced kept ofonallthe treatments. In situations where specialised first-aid equipment is required at the workplace, it may be kept in the first-aid room as appropriate. Information and Training The employer must ensure that all employees are informed of the establishment’s first-aid arrangements. Induction training of new employees should incorporate this information. Arrangements should also cover the first-aid requirements of other persons working on the establishment’s site. Training courses must be approved by the relevant body. General first-aid training courses should last four full days with at least six hours contact time. After three years a refresher course and re-examination are required before re-certification. Where the employer provides a full-time occupational health service which is in the charge of a registered medical practitioner or qualified occupational health nurse, the f irst-aid arrangements for the establishment should be made by them. Practical Aspects All businesses must have an appropriate level of first-aid treatment available. Provision of immediate and proper treatment of injuries can save life. Inefficient treatment of an apparently trivial condition can lead to infection and ill-health. Somebody should be appointed to take charge in an accident or emergency; to call an ambulance or other emergency services; and to maintain the first-aid equipment. At least one appointed person must be available whenever people are at work. A first-aid box should be provided, kept clean and adequately stocked with materials. It should contain guidance on the treatment of injuries, particularly emergency procedures, such as artificial respiration, controlling bleeding, unconsciousness, burns, electric shock and gassing. There should be a sink or washing facilities nearby. Notices must be posted giving the locations of first-aid equipment and the names and location of first-aiders or the appointed person. Where there are special hazards or particular classes of employee, it may be necessary to have a first-aid room and a qualified or specialist first-aider. It is a sensible precaution to have at least one person in the workplace who knows the basics of first-aid procedures and treatments.

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Title

Page

Control of Contractors

MAIN CONSIDERATIONS WHEN SELECTING A CONTRACTOR ............................................................................ 3 CONTRACTOR VETTING TO ASSESS COMPETENCE AND RESOURCES ............... .............. ................ ............ ................ ............... 3 HOW CONTRACTOR MONITORING CAN CONTRIBUTE TO THE PREVENTION OF ACCIDENTS AND ILL-HEALTH 5 EFFECTIVE PLANNING AND CO-ORDINATION OF CONTRACTED WORK ............. ................ ............... .............. .............. ............. 5 ENSURING THAT THE PROJECT ADHERES TO SCHEDULE AND SAFE SYSTEMS OF WORK ................ .............. ................ ............ ...... 6 IDENTIFYING PREVIOUSLY UNFORESEEN HAZARDS RESULTING FROM CONTRACT WORK ................ ................ ............... ............ .... 6 SYSTEMS OF COMMUNICATION ................. .............. ................ ............ ................ ............... .............. .............. ............. 6 END-OF-CONTRACT REVIEW .............. .............. ................ ............. ................ .............. ............... .............. ................ .. 6

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BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A6 | Control of Contractors Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.6.1 Advise on the main considerations when appointing a contractor 1.A.6.2 Explain how contractor monitoring can contribute to the prevention of accidents and ill-health

Unit 5:

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Main Considerations When Selecting a Contractor Contractor Vetting to Assess Competence and Resources An occupier or employer must take care to choose a reliable contractor. There is no test laid down for selecting contractors, but you will appreciate the dangers which could follow if a contractor who is not competent to perform the task required is engaged, perhaps solely on the grounds that he is the cheapest to hire. This does not mean, of course, that because a contractor is able to quote a figure much below his competitors he is not competent. He may be very competent and also a shrewd businessman and it would be unsafe to rely on this test alone. Sometimes, however, people will set themselves up as being a ble to perform a specialised task but lack the necessary expertise.

Appointment of Contractors To ensure that the contractor chosen is capable of doing the work required safely, it is necessary to introduce procedures that will identify and cover key points. The following lists suggest an approach that covers all aspects of contractor hire (“HSE Guidance: Managing Contractors.” Available from the HSE). The Planning Stage Define the task(s) that the contractor is required to carry out. Identify foreseeable hazards and assess the risks from those hazards. Introduce suitable control measures to eliminate or reduce those risks. Lay down health and safety conditions specific to the tasks. Involve the potential contractors in discussions concerning the health and safety requirements. Choosing a Contractor Determine what technical and safety competence is required by the contractor. Ask the contractor to supply evidence of that competence. Supply information regarding the job and the site, including site rules and emergency procedures. Ask the contractor to provide a safety method statement outlining how they will carry out the job safely.

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Typical areas that would be checked prior to appointing a contractor would include: •

Training and Qualifications The employer must check what qualifications, with regard to the work to be carried out, the contractor’s employees hold and what additional training will be given. This might include site induction, specific task training, as well as any other training required by the client.

•

Membership of a Relevant Trade or Professional Organisation In this case, the employer would check whether the company, or employees of the company, are members of a recognised trade body or institute. Typical examples in the UK would include gas fitters who are on the “Gas Safe” register, and NICEIC for electrical installers. Chartered Membership of IOSH is often asked for with regards to appointment of health and safety consultants.

•

Documentation (Safety Policy, Method Statement, Etc.) Examples of the company’s health and safety documentation, such as the safety policy, risk assessments, method statements, etc. should be examined to ensure that the company has health and safety management systems in place.

•

Previous Experience Details of previous similar work carried out, including names/addresses, should be examined to enable the standard of work and the safety culture of the company to be verified by a third party.

•

Evidence of a Comprehensive Safety Management System Such evidence could include: records of safety inspections; audits along with risk assessments records; accident books; defect reporting procedures; records of maintenance (including portable appliance testing) for equipment to be brought on site; and appointment of safety personnel. These would all provide evidence of an active safety management system.

•

Adequate Insurance Provision It would prudent to check that company have public liability insurance in case something goes wrong and that the amounts insured are sufficient.

•

Previous Health and Safety Performance Details of any previous enforcement action would be useful. Any previous enforcement action for health and safety breaches should be asked for and disclosed. Similarly, any health and safety awards would reflect positively on previous health and safety performance, as would any employees holding health and safety qualifications. Another important indicator of past performance is accident history of the company, for example, reportable accident statistics, Incident Frequency Rates (IFRs), etc. Whilst past performance by itself will not give a full picture, it is a very useful indicator, in conjunction with the other issues, of how the company views health and safety.

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How Contractor Monitoring Can Contribute to the Prevention of Accidents and Ill-Health Simple failings in the control of contractors can lead to potential problems that may result in accidents or ill-health. Situations such as different workers coming onto the work site or nonapproved equipment being used have contributed to accidents in the past. It is, therefore, important that the contractors, who you have chosen carefully, are monitored whilst on-site to ensure that everything is going to plan, and that any potential problems are highlighted and dealt with. Suitable monitoring of contractors would include:

Effective Planning and Co-ordination of Contracted Work It is essential for clients and contractors to work together in respect of health and safety. This can often involve potential contractors in discussions concerning health and safety issues, prior to awarding the contract.

Planning The client-contractor relationship starts with a specification of the particulars of the task(s) that the contractor will be required to carry out. Clearly this is the responsibility of the client. Depending on the nature of the tasks, there may be specific health and safety issues to be addressed – the identification of foreseeable hazards and assessment of the risks involved, and the adoption of suitable control measures to eliminate or reduce those risks. The contract specification should make it clear who is responsible for these. One approach is for the client to lay down health and safety standards and conditions for the tasks in general terms, and for the contractors to provide not only the risk assessment for the work that they are going to carry out, but also a method statement of how they intend to do it safely. This itself may form part of the contract, or therequirements to undertake the assessment and have the method statement approved may be written into the contract.

During the Work Itself The client has a general responsibility in respect of the workplace where the contractor is working on the client’s own business premises, which is the general case for most forms of contract work. Thus, arrangements for ensuring the contractor complies with the established safe working practices in place must be made. This could be done, for example, by: Having a signing in and out procedure. Ensuring that the contractor provides a named site contact. Carrying out site induction training for all contractor employees. Ensuring appropriate levels of supervision. Where necessary, activities may need to be controlled by using a permit-to-work system. The client will also need to ensure that the contractor is working to the agreed safety standards and some form of checking on performance and review of procedures will probably be necessary. Any incidents involving contractors may needto be investigated and should always be reported. Attention must also be paid to the possibility of changes of circumstance – for example, new personnel being introduced.

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Ensuring that the Project Adheres to Schedule and Safe Systems of Work Where a project slips behind time, there is a possibility of a compromise in health and safety as the workers try to catch up on time, particularly if there are penalty clauses built into the contract. By working closely with the contractor, the client can: Ensure, as far as possible, that the project adheres to schedule; and Where slippage is a possibility, potential problems are highlighted and measures taken to reduce the risks. Another key part of the monitoring process is to ensure that the agreed safe systems of work, such as permits to work, are being followed by all contractors.

Identifying Previously Unforeseen Hazards Resulting from Contract Work It is not unusual, particularly during large projects, for things not to go exactly to plan. If, for example, work methods have to be changed or additional work has to be done this should be reported by the contractor to the client to allow another assessment of the work to be carried out. This assessment should determine the currency of the existing control measures and whether any more needs to be done to reduce the risk from the changes in work. Additionally, the work carried out by contractors may have more impact on the work in the surrounding area than expected and, for this reason, regular monitoring should be carried out to identify problems and to prevent the situation becoming dangerous.

Systems of Communication Perhaps the most important aspect of the client/contractor relationship is the effectiveness of the communication. The lines of communication and points of contact should be decided prior to the project beginning and this must be maintained to ensure the efficient flow of information. Regular monitoring will ensure that the system is working and allow for changes to be made if necessary, e.g. change of personnel, etc.

End-of-Contract Review It is good practice to hold an end of project review with both client and contractor representatives being invited to give their thoughts to how the project went. The review can be in the form of a checklist that is filled out, collated and any areas of contention discussed. A typical checklist could ask the following questions: Did the project achieve what it set out to do and was the work carried out satisfactorily? Were the information exchange procedures sufficiently effective? Were the welfare arrangements effective? Were there any complaints? (These could include complaints from either the clients’ employees or the contract organisations’ employees.) By carrying out the review, any problems that had not been resolved during the life of the project can be identified and recorded for future reference.

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Title

Page

Safe Systems of Work

SAFE SYSTEMS OF WORK .................................................................................................................................... 3 DEFINITION .............. .............. ................ ............ ................ ............... .............. .............. ................ ................ ...... 3 GOOD PRACTICE ................ ................ .............. .............. ............... ................ ............ ................ .............. ............... 3 VARIOUS DOCUMENT SYSTEMS AS PART OF THE SAFE SYSTEM OF WORK .............. ................ .............. .............. ............... ....... 3 DEVELOP A SAFE SYSTEM OF WORK ................................................................................................................... 6 IDENTIFICATION OF ALL THE TASKS AND ACTIVITIES TO BE CARRIED OUT............... ................ .............. .............. .............. ...... 6 JOB SAFETY ANALYSIS .............. .............. ................ ............. ................ .............. .............. ............... ................ ......... 6 CONTROLLING THE RISKS .............. ................ ................ ............ .............. ................. ............ ................ ................ .... 7 EVALUATE THE SAFE SYSTEM OF WORK .............. ................ ............... .............. .............. ................ ............. ................ .. 9 PERMIT-TO-WORK SYSTEMS ............................................................................................................................ 11 DEVELOPING A PERMIT-TO-WORK SYSTEM ................ .............. ................ ............. ................ .............. .............. ........... 12 BASIC PRINCIPLES .............. .............. ................ .............. ............... ................ ............ .............. ................. ............ 12 ESSENTIAL FEATURES OF A PERMIT-TO-WORK SYSTEM................ ................ .............. ............... .............. ................ ......... 12 AUTHORISATION ................ ................ .............. .............. ............... ................ ............ ................ .............. ............. 14

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BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A7 | Safe Systems of Work Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.7.1 Explain what is meant by a safe system of work 1.A.7.2 Develop a safe system of work 1.A.7.3 Evaluate a safe system of work 1.A.7.4 Explain how permit-to-work systems can contribute to the prevention of accidents and ill-health 1.A.7.5 Develop and apply a permit-to-work system

Unit 6:

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Safe Systems of Work A safe system of work is a formal procedure which results from systematic examination of the tasks of a working process in order to identify all the hazards and defines methods of working which eliminate those hazards or minimise the risks associated with them. The essence of the concept is that it is a system for dealing with the hazards. Based on the precise identification of hazards and assessment of risks for a particular task, job or process, the system comprises a comprehensive procedure for the way in which people may safely interact with each other, and with the materials, equipment and plant which form part of their work, so the risks are minimised. The procedure must be followed at all times in order to work safely in relation to the hazards. Safe systems of work are needed whenever hazards cannot be physically eliminated and some element of risk remains. This applies to any task involving any risk. Thus, there is a specified routine for changing the ink toner in a photocopier to avoid spillages and dust contamination, just as there are specific practices for the separation of cooked and uncooked meats in kitchens, and detailed procedures for the setting and detonation of explosives in a quarry. In all these situations, the safe system is essential to prevent accidents or other incidents.

Definition The Health and Safety Executive (HSE) in the UK defines a "system of work" as:

"The way in which work is organised and includes, for example, the layout of the workplace, the order in which jobs are carried out, or special precautions which have to be taken before carrying out certain hazardous tasks". Perhaps a good way of looking at it is to consider it as a planned, thought-out and systematic approach to both new and existing jobs.

Good Practice It is good practice, and in some countries a legal requirement, that all employers provide systems of work that are safe and without risks to health. In doing so, employers should provide safe work equipment; safe handling, storage, use and transportation of substances; proper information, instruction, training and supervision; a safe place of work; and a safe working environment, including welfare facilities.

Various Document Systems as Part of the Safe System of Work A safe system of work may be communicated orally, or by a simple written procedure or, in exceptional cases, by a formal permit-to-work scheme depending upon the complexity of the task(s) and the level of risk posed by those tasks. It is important to analyse each part of the task to ensure that all foreseeable hazards are identified. This will involve the following: Consider the preparation and authorisation needed at the start of the job. Ensure clear planning of job sequences. Include means of access and escape, if relevant. Consider the tasks of dismantling, disposal, etc. at the end of the job. Specify safe work methods.

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We should also be prepared to involve the people who will be doing the work. Their practical knowledge of problems can help avoid unusual risks and prevent false assumptions being made at this stage. In order to ensure the adequacy of the safe system it might be necessary to have formal documented systems using: method statements, procedures and permits-to-work.

Method Statements These are written in conjunction with a risk assessment for the task or operation. The method statement will make all those concerned with the task aware of the hazards and any safety precautions that need to be taken. A typical example of part of a method statement for a task involving working at heights would identify hazards such as falling people and falling objects. Methods of reducing the risks from these hazards might include: Providing and maintaining suitable means of access. Ensuring that safety equipment (e.g. harness) is worn at all times. Ensuring proper edge protection is provided and maintained. Suitable positioning of signs and barriers below where the work is being carried out. All debris to be disposed of by the use of chutes. All staff given information and training on these requirements. Method statements are often sequential operating instructions showing the operators what has to be done, in what order and with what tools and equipment. Many smaller construction and refurbishment related projects rely on the method statement as the principle documented system for the work to be carried out

Procedures These tend to be more detailed than method statements and give step-by-step instructions on how to carry out tasks, including what equipment to use and any safety issues arising at each stage of the task. Procedures are very much an accepted part of the working regime in many industries, particularly those that involve complex and high-risk operations.

Permits-to-Work The definition of a permit-to-work system is “a formal system that gives signed authority to carry out specific work”. A permit-to-work is part of a safe system of work, and is designed to be used when tasks with higher than normal risks are being carried out. In many industries, however, permits-to-work have been introduced for all operations and tasks and have, it could be argued, lost their impact. It is important that everyone understands which jobs require a formal permit-to-work. Permits-to-work should: Define the work to be done. Define the time limits for starting and completing the work. Say how to make the work area safe. Identify any remaining hazards and the precautions to be taken. Describe checks to be carried out before normal work can be resumed.

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Name the person responsible for controlling the job. Jobs likely to require a permit-to-work system include: Working in confined spaces. Hot work on plant containing flammable dusts, liquids, gases or their residues. Cutting into pipework containing hazardous substances. Work on electrical equipment.

Further explanation of PTW systems is given later in this chapter

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Develop a Safe System of Work Identification of All the Tasks and Activities to be Carried Out The process of developing a safe system of work essentially starts with a risk assessment, in that the hazards and risks involved in the various tasks that make up the work need to be identified. Appropriate controls need then to be formulated and introduced, such that the work may be effectively carried out, but in a safe way. This demands that there is a balance between the needs of the job and the safety controls that are applied, depending on the extent of the risk. Sources that can be consulted when developing a safe system of work are: Applicable legislation and codes of practice. Enforcement agencies. UK HSE guidance notes. Manufacturer’s information. Industry standards and trade association guidance. British, European, international and industry standards. Risk assessments. Job safety analysis. Inspection reports. Accident statistics/medical surveillance records. Professional bodies/journals. Company policy. Workforce. The development of safe systems of work rely on risk assessment outcomes. As explained in chapter 1A4 there are a number of approaches that can be taken to carry out the risk assessment.

Job Safety Analysis Some tasks will be relatively straightforward, and it will be fairly obvious what needs to be done to work safely. Other tasks will need much more thought. Job safety analysis is a technique which can be used to help the assessment and control process by providing a structured framework for considering all aspects of a given task. The technique for carrying out a job safety analysis is commonly known as SREDIM. The steps involved in this technique of analysis are: Select the task to be studied. Record the steps in the process. Examine the component parts of the task. Develop the safe system. Install the safe system. Maintain the safe system. We start with those tasks that have been identified as needing priority treatment but in time, the analysis should have included all tasks.

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In the case of a team activity, recording the steps in the process involves making a record of what each member of the team is doing. Any obvious hazards are noted. When examining the parts of the task that need to be done, it is usual to ask a number of questions: What is being done? Why is it being done? Who can do it? When does it have to be done? The questions are the same asthose asked during a method study. The answers enable the one who is doing the analysis to examine all parts of the process. It may be safer to do operations in a different order, or for different members ofthe team to be involved. Job rotation might be a simple method of sharing out tasks that involve ergonomic problems such as vibration or repetitive strain.

Identification of the Hazards Arising from the Tasks and Activities Put simply, this is looking for, and recording, anything that can cause harm (remember the definition of a hazard) in any of the stages of the task being analysed. This can vary from relatively simple issues such as trip hazards to complex issues that need input from specialists and may require advanced techniques such asHAZOP. Regardless of the level of potential risk, the hazard identification process must be carried out thoroughly to allow adequate control measures to be introduced. The safe system can then be developed and implemented.

Controlling the Risks The main purpose of a job safety analysis is to help determine a safe system of work. When considering the most appropriate control strategies, it is important to consider:

The Location of the Work Does the location of the work increase the risk from other hazards or introduce new hazards? The risk of being affected by fumes given off by welding will be increased if working in a confined space. People working at height are at risk of falling. If that work is carried out over water, for example, during bridge repairs, then there is the added danger of drowning should a worker fall. Many worksites pose hazards due purely to the location. Examples of this include: excavations, construction sites, road and rail repair sites, offshore workers, etc. It is, therefore, not difficult to see how important it is to consider the location of the work when carrying out a risk assessment/job safety analysis.

The Working Environment It may be necessary to make measurements to determine whether the working environment constitutes a hazard. Typical factors that may need measuring are temperature (including both heat and cold), light, humidity, noise and air contamination. Some of these factors may be due to the work location, whilst others are as a result of the work or process being carried out. In addition, weather conditions, can create an unpleasant (or even dangerous) working environment.

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Equipment When considering equipment, there may be two areas to consider: equipment that is being worked on, and equipment that is being used to complete the task. Whilst the first is commonly included in the risk assessment it is easyto overlook the latter. Work equipment must be suitable for use, i.e. suitable for the task being carried out, in the conditions in which it is being used. It must also be properly maintained. The use of unsuitable or poorly maintained equipment can create a hazard resulting in injuries from bruising to electrocution.

Materials

The term ‘materials’ covers an enormous range of substances and items that are used in all industries. They can range from photocopying paper to corrosive and flammable chemicals. When assessing the potential problems associated with materials, it is necessary to consider the following: •

Storage Issues to do with storage include: How is the material stored? Where is it stored? Is it hazardous? Is it flammable? Are spillage precautions needed?

•

Movement Issues to do with movement include: How is it moved (manual handling, mechanical handling)? Is it heavy? Is it stable? Is it hazardous? Does it need to be moved by trained personnel?

•

Use Issues to do with use include: Is it hazardous, corrosive, flammable, toxic? Does it give

•

off vapour, fume, gas or dust? Is it sharp, hot, cold? Does it affect atopic people? Disposal Issues to do with disposal include: Is it general waste? Is it special waste? Does it need to be disposed of by licensed waste disposal company? Is it segregated from full containers and packages?

People When assessing any work situation, it is the influence and involvement of people that will ultimately determine the level of risk present. If people use inappropriate equipment, or equipment that they have not been trained to use, the risk of injury increases. This also applies to the incorrect storage, movement, use and disposal of materials. By lifting loads that are too heavy or using hazardous materials without taking appropriate precautions, people expose themselves, and others, to the risk of injury and ill-health. By considering the above issues, any control measures introduced as part of a safe system of work are likely to be more effective.

Technical, Procedural and Behavioural Controls A safe system of work will involve all the elements of control that we identified in respect of the general hierarchy of control.

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Technical Controls Technical, or engineering, controls are those that are applied directly to the hazard itself in order to minimise the risk. This may involve fencing or barriers of different kinds to isolate workers from the hazard as far as possible, or fail safe devices incorporated into equipment to stop its operation if there is a fault. It is important for the system to recognise these controls since they often underpin the safety of the whole operation. Similarly, employees must recognise their importance and the need to ensure that they are operative at all times. Procedural Controls Procedural controls are those defined in the way in which work should be carried out in relation to the hazard. They will specify the exact tasks involved, their sequence and the safety actions and checks that need to be taken. Thus, there will be a set procedure for operating a grinding wheel, covering opening machine guards, checking for problems before changing the items being worked on, securing the new item and closing the guards before switching back on, and finally waiting until it is safe before opening the guards again. Often, the procedure will relate to the correct operation of the technical controls. In other instances, it will specify management checks that need to be made as part of the process. A less detailed system is the use of method statements. As discussed earlier in this Study Unit, these identify potential problems within tasks and measures to be taken to reduce any risk arising from them. Behavioural Controls Behavioural controls relate to how the individual operative, or groups of workers, act in relation to the hazard. These will relate to general points of good safety practice in the workplace – for example, not consuming drugs or alcohol, not hurrying or cutting corners, always reporting defects or faults, cleaning up spills, etc. – and to specific measures relating to the particular job, such as personal protective equipment.

Evaluate the Safe System of Work Performance monitoring is covered in detail in an earlier study chapter and it has significance here in relation to evaluating how well the safe systems of work actually helped to prevent or control the risks involved in work activities.

Active (Proactive) Monitoring The purpose of active (or proactive) monitoring is used to ensure that the controls put in place as part of the safe system are working and that they are adequate. This would include checking that: any engineering controls have reduced the risks to an acceptable level; procedural controls are being followed and records are being kept; and all workers are putting the training and information that they have received into practice. Based on the findings, remedial action can be taken where necessary. Another benefit of active monitoring is that it highlights any changes that may have occurred, and allows additional or amended control action to be taken. The most common types of active monitoring in the workplace are audits and inspections.

Reactive Monitoring Another method of evaluating the success, or otherwise, of a safe system of work is to have systems in place that allow comments and feedback on all aspects of the system. This allows

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workers, especially those directly involved with the safe system, to make comment on the effectiveness of the safe system and to identify problems and shortcomings with the system. Similarly, accident and ill-health records allow an analysis to b e made to determine whether the introduction of the safe system has had any effect on trends. The major drawback with this type of monitoring is that you are reliant upon others to provide information. Unless there is a very good culture of near miss reporting, you are waiting for an accident to occur, or for somebody to suffer ill-health before any meaningful data is produced. This may notcome happen and through you therefore blissfully unaware of potential problems that would have to light activeremain monitoring.

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Permit-to-Work Systems In many cases, it is impossible or extremely unrealistic to eliminate a risk totally. Even when the risk has been reduced, we are left with no alternative but to train someone in the skill to recognise the risks involved, and the knowledge of how to minimise them; and then, in effect, say, "Be careful". A procedural way of taking every precaution possible is to institute a permitto-work system. Please thataasafe "permit-to-work system" should not be mistaken for a "safe system work". note Rather, system of work may require a permit-to-work system toof be adopted as part of its overall systematic control of risk. The safe system of work should in itself be considered as part of the quality control procedures of an organisation. We can now turn to our examination of a permit-to-work system as an example of a systematic means of controlling risk. Whenever maintenance or other temporary work of a potentially hazardous nature is to be carried out within the plant, some sort of permit-to-work system is essential. Most accidents can be attributed in one way or another to humanerror. In order to achieve a high degree of safety, it is necessary to eliminate human error as much as possible by using a system that requires formal action. Permit-to-work systems try to ensure that formal action is taken by providing a written and signed statement to the effect that all the necessary actions have been taken. The permit must be in the possession of the person in charge of the operation before work can commence. Ideally, the control of permit-to-work systems throughout the company should be the overall responsibility of one person. That person should possess the ability to appreciate the existence of hazards and have knowledge of the means of eliminating them. He/she must have the necessary authority to instruct responsible people in the organisation to make safety recommendations on matters requiring their specialist knowledge. The person responsible must also have authority to co-ordinate the efforts of everyone concerned with the provision of safe working conditions. In the event of a permit being issued, he or she must ensure that everyoneconcerned understands the terms of the permit and follows its instructions down to the smallest detail. These provisions should be extended to any outside contractors taking part and it must be made clear that their employees must not in any circumstances begin work until the safety precautions and procedures have been fully explained to them.

What is a Permit-To-Work? Put simply, a permit-to-work is a form that, when completed, identifies specific work that is to be done. The permit should identify hazards associated with the task and precautions to be taken. It should also stipulate start and finish times of the permit, and be signed by the issuer and the person responsible for accepting the permit, both on issue and hand back. Different types of permits-to-work are used dependant upon the task to be carried out. Typical examples of common permits are those used for: working at height; entry into confined spaces; excavation work; hot work; working on electrical systems. When completed and signed, the permit becomes a formal document that stipulates how the work must be carried out.

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Permits-to-work are used when non-routine or high-risk work is to be carried out. The purpose is to ensure that all aspects of the work have been considered, and that safety precautions have been put in place.

Developing a Permit-to-Work System Basic Principles Four main principles need to be observed for the operation of an effective permit-to-work system. These are: hazard evaluation, precaution planning, instructing the supervisors and issuing the permit.

Hazard Evaluation This entails recognition of every type of hazard that may be encountered, and then devising the means of eliminating or overcoming them. The best way of achieving this in the long term is by the introduction of a hazard appraisal programme, by means of which it is possible to formulate a very long-lasting system of precautions. A major problem may be that work is frequently performed under emergency conditions and little time is then available for a detailed appraisal to be made.

Precaution Planning All planning associated with the permit must be carried out by a competent person, who should have sufficient detailed knowledge of the hazards of the process or plant that he or she can formulate the plan properly. The person must have the necessary position of authority for his or her instructions to be recognised and complied with. He/she should also have an adequate knowledge of the legal requirements, and of technical terms such as “isolate”, “lock off”, and “blank off”, as they apply to the permit-to-work system.

Instructing the Supervisors It is of paramount importance that those people responsible for the work should be carefully briefed by the person issuing the permit. The instructions in the permit must be fully understood, and this can best be achieved by direct questions and answers to supplement the written word.

Issuing the Permit The permit, which should be completed and signed by the issuer, must be given to the person in charge of the work (who signs for it). Sufficient copies must also be given to plant or site management and supervisory staff who may be involved, especially where it is necessary for them to be kept informed of work progress. An additional copy of the permit should be exhibited nearby during the time it remains in force.

Essential Features of a Permit-to-Work System Initial Steps to be Taken Before work is commenced, the following general safety precautions should be observed where applicable: Electrical or mechanical isolation of the plant. Isolation of the machine or equipment area. Locking or blanking off of water, steam, acid, gas, solvent, and compressed air supplies. Erection of scaffolding.

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Provision of temporary guards (or other like equipment) to make the job safe.

Application of Permits Permits must be specific about the type of work and the location covered, and the hazards identified and necessary precautions to be taken. Signatures must be obtained to confirm that the necessary work has been carried out at each stage. The following list identifies all the typical elements that are commonly included on a permit-towork form: Permit title. Permit number. Reference to other relevant permits or isolation certificates. Job location. Plant identification. Description of work to be done and its limitations. Hazard identification, including residual hazards and hazards introduced by the work. Precautions necessary – details of all precautions to be taken, including isolation, necessary for the job to be done safely. Completion of these must be confirmed by each person who carries them out. Protective equipment necessary when undertaking the work. Authorisation – signature of the manager releasing the plant for the job and confirming that isolations have been made/precautions taken, except those which can only be taken during the work. Date and time duration of the permit. Acceptance – signature confirming understanding of the work to be done, the hazards involved and the precautions required. This should also confirm that the permit information has been fully explained to all workers involved. Extension/shift handover procedures – signatures confirming that checks have been made to ensure that the plant remains safe to be worked upon, and that the new acceptor/workers have been made fully aware of the hazards and precautions. Where an extension to the work is involved, a new expiry time for the permit must be given. Hand-back – signatures, with time and date, of both the permit acceptor and issuer confirming that all the procedures have been carried out correctly, the work has been completed and the plant is ready for testing and recommissioning. Cancellation – signatures, with time and date, certifying that the work has been tested and the plant satisfactorily recommissioned, and that it has been accepted back in a safe condition for production to recommence.

Note that these elements will vary dependant on the nature of the task and processes involved.

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Authorisation Instructing Supervisors and Operators Ideally, the control of permit-to-work systems throughout the company should be the overall responsibility of one person. That person should possess the ability to appreciate the existence of hazards and have knowledge of the means of eliminating them. He/she must have the necessary authority to instruct responsible people in the organisation to make safety recommendations on matters requiring their specialist knowledge. The person responsible must also have authority to co-ordinate the efforts of everyone concerned with the provision of safe working conditions. In the event of a permit being issued, he or she must ensure that everyone concerned understands the terms of the permit and follows its instructions down to the smallest detail. These provisions should be extended to any outside contractors taking part and it must be made clear that their employees must not in any circumstances begin work until the safety precautions and procedures have been fully explained to them. It is of paramount importance that those people responsible for the work should be carefully briefed by the person issuing the permit. The instructions in the permit must be fully understood, and this can best be achieved by direct questions and answers to supplement the written word.

Issuing the Permit The permit-to-work form must help communication between all parties involved. It should be designed by the company issuing the permit, taking into account individual site conditions and requirements. Separate permit forms may be required for different tasks, such as hot work and entry into confined spaces, so that sufficient emphasis can be given to the particular hazards present and precautions required. However, the number of permits issued should be kept to the minimum conducive to the efficient manning of the plant. The permit, which should be completed and signed by the issuer, must be given to the person in charge of the work (who signs for it). Sufficient copies must also be given to plant or site management and supervisory staff who may be involved, especially where it is necessary for them to be kept informed of work progress. An additional copy of the permit should be exhibited nearby during the time it remains in force.

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Title

Page

Personal Protective Equipment

MAIN TYPES OF PERSONAL PROTECTIVE EQUIPMENT....................................................................................... 3 HEAD .............. ............... ................ ............ ................ ............... .............. .............. ................ ................ ............. 3 HEARING .............. ................ ................ ............. ................ .............. ............ ................. ................ .............. ......... 4 EYE AND FACE PROTECTION .............. .............. ................ ............. ................ .............. ............... .............. ................ .. 4 RESPIRATORY TRACT ................ .............. ................ ............. ................ .............. .............. ............... ................ ......... 5 LOWER LIMBS AND FOOT PROTECTION .............. .............. ................ ............. ................ .............. .............. .............. ...... 6 HAND AND ARM PROTECTION .............. ................ .............. ............... .............. ................ ............ ................. .............. 7 PROTECTIVE CLOTHING FOR THE BODY .............. .............. ................ ............. ................ .............. .............. .............. ...... 8 ASSESSING THE SUITABILITY OF PERSONAL PROTECTIVE EQUIPMENT ......................................................... 10 PPE AS PART OF THE CONTROL STRATEGY ............. ................ ................ ............. .............. ................ ............. .............. 10 SELECTION AND CHOICE ................ ............... ................ ............ .............. ................. ............ ................ ................ .. 10 PPE ASSESSMENT .............. .............. ................ .............. ............... ................ ............ .............. ................. ............ 13 BEST PRACTICE REQUIREMENTS FOR THE INSPECTION, TESTING AND MAINTENANCE OF PERSONAL PROTECTIVE EQUIPMENT ................................................................................................................................. 14 INSPECTION – BEFORE ISSUE AND AT REGULAR INTERVALS................ ............... ................ ............ ................ ............... ..... 14 RELEVANT SPECIFIC TESTS – AND RECORDS ............... .............. ................ ............. ................ .............. .............. ........... 14 CLEANING AND MAINTENANCE ................. .............. ................ ............ ................ ............... .............. .............. ........... 14 PROPER PLACE FOR, AND MEANS OF, STORAGE .............. ................ ................. ............ ................ .............. ............... ..... 15 REPLACEMENT OF CONSUMABLE PARTS – SUCH AS FILTERS AND BATTERIES ................ .............. ................ ............. ................ 15 REPLACEMENT OF DAMAGED, LIFE EXPIRED OR WORN OUT EQUIPMENT ............... ................ .............. .............. ............... ..... 15 SYSTEM FOR REPORTING FAULTS AND OBTAINING REPLACEMENTS AT ALL TIMES ............... ............... ................ ............ ........... 16 THE PROVISION OF INFORMATION AND INSTRUCTION ON THE USE OF PPE ................................................. 17 EMPLOYERS, PPE USERS, AND MANAGERS AND SUPERVISORS .............. .............. ................ ............ ................ ............... ..... 17

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BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A8 | Personal Protective Equipment Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.8.1 Describe the main types of personal protective equipment 1.A.8.2 Assess the suitability of personal protective equipment 1.A.8.3 Advise on the best practice requirements for the inspection, testing and maintenance of personal protective equipment 1.A.8.4 Advise on the best practice requirements for the provision of information, instruction and training on the use of personal protective equipment

Unit 7:

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Main Types of Personal Protective Equipment Definition of PPE PPE covers all equipment (including clothing affording protection against the weather) which is intended to be worn or held by a person at work, and which protects against risks to health and safety. Organisations must or reduce theofrisk by someworkers other means before PPE. Where there are no eliminate other effective means protecting PPE must be resorting provided to and used correctly. Steps must be taken to control risks at their source to prevent the need for PPE, since: PPE only protects the wearer, whereas controlling at source protects everyone. Theoretical maximum levels of protection are seldom achieved in practice – protection may not be adequate. PPE restricts the wearer and increases the risk. The following section discusses the parts of the body that are often harmed during work processes and outlines the typical items of PPE used to protect against the hazards:

Head There are four widely used types of head protection. These are: Industrial safety helmets for protection against falling objects or impact with fixed objects. Industrial scalp protectors (bump caps) that can protect against striking fixed objects, scalping or entanglement. Crash helmets, cycling helmets, riding helmets and climbing helmets that are intended primarily for protection from falls. Caps, hairnets, etc. which protect against scalping and entanglement. When activities involve a risk of falling objects, or where the risk of falling objects and impacts has been identified, head protection may be required. The following list includes some areas in which head protection may be required: Building work on or underneath scaffolding and elevated work places. Demolition work. Work on large plant, boiler plants and mast, tower or other high level activity. Work in pits, trenches and shafts. Work near cranes or hoists. Tree felling and tree surgery. In selecting head protection, the helmet should: Be an appropriate size for the wearer. Have an easily adjustable headband and straps.

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Be made comfortable by having a flexible headband, an absorbent and easily cleanable sweatband and textile cradle straps. The chinstraps should be fitted with quick release buckles, made from non-irritant material and be compatible with other PPE.

Hearing There are three main types of hearing protection: •

Ear Defenders or Earmuffs These completely ear. outer The main of the ear over defenders orand muffs is generally made of cover a hardthe plastic shell structure that fits completely the ear is then cushioned with a viscous liquid or a soft plastic inner. Each ear defender is linked to the other by a band that is usually placed over the head and enables ease of removal and application, as required. The ear defenders or muffs can also be an integral part of hard hats to enable compatibility of these two required types of personal protective equipment.

•

Earplugs These are inserted into the ear canal and are made of an absorbing acoustic material. Earplugs can be provided with a band so that they may be worn around the neck when not in use to prevent loss, as well as to stop them getting dirty whilst still required. The earplugs can be disposable (used and thrown away straight after one use), re-usable (used for a short number of times and then disposed of) or permanent (used for an indefinite but not unlimited time, as they will have a time limit within which they will be safe and effective).

•

Semi Inserts These are also called canal caps. They cover the entrance to the ear canal only.

There are a number of considerations that should be taken into account when choosing ear protection. Some of these are as follows: Where they are to be worn. Who will be wearing them and for how long. The level of noise and the degree of protection required. The comfort and fit, along with ease of use. Compatibility with other personal protective equipment.

Eye and Face Protection Eye protection would be provided to guard against: hazards of impact, splashes from chemicals, liquid droplets, dust, welding arcs and light from lasers. Types of eye protectors include: safety spectacles, goggles, welding filters, eye shields, face shields and hoods, and those that fit over ordinary spectacles. Examples of when eye protection could be appropriate include: Handling or coming into contact with cleaning and other substances that may be acids, alkalis, corrosive or irritants. Working with power driven tools or static workshop machinery where there is a risk of metal or wood chippings, or other material being ejected from the machine or the power tool. Undertaking any welding operations where optical radiation is emitted at levels liable to cause injury to the eyes.

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Any work in which dust or fumes that could be injurious to the eyes are produced. Any work in which gases are used under pressures in excess of normal atmospheric pressure. When selecting suitable eye protectors, the type of hazard to be encountered will be of paramount importance. The eye protectors must be comfortable, and durable. By involving the wearer in selection and fitting, the eye protectors are more likely to be worn regularly. Safety spectacles may incorporate side shields, especially during the use of chemicals, dusts and fumes, welding operations and gases under pressure. The overall appearance of safety spectacles is similar to ordinary spectacles, and the protective side shields can be clipped on to the sides of normal corrective glasses (prescription glasses). The selection of the lens material will depend on the type and level of protection required. Different quality and lens resistance material will be required for protection against impact from flying objects, as compared to that required for chemical splashes. Eye shields are heavier than safety spectacles and ‘wrap’ round the facial contours. They may be worn over prescription spectacles. Safety goggles are more often less convenient thansafety spectacles. They do, however, provide a high degree of protection, as they protect from all angles and may have toughened lenses. Misting may be a problem with safety goggles; ventilated types can be obtained to decrease this problem. Face shields are usually attached to a headband and extend down to cover the whole area of the face. When selecting this type of protection, the bottom edge should extend below the chin, and care should be taken when looking up that splashes can not go up inside the shield. Face shields are generally not the best means to protect against dusts, mists or gases, as these can permeate under and around the face shield, and enter into the facial area in this way.

Respiratory Tract RPE is specifically Respiratory Protective Equipment only. RPE is designed to be worn in a contaminated atmosphere and is designed to provide the user with a supply of air which is safe to breathe. It can be divided into two major classes based on the principle by which protection is given to the wearer. The two classes are: •

Respirator (Filtering Device) A respirator usually filters or cleans contaminated air from the workplace before it is inhaled by the wearer. Respirators are not suitable for use in an immediately dangerous to life environment, including oxygen-deficient atmospheres, as they do not provide a separate air supply to the user.

•

Breathing Apparatus (BA) Breathing apparatus (BA) delivers breathable air or oxygen to the wearer from an uncontaminated, independent or separate source. BA may be suitable for immediately dangerous to life environments, including oxygen-deficient atmospheres, as a result of this independent air supply.

Within both these classes there are further important subdivisions and, as there are many types of RPE, great care needs to be taken when choosing the right equipment for a particular situation. Both the above classes of RPE (Filtering Devices and BA) are available with a range

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of different face pieces. There are, however, some important limitations. The different types of face pieces include: •

Tight-Fitting Face Pieces These include: filtering face pieces, half and full-face masks. This type of face piece relies heavily on a good seal between the mask and the wearer’s face. Full-face masks and half masks can be used for both classes of RPE.

•

Loose-Fitting Face Pieces These include: hoods, helmets, visors, suits, etc. This type of face piece relies on enough air being provided to prevent the contaminant leaking into the face piece as the wearer breathes and moves around. They are only used on powered respirators or with suitable BA. Loose-fitting devices that rely on the breathing action of the wearer to draw air are not suitable as RPE.

•

Mouth Pieces These are used with some equipment but there are few, if any, working situations where the HSE would consider a mouthpiece to be suitable. There are limitations to mouthpieces, as they can create issues such as: −

Making any form of verbal communication impossible.

−

Leaking whilst in operation.

−

Needing to be used in conjunction with a nose clip, which is uncomfortable to wear. In addition, should the nose clip be dislodged during use, the wearer may inhale the contaminated atmosphere.

Lower Limbs and Foot Protection Lower limb protection incorporates layers of loosely woven, long, synthetic fibres which, for instance, would provide protection in the case of knives, or in the event of contact from a chain saw, where the fibres are drawn out and clog the saw sprockets, causing the chain saw to stop. Leg wear is usually available with all-round protection or with protection only for the front of the legs. The leg wear with all-round protection obviously provides the greatest protection for users. Types of footwear usually include: safety shoes, safety boots, clogs, foundry boots and Wellington boots. These may additionally have: Protective metal toecaps. A metal insert in the front of the shoe to protect against damage to the toes from objects falling onto the foot. Chemically resistant properties. Waterproof properties. Over shoes or covers for outside shoes, for example, worn over outside shoes in food preparation and pharmaceutical areas. Heat resistant and shock absorption (clogs are traditionally made from beech wood which provides this type of protection). Anti-static properties if there is a risk of static electrical discharge in a flammable atmosphere. Protective footwear would normally be required in the following activities:

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Construction work and demolition activities, where there is a foreseeable risk of objects being dropped on the feet, or of standing on items that would pierce normal shoes or boots. Manual handling and handling tasks (which may additionally involve the use of forklift trucks) where there is a risk of dropping items or of having the feet run over. In flammable atmospheres, where anti-static footwear will provide protection. Where corrosive chemicals are used for cleaning, the footwear must be resistant and impermeable to chemical attack. Working with chain saws. The selection of foot protection will depend on the hazard. Comfort, style, correct fit and durability will also be factors that should be taken into account. The main factors to take into consideration when making the selection are: Soles should be slip resistant, heat and oil resistant, and cold resistant, for example, in cold environments like refrigeration work. In addition, they should be moulded or bonded to the upper of the shoe, and fitted with steel mid-soles where there is a risk of the foot being pierced by treading on or coming into contact with nails or other sharp objects. Steel toecaps should be capable of resisting a heavy sharp object falling from a height. Boots and shoes must comply with any relevant recognised standards. If work is undertaken in wet places, then waterproof safety footwear is imperative. Whilst rubber and PVC are suitable waterproof materials, the feet are not allowed to breathe. Breathable materials are more expensive but may be worth considering.

Hand and Arm Protection Gloves are available to protect against: Cuts and abrasions. Extremes of temperature, hot and cold. Skin irritation and dermatitis. Contact with corrosive or toxic liquids. Infection from bodily fluids and infected material (e.g. Weil’s Disease, which can be contracted by touching objects covered by infected rat’s urine). The effects of vibration (e.g. when using power tools, diggers, etc.). Barrier creams are not a suitable alternative to gloves, but may be used as an extra protection. The type and degree of protection afforded by the gloves will depend on the material and the method of construction. Gloves may be required in the following activities, for the reasons suggested: During manual handling operations, gloves will give protection against sharp, abrasive or pointed objects. Caution should be exercised when wearing gloves near moving equipment since the gloves could be caught in the equipment and entrap the hand. Using special gloves can lessen vibration white finger and other hand damage caused by the use of vibrating equipment.

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Outdoor and construction work, particularly in inclement weather, will affect the hands, and may increase the likelihood of objects being mishandled and dropped. Gloves worn for outdoor activities must be non-absorbing, remain supple in a range of temperatures, and provide protection against the objects being handled. When working with chemicals, specialist gloves will help to prevent burns, dermatitis and irritation resulting from the chemical properties that, if in direct contact, may cause a reaction in the individual exposed. Suitable will afford protection against hot or cold materials and work involving open flames orgloves welding. Gloves should be worn when toxic or corrosive materials are handled, for cleaning up spillages, or mixing and handling pesticides. Gloves must be used in dealing with body fluid spillages. In selecting gloves and other hand protection, the gloves must be capable of giving protection against the hazards, be comfortable and fit the wearer. Selection should be made on the basis of ensuring the correct level of protection, compatibility with other personal protective equipment, and compatibility with the type and nature of work and the requirements of the user. Manufacturers’ instructions should always befollowed in respect of the gloves used and the level of protection required. A suitable risk assessment will identify the reason for the protection and allow the appropriate glove to be selected. Poor glove selection could lead to loss of dexterity and feeling; overheating of the hands and the possibility of employees removing of the gloves whilst carrying out a hazardous operation. Other parts of the body, equipment or furniture should not be touched when wearing protective gloves, since contamination will be transferred. Finally, as with all forms of PPE, it is essential that gloves should enable the wearer to conduct their job more safely, and not create further hazards.

Protective Clothing for the Body Protection for the body will be provided by a range of clothing dependent on the hazard that may be a risk to health and safety. The types available are: Coveralls, overalls and aprons for protection against hazardous substances. Outfits for protection against extremes of temperature. Full body suits to protect against chemicals, radiation, etc. Specialised clothing for protection against machinery such as chainsaws. The selection of protective clothing is dependent on the hazard from which the operative requires protection. Chemicals Protection against low-risk chemicals will be given by wearing coveralls or laboratory coats made from cotton or synthetic materials that have been treated with a water repellent finish. Strong solvents, greases and oils will require the donning of a heavier level of protection, such as rubber aprons. High-risk chemical usage may require the provision of chemical suits which are vapour proof or liquid and splash proof. Specialised training in the use of these suits will be required. Vapour suits may be needed for protection against hazardous vapours.

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Weather and Temperature Extremes PVC coated jackets, trousers and leggings will offer protection against rain. Breathable waterproof fabrics will keep out water and allow body perspiration to evaporate. Specialised suits are available for extremes of temperature in the order of -25° C to - 50° C. Limited protection will be provided by quilted and insulated coats and body warmers, which should cope with normal extremes in the climate. Specialised suits are available for protection against extreme heat arising in working conditions.

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Assessing the Suitability of Personal Protective Equipment PPE as part of the Control Strategy Personal protection involves the use of systems designed to be used by personnel to help reduce the possibility of harm that may occur from the hostile environment in which they are working. This is called a safe person strategy. Ideally, the safe person strategy is a second line of defence against a potential hazard. Control at source or the safe place strategy should be the safety professional's first aim. However, there are situations where personal protection is the only valid method to deal with a particular hazard, e.g. when the cost of controlling the hazard at source is high and the time required for protection is short. Classic situations that typify these conditions are: Work involving planned maintenance, e.g. during plant shutdowns or delagging asbestoscovered boilers. Failure of primary safety systems or emergency situations, e.g. a chemical leak from a totally enclosed plant, or exposure to a smoke-filled building during a fire. As a generalisation, personal protection should not be required during normal working. There will be some exceptions to the rule, however; protective footwear, headgear, hand protection and special clothing are worn during most, if not all, of the working time in some cases. The use of such equipment often continues when the protection is not required, e.g. protective footwear.

Selection and Choice The two main considerations to be taken into account when choosing personal protection are the type of protection required and the level of protection. A number of factors will be taken into consideration when selecting suitable PPE, including:

Risk Being Controlled The type of protection selected must obviously reduce therisk from a particular hazard. To assess the effectiveness of the equipment, it is important to have a full understanding of the hazard under consideration. For example, before protective footwear is selected for use in a chemical environment, the corrosive or solvent nature of the substances encountered must be known, in order that the materials used will not be adversely affected. Another example is where respiratory equipment is to be chosen. In this case, airborne concentration must be known. This point is also closely linked to the performance level of the protection. Personal protection must be able to reduce the hazard to an acceptable level. For example, respiratory equipment must become progressively more efficient as you move from nuisance dusts to asbestos fibre. This again leads to the level of exposure to the hazard that can be tolerated. For instance, the eyes must be protected fully from projectiles and the outer skin from contact with phenol or hydrofluoric acid.

Level of Protection and the Individual The level of protection given by personal protection is not simply a function of the efficient performance of the equipment, although that does constitute a major part of its effectiveness.

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To achieve the necessary level of protection for any PPE, it is important that it fits the user correctly. The word ‘personal’ in personal protective equipment becomes relevant here. As we all know, not everybody is built the same, so it follows that when buying PPE it must be with each individual in mind. The material that the PPE is made from must also be considered, not just from a comfort point of view but also from a health perspective. An allergy to latex is very common these days, and exposing susceptible employees to it can cause severe allergic reactions.

Compatibility Another consideration when selecting PPE is whether the wearing of the PPE will interfere with or impede the use of other equipment. Consequently, it is necessary to assess the situations under which the PPE will be used, and to determine the effectiveness of it when used with other equipment. Typical examples of where problems may arise are: the wearing of ear defenders and hardhats together, or the use of lifejackets with harnesses. The danger is that wearing two pieces of PPE on the same part of the body will render one (or both) ineffective. It is also important that PPE should be compatible with the work to be done, and should not hinder the work being done. For instance, head protection worn in the food industry will need to be compatible with hygiene requirements.

Durability Durability carries the implication that the PPE must endure for the period for which protection is required, or for which it will be worn. The selection of PPE depends primarily on the hazard against which it is designed to protect, but matters such as durability should be taken into account. The material of construction of the PPE will obviously affect its durability. For instance, gloves that might be suitable to protect the skin from detergent will not be durable enough for working with certain chemicals or chlorine.

Consultation

In line with the general requirement to consult the workforce on matters regarding health and safety, there should be a process whereby the selection of PPE can be discussed. This will enable the workforce, or their representatives, to have the opportunity to give their opinion and assist in the selection procedure. The main benefit of this is that employees are more likely to use PPE, and use it correctly, if they have been involved in the selection process. It will also make it easier for the responsible person to choose the most suitable PPE if they make use of feedback from staff, in other words, from the people who will actually use and wear the PPE.

Personal and Workplace Factors The selection of PPE must bemade with the individual in mind. There may be many physiological reasons why certain PPE is not suitable for a particular individual. These may include factors such as: wearing spectacles, having a beard, physical deformities and ailments and illness. For example, a person who suffers from a respiratory illness should not be made to wear breathing apparatus. There may be instances where the requirements of the workplace run contrary to the ability of individuals to wear certain PPE. In these circumstances, the individual may be excluded from certain areas and processes or prohibited from entering the workplace. An example of this prohibition would be at a refinery where the growing and wearing of beards is forbidden due to the need, in case of emergency, to wear an escape set.

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Management commitment must be seen to be positive by means of obvious involvement in any protection schemes and support for re-training schemes; awareness of updating of equipment and its introduction when the upgrading has been verified; backing of disciplined supervision; and a demonstration of sufficient concern about the use of personal protection by looking for possible ways which would allow safe place strategies to be developed.

Supervision of Use The supervision of use of PPE is an important management function, as it is the prime duty of managers to seebe that persons are adequately protected by are the not equipment supplied to them. The users must adequately supervised to see that they losing the protection that the equipment affords. Removal of respirators or ear protection now and again for a quick ‘breather’ can soon reduce the effective protection of the equipment to such a low level that irreversible damage is produced.

Wearer Acceptability In the final analysis, it is whether or not users can wear personal protection without an unacceptable level of discomfort that will decide the level of protection given by the system. If the equipment causes problems then irrespective of its efficiency, level of maintenance, training or supervision, some way will be found by the user to relieve the discomfort. Where there is an awareness of a degree of risk, then fear of harm will override discomfort. This will apply only to situations where an acute response is known to result from exposure. When long-term effects are involved, then the fear of exposure is often reduced and people will be prepared to take risks.

Cost There are number of issues related to cost. The first is to do with reasonable practicability. The higher the risk posed by a hazard, the less that cost can be considered when deciding upon suitable control measures. To provide PPE instead of more suitable control measures on cost grounds would be unacceptable, and would probably not meet the duty of reasonably practicable. On the same issue, there are many standards of PPE available in the market place, and this is reflected in the price. Whilst some PPE can be obtained very cheaply, it may not offer the protection needed. PPE should only be provided as a last resort where better alternative measures cannot be implemented. Where PPE is required, the financial responsibility should be held with the employer.

Disadvantages of PPE As well as the previously discussed drawbacks of using PPE as a primary control measure rather than controlling residual risks following the introduction of other controls, there is often also reluctance on the part of the employee to wear it. This could be due to a number of factors, including: It can be cumbersome. It can be uncomfortable and hot. It can impair movement. It can impair tactility. It can impair vision and hearing.

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These issues are commonly raised by users when asked about the problems with wearing PPE. If they prevent people from wearing PPE or removing it, then any protection offered by the PPE is lost. This is perhaps as good a reason as any to try and reduce risks in the workplace as far as possible with control measures other than PPE.

PPE Assessment The purpose of an assessment is to ensure that the employer chooses PPE which is correct both for the risks involved and the circumstances under which it is to be used. Steps should be taken by employers to enable them to identify suitable PPE. When choosing PPE, it is important to have an idea of the level of risk against which people are being protected. This will help in choosing suitable PPE since the performance required by the PPE can be estimated. When choosing PPE, the two key elements to consider are: What risks need to be protected against? Which parts of the body need to be protected? For example, consider the issue of assessing eye protection needs. Firstly, it is necessary to identify the hazard(s) present – these may be dust, liquids or projectiles. Secondly, the degree of risk should be determined – how much dust is airborne, how much liquid is being splashed, what is the size and velocity of potential projectiles. This will allow the employer to choose eye protection that is suitable for the hazard and risk. For example, eye protection that is suitable against chemicals may not offer protection against impact. The type of PPE chosen should conform to a recognised standard. In Europe, this would be equipment marked with the “CEmark”. This should ensure that the chosen equipment will offer the level of protection required provided that the nature and demands of the job have been taken into consideration. This will involve: The physical effort associated with the job. How the work is to be carried out and what it involves. The length of time the PPE needs to be worn. The requirements for, and restrictions on, communication. In summary, a suitable assessment should consider: Area of body to be protected. Risk being controlled. Level of protection needed . Durability. Conformity with relevant standards. Fit. Comfort. Compatibility with other equipment.

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Inspection, Testing and Maintenance of Personal Protective Equipment Inspection – Before Issue and At Regular Intervals In general, PPE should be examined to ensure that it is in good working order before being issued to the wearer or, if appropriate and competent to do so, the wearers themselves can examine the PPE (gloves, goggles, etc). PPE should also be examined before it is actually put on each time, and should not be worn if found to be defective or if it has not been cleaned. Examinations should be performed by competent persons in accordance with the manufacturer’s instructions. Some PPE will be provided on a personal basis, and some may be used by a number of people, and an appropriate inspection system will need to be devised for each individual situation, by a competent person. Simple maintenance and inspections may be suitable for the wearer to perform, but more intricate inspections should be performed by a relevant competent person. Defective PPE should be reported immediately to the governing supervisor for replacement.

Relevant Specific Tests – and Records Manufacturers often specify maintenance schedules and instructions for their PPE. This includes recommended replacement periods and the shelf life of the equipment, both of which should be followed. Some pieces of PPE require formal and specific testing (e.g. respirators, harnesses, life-jackets), and these must be performed at the required times, and by a trained and competent person. Records must be retained for all formal inspections on such types of PPE.

Cleaning and Maintenance Cleaning and maintenance of personal protective equipment is paramount to ensuring it lasts its lifetime and provides the protection that it is designed to give. This can be aided by the following: Good storage facilities out of direct heat and sunlight. Having a regular visual inspection for signs of damage. Having defective harness components replaced when necessary. Regularly cleaning areas that are prone to sweat and grime. With respect to head protection, it is important that the sweatband is cleaned and replaced as required. Replacement of the whole head protection unit will be needed when: the shell has received a severe impact, deep scratches occur, the shell has cracks visible to the naked eye, or it has reached its obsolescence deadline. Maintenance of eye protection will involve regular cleaning of the lenses since dirty lenses will restrict vision and could lead to accidents. Regular wet cleaning should be undertaken, followed by thorough drying with a soft cloth. Some materials used for lenses may need extra care to avoid scratching. Eye protectors should be issued on a personal basis. They should be protected by being placed in suitable cases when not in use. Scratched or pitted lenses must be replaced to prevent vision impairment and to ensure that their resistance to impact is not reduced. Face shields must be replaced if they become warped, scratched or brittle with age.

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Safety footwear should be checked regularly and maintained in good condition. It may be sufficient to use a good quality waterproofing material when the footwear is first used, with subsequent applications of polish suitable for the material from which the protective footwear is made, and that does not affect or diminish the protective properties it provides. Any material that adheres to the footwear and any items embedded in the ridged soles should be removed. Laces should be checked and replaced as necessary, and footwear should be discarded if worn or deteriorated to any extent. Glove maintenance will involve correct application, removal and storage. Regular checking will identify when the gloves should be replaced due to deterioration. Gloves should be cleaned after use according to the manufacturers’ instructions. Steps should be taken to minimise contact between the gloves and any chemicals used, even if the material from which the gloves are made provides the level of protection required. Prolonged chemical contact may lead to deterioration in the protective capabilities of the material. Protective clothing should be maintained in good condition and checked regularly. Cleaning and repair may be required from time to time, but care must be taken so as not to ruin the protective properties of the clothing. If clothing becomes damaged, it should be discarded.

Proper Place For, and Means of, Storage Proper accommodation is required to ensure that PPE is safely stored when not in use. Accommodation may simply be pegs on the wall for weatherproof clothing or safety helmets, or boxes in which to place gloves, hairnets, etc. The place and means of storage does not need to be fixed to one place, as safety spectacles may stay with the user in a suitable protective casing. However the PPE is stored, it must be adequate to protect the PPE from: contamination, loss or damage, harmful substances, damp, sunlight and harmful light. PPE may be contaminated as a result of the activities it is required for and, if so, the accommodation must be separately provided from ordinary clothing or other non-contaminated PPE and, where necessary, be labelled as such. If the PPE contains hazardous materials (radiation, asbestos, etc.), it may require specialist arrangements.

Replacement of Consumable Parts – such as Filters and Batteries Employers should replace parts such as batteries and filters (e.g. on respirator equipment) as required for their safe and efficient use due to the parts’ very nature. The importance of each part’s role in the functioning of PPE, and its ability to perform protective functions effectively must be taken into account. For instance, filters will need to be in good condition to perform effectively; batteries must be in good working order to be able to supply sufficient means to start and maintain the equipment. It is essential that the manufacturers’ guidelines on replacing batteries and filters are consulted.

Replacement of Damaged, Life Expired or Worn Out Equipment All equipment has a life expectancy, and this should be adhered to. Used equipment that has passed its ‘use by’ date – for example, filters, batteries, some protective gloves – should not be provided. If it is in use when it reaches its expiry date, then it should be removed from use or service, and must be disposed of to prevent the likelihood of its continued used, inadvertently or otherwise.

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Damaged equipment, once reported or identified, should be removed from service immediately and disposed of, with replacement equipment that provides the same level of protection, compatibility, etc. as the PPE provided before work commenced initially.

System for Reporting Faults and Obtaining Replacements At All Times Arrangements should be made for employees to be able to report to their employer lost or defective equipment, or parts of equipment. The systems should also incorporate arrangements to ensure that defective PPE is repaired or replaced before the employee concerned re-commences work. Such systems would include ensuring that a good level of relevant stock is kept at all times, so that: Defective stock is not re-used. Safety is not compromised. Production or operation does not come to a halt.

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The Provision of Information and Instruction on the Use of PPE Employers, PPE Users, and Managers and Supervisors Where an employer is required to provide personal protective equipment to an employee, the employer must ensure that the employees are provided with such information, training and instruction as is adequate and appropriate to enable them to know: The risks that the PPE will avoid or limit. Any action to be taken to ensure that the PPE remains in an efficient state, in working order and in good repair. The purpose for which, and the manner in which, the PPE is to be used. The employer must also provide suitable information, instruction and training for their employees to enable them to make effective use of the PPE provided to protect them against workplace hazards to their health and safety. Individuals involved in the use or maintenance of PPE should be trained appropriately. Users of PPE must be trained in: its proper use, how to wear it correctly, and its proper fit, in addition to the limitations of the PPE itself. Managers and supervisors should be aware of why the PPE is required, and how it is to be used correctly. Any training should involve elements of theory as well as practice in using the equipment, and should be carried out in accordance with the recommendations and instructions supplied by the PPE manufacturer. The level and degree of instruction and training will vary, depending upon the complexity and performance of the equipment. For instance, safety helmets,which are simple to use and maintain, may have basic instructions to the user . Similarly, safe use of anti-static software or laser eye protection would require more in-depth training and instruction appropriate to the principles behind such PPE, and would need to cover maintenance and testing as required. Duration and frequency of training will depend upon the type of equipment, how frequently it is used, and the needs of the users. Initially, training is imperative, however, refresher training is required at suitable intervals to ensure current and up-to-date practices are being employed. Training individual employees is not sufficient; the employee must also understand what they are being taught. Barriers to understanding can be numerous, for example: Information on the hazards and risks not being provided in a language which is clearly understood by the user.

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Title

Page

Human Failure

TYPES OF HUMAN FAILURE ................................................................................................................................ 3 ERRORS ............. ................ .............. ............... .............. ................ ............. ................ .............. ................ ........... 4 VIOLATIONS .............. .............. ................ ............ ................ ............... .............. .............. ................ ................ ...... 4 CAUSES OF HUMAN FAILURE .............................................................................................................................. 6 THE INDIVIDUAL, THE JOB AND ORGANISATIONAL FACTORS ............... ............... ................ ............ ................ ............... ....... 6 EXAMPLES OF WHY HUMANS FAIL .............. ................ ............... ............ ................ ................ ............. ................ ......... 7 TECHNIQUES FOR THE ASSESSMENT OF RISKS FROM HUMAN FAILURE IN THE WORKPLACE ....................... 11 HUMAN RELIABILITY ANALYSIS: A BACKGROUND ................ .............. ................ ............. ................ ................ ............ .... 11 HUMAN RELIABILITY ANALYSIS ................. .............. ................ ............ ................ ............... .............. .............. ........... 11 HUMAN ERROR PROBABILITY ESTIMATION ............. ................ ................ ............. .............. ................ ............. .............. 13 ACCIDENT TREND ANALYSIS .............. .............. ................ ............. ................ .............. ............... .............. ................ 14 HOW THE LIKELIHOOD OF HUMAN FAILURE CAN BE REDUCED ...................................................................... 15 REDUCING HUMAN FAILURE .............. .............. ................ ............. ................ .............. ............... .............. ................ 15 ENCOURAGING POSITIVE BEHAVIOUR AND MOTIVATING STAFF ............. ................ ............... .............. .............. ................ .. 17 DEVELOPING COMPETENCE THROUGH TRAINING ............. ................ ................. ............ ................ .............. ............... ..... 18

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BSC International Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A9 | Human Failure Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.9.1 Describe the main types of human failure 1.A.9.2 Explain why humans fail 1.A.9.3 Apply techniques for the assessment of risks from human failure in the workplace 1.A.9.4 Explain how the likelihood of human failure can be reduced

Unit 8:

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Types of Human Failure In the UK the HSE has published a Guidance Note HSG48Reducing Error and Influencing Behaviour which identifies two types of human failure: errors and violations. The following human failure model, taken from HSG48, provides an outline of how the various categories of failure fit into the 2 main types: Slips of action

Skill-based errors

Lapses of memory

Errors

Rule-based mistakes

Mistakes Knowledge-based mistakes Human Failure

Routine

Situational

Violations

Exceptional

:

HSG 48 Human Failure Model

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Errors Errors are actions or decisions which were not intended and which involve a deviation from an accepted standard, and which led to an undesirable outcome. Errors can be split into three types: slips, lapses and mistakes. Slips – these are failures in carrying out the actions of a task, for example: −

Performing an action too soon or too late.

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Omitting a step or series of steps from a task.

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Carrying out an action with too little or too much strength.

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Performing the action in the wrong direction.

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Doing the right thing but with regard to the wrong object (or vice versa).

Examples would be: picking up the wrong component from a mixed box or operating the wrong switch. Lapses – these involve 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. A simple checklist to follow can help to reduce the likelihood of lapses occurring. An example would be driving away from a bulk tanker, but forgetting to disconnect the tanker hose. Mistakes – this is where we do the wrong thing believing it to be right. The failure involves our mental processes, which control how we plan, assess information, make intentions and judge consequences. There are two kinds of mistakes: −

−

Rule-based mistakes occur when our behaviour is based upon remembered rules or procedures. Knowledge-based mistakes are often related to incomplete information being available.

Violations Violations, on the other hand, are a deliberate deviation from a rule or procedure, for example, driving too fast or removing a guard from a dangerous piece of machinery. Both of these violations increase the risk of an accident. Health risks are also increased by rule breaking, for example, a worker who does not wear ear defenders in a noisy workplace increases their risk of occupational deafness. There are three types of violation: routine, situational and exceptional. A routine violation is the normal way of working within the work group and can be due to: Cutting corners to save time and/or energy. Perception that rules are too restrictive. Belief that rules no longer apply. Lack of enforcement of the rule. New workers not realising that this is not the correct way of working. Situational violations are where the rules are broken due to pressures from the job such as: Time pressure.

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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 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 novel situations. A real life example was provided before the accident at the Chernobyl nuclear power plant in 1986 when a series of tests were being undertaken. When an operator failure led to dangerously low power levels, the test should have been abandoned. However, operators and engineers continued to improvise in an unfamiliar and increasingly unstable regime in order to protect the test plan, with disastrous results. HSG48 provides a powerful model 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 in order to suggest the control measures required to prevent either an occurrence or a re-occurrence. Students should be very familiar with this model and be able to discuss practical examples for each of the human failure types outlined above.

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Causes of Human Failure The Individual, the Job and Organisational Factors The HSE’s definition of human factors refers to “environmental, organisational and job factors, and human and individual characteristics which influence behaviour at work in a way which can affect health and safety”. A simple way to view these isto think about three aspects – the job, the individual and the organisation, and how they impact on people’s health and safety-related behaviour.

The Job Jobs and roles comprise a series of tasks – both physical and mental. These tasks should be designed to take account of the limitations and strengths in human performance. This applies in general, such as combining a series of tasks, which are capable of being performed by any individual with the right general characteristics, into a job in a coherent way. It also applies in particular, by adapting jobs where possible to meetthe capabilities of the job holder. Matching the job to the person in this way allows for the most effective contribution to the business results. The concept of matching jobs to the person involves two aspects: Physical match – this covers the d esign of the general and immediate workplace and working environment to facilitate both performance of the manual tasks involved and also to ensure safety during such operations. Mental match – which covers the design of the ‘brainpower’ parts of the job, or those involving information processing and decision-making on the part of the jobholder. Mismatches between job requirements and people’s capabilities provide the potential for human error.

The Individual People bring to their job their own personal mix of physical characteristics, knowledge and skills, attitudes, habits and personality, any or all of which may be strengths or weaknesses depending on the task demands. These individual characteristics influence behaviour in complex and significant ways, and it is important, therefore, that individuals are appointed to jobs and roles to which they are individually suited. Some of these characteristics are fixed and cannot be changed, or at least not easily or in the short term – for example, physical characteristics and personality. Others, though, may be altered, adapted and enhanced through learning. This applies to an individual’s knowledge and skills, attitudes and habits – all attributes which contribute significantly to competence in the job or role. People can, therefore, be developed in their jobs to become more effective.

Organisational Factors Jobs are allocated, and individuals perform their tasks, within the context of the organisation. The organisation itself is, therefore, an important factor in conditioning the behaviour of individuals and groups at the workplace. The two key elements in this are the management of the organisation and its culture: The style of management dictates the way in which people work: −

The priorities that are seen as important, such as speed, quality, working safely, etc.

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The type of controls operated.

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−

The degree of individual responsibility allowed.

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The way in which people are motivated.

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The support offered to individuals through instruction and training, etc.

The organisation’s culture sets the tone for the individual and group behaviour: −

The priorities that they see as important.

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The involvement and attachment people have to the organisation.

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Their ability to influence its operations, etc.

Both management and the culture should promote employee involvement and commitment at all levels, emphasising that deviation from established health and safety standards is not acceptable.

Examples of Why Humans Fail Inadequate Training Humans will fail if they are not properly skilled to perform a task. Training is the process of equipping people with the right skills at the right level to perform a task correctly (and safely). Poor training will lead to workers having to find out for themselves how a task is performed and this invariably will lead to the old “Trial and Error” method of learning which is not appropriate in workplace situations where the health and safety of workers is at stake.

Limits of Capabilities Even a person of limited capabilities may find a routine, production-line type of employment very taxing, while a person of higher capabilities could find this boring in the extreme. If the workload requires an attention level that is beyond the mental capabilities of the employee, then a state of stress will occur. There needs to be enough mental stimulation but, equally, not too much. This can be applied to physical capabilities, as well as mental. If work is beyond the physical capabilities of an individual worker, then their health and safety, and perhaps the health and safety of others, will be jeopardised.

Tiredness and Fatigue Fatigue can be defined as 'weariness after exertion' or can occur after repeated variations of stress. Severe fatigue can lead to poorer performance on tasks requiring attention, decisionmaking 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, for example, 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 and05.00 are the highest risk for fatigue-related conditions. Sleep loss can lead to lowered levels of alertness. Sleep debt,These whicheffects is a build-up of affect sleep loss, to reduced levels and of productivity attention. can also earlyleads morning shift workers people thatand are on call.

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Boredom If a person of high intelligence is set a mundane task, he will probably employ himself in finding new and less arduous, but not necessarily safer, ways of completing a task. Intelligence is required to defeat interlocking safety devices. Correctly employed, such a person could be using his intelligence and ability to devise safer work methods. Boredom can be a significant contributing factor in many workplace accidents. It can cause both lack and loss of attention, and can lead to ‘habituation’ – where individuals will disengage from their surroundings andWhen perform a ‘pre-programmed’ following a routine without conscious thought. thisinhappens, the individualway, maysimply not respond in the correct way to situations outside the norm.

Degradation of Human Performance Resulting from Poor Ergonomic Design Ergonomics will be considered in detail in Unit B. At this stage, it is important to note that the ergonomist can make a contribution at the design stage of equipment and workplaces in order to try to prevent problems occurring later. Poorly Designed Workstations The HSE leaflet, INDG 90, “Understanding Ergonomics at work”, (available at www.hse.gov.uk) suggests a number of questions that should be asked when considering whether a workstation and process are ergonomically suitable: Does it suit your body size? Does it suit all other users? Can you readily see and hear all you need to? Do you understand all the information that is presented? Do errors occur frequently, and is it easy to recover from them? Does the equipment or system cause discomfort if you use it for any length of time? Is it convenient to use? Is it easy to learn to use? Is it compatible with other systems in use? Could any of these aspects be improved? Do other users have similar reactions? Workstations are usually designed for the 'average' person. If a doorway was designed just to pass 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, then 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 then the operator will have to lean forwards. This causes neck and lower back problems. Repetitive motions, particularly those requiring the operator to exert force or use some unnatural motion, can lead to repetitive strain injury.

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Inappropriate Equipment: Examples 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, switches, etc. easily. Emergency controls must be clearly identifiable and easy to operate. The operator must also be able to see the production area so that they can see what is happening and react, as necessary. 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. In addition, the driver needs to have a satisfactory view of operations below. This means that the seat provided must be adjustable (to fit accurately 90% of all possible sizes) so as to provide the driver with 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. Aircraft Cockpit Clearly it is vital that a pilot flying an aircraft can interface easily with all the controls in the cockpit. It is important that the controls/displays are fitted around the cockpit in a logical way so that the pilot can easily reach/see the more important controls/displays, e.g. speed and altitude dials, whilst he/she 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 instigate 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 his/her position to obtain the best field of vision and enable quick responses for movement of the various controls. For this reason, it is vital that the pilot can alter the height and position of his/her chair in order to ensure that the controls are in comfortable reach. It is also important that the temperature, ventilation and lighting in the cockpit are adequate and that these can be adjusted to suit the individual. Computer Numerical Controlled (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, it is important that the operator can adjust their operating position, i.e. chair height and position, as well as the actual position of the keyboard.

Poor Health 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. Some people need spectacles and hearing aids, and you should have a general idea of why this could be so. The

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safety practitioner probably needs to be more concerned about those who don't know that they have sensory defects or those who try to forget about it. An individual’s general state of health will have obvious effects on both their physical and mental capabilities. The unfit worker may struggle to maintain concentration over the full length of the working day. Similarly, an individual’s specific state of health at a particular time will influence their physical and mental capabilities. The worker suffering the effects of a cold or flu will not remain as alert as they would whenwhen completely healthy. This may result inFor errors of judgment that could be normally crucial, for instance, handling dangerous equipment. example, a forklift truck driver suffering from flu, whose judgment has been impaired, is more likely to cause an accident when driving around a warehouse than a driver who is completely healthy.

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Techniques for the Assessment of Risks from Human Failure in the Workplace Human Reliability Analysis: A Background Think about a person who is driving an unfamiliar car . The driver knows how to drive, as a licence will confirm, that is, he or she has training and certification. The driver will identify where all the controls are and what they do, through a process of familiarisation, and then will set off. A problem may occur if the controls for the windscreen wipers and the indicators are reversed as compared to the normal. Initially, indicating during driving will be correct, but at some point the windscreen wipers will operate instead of the indicators. A human error will have occurred in a situation where the driver has already demonstrated an understanding of the working of the indicator controls. Hardware design can only go so far for improved reliability; there still exists the human input into the operation. We have already mentioned that humans are basically 'unreliable'. The question we have to ask of this human input is: "How unreliable is it?" We then have to establish the answer to this question. Humans do not work in the same way as machines. They are not good at carrying out repetitive tasks to a consistent standard, nor do two humans perform in the same way. The reliability of a human being cannot, therefore, be determined to the same accuracy as a machine, but action can be taken to make reasonable assessments of the type and frequency of error so that positive action can be taken to minimise the effects.

Human Reliability Analysis Earlier in this study unit we looked at the main types and causes of human failure. Human reliability is the concept of looking at the capacity for humans to successfully perform the task in accordance with design - the opposite of ‘human failure’. One technique for doing this is called ‘Human Reliability Assessment’ or ‘Human Reliability Analysis’ (HRA). HRA has tended to be used in the perceived higher risk industries, such as nuclear, offshore and chemical processing. To a large extent, it incorporates the view of the organisation as a system, with HRA being composed of a series of interacting processes that together form a complex system. HRA is a systematic approach that involves the following steps: Scoping. Information gathering. Task description. Human error identification. Human error probability estimation. Liaison with system analysts. Development of control measures.

Scoping In determining the scope of the HRA, you need to consider issues such as what you want to achieve with the results, the resources and expertise you will need and what criteria to apply, for example, the types of injuries to consider, etc.

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Information Gathering The information gathering step will involve collecting the raw data together. This will include such basic things as deciding which tasks actually need to be assessed. Usually it will involve visiting the workplace, observing tasks and talking to workers.

Task Description Next you need to describe the selected tasks. Essentially, you need to be able to describe what it is that the person needs to do to carry out the task. Methodologies such as Hierarchical Task Analysis and Job Safety Analysis are applicable here. They typically involve breaking the task down into manageable steps so that hazards can more easily be identified. As well as the task steps, you will also need to describe the goals and, importantly, any interactions between the person and the system.

Human Error Identification You then need to identify likely human errors. Like any hazard spotting exercise, this relies a good deal on the analyst being trained and experienced in what to look for. You need to look for significant sources of human error. Ask “How could people fail doing this task?” We have already looked at the main types and sources of human error earlier in this study unit. Additionally, various formal methodologies and checklists do exist which can greatly help this determination. It would be useful to look at influences such as time pressure, control and display design, any written procedures, any training received, supervision levels, etc. in considering the potential for human error. In deciding on their significance, it would also be useful to look at the consequences on the system of those errors and also at any measures already in place that would detect them before they got out of hand. Also, consider the potential for common mode errors – the same mistake being made by the same person applied to many things, for example, a worker may make the same calculation error in calibrating many instruments, which might then be used to take measurements on other processes elsewhere. Categorising Human Failure: Active or Latent In identifying human failures, it is often useful to look at the various ways of categorising them. Human failures can be classified in relation to the timescale over which the consequences are observed: active or latent. They can also be classified according to the basic causal factors. These overlap to a certain degree, but are generally described as job, individual and organisation or management. Active failures are those for which the consequences are pretty much immediate. These are typical of people on the front line, such as process operators, drivers, etc. For example, if the driver of a petrol tanker fails to disconnect hoses after delivering petrol to a petrol station, there will be immediate consequences when he tries to drive off. Also, if a lathe operator leaves the chuck key in place on the chuck jaws, there will be immediate consequences if the lathe is started up. Latent failures are those where operational consequences are quite a bit removed from the task. These failures are made by designers, managers, etc. For example, a poor design of control layout made at the concept stage may greatly increase likelihood of operator error. Decisions taken by managers that affect the adequacy of supervision and training can have consequences for others later on. Job factors that contribute to human failure are things such as:

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•

Equipment design.

•

Interruptions.

•

Poor instructions, such as those that are unclear or have information missing.

•

Uncomfortable working environment, such as one that is noisy, hot, humid, etc.

Individual factors are things that people bring to the job. These include such things as: •

Lack of competence.

•

Fatigue.

•

Physical disabilities.

•

Poor attitude.

•

Perception of risk.

•

Personality.

•

Low morale.

•

Boredom.

Organisation and management factors are things such as: •

The way the work is organised and planned, including allocated resources.

•

Lack of safety controls, including systems and barriers.

•

Poor communications.

•

Poor health and safety culture.

•

Unclear responsibilities.

•

Poor leadership.

The factors mentioned above are examples only, and you can see how lots of them may interact – an unpleasant working environment may lead to an unco-operative attitude by an individual, for example.

Human Error Probability Estimation If required, you can then estimate human error probabilities. You may not need, or may not have sufficient data, to do this. You may be able to calculate it from available historical data or you may need to consult experts. Some methods do exist which can be used to provide estimates; the methods come with some interesting acronyms too (THERP, HEART, SLIM, etc)! An example is HEART, or Human Error Assessment and Reduction T echnique. HEART is a tool for predicting human reliability and identifying ways of reducing human error. It can be applied to any industrial operation. HEART computes the probability of a human operator error on a combination of numerical factors provided by expert opinion. It allows consideration of HEART Generic Tasks, and Tasks developed to be specific to the industry or situation under consideration. Further information on the techniques mentioned and other similar techniques is available through web searchengines. Such techniques, however, are mostly used in high-risk environments, such as the Aviation or Nuclear industries. Techniques for estimating human error probability generally involve matching the task being analysed to one of a number of ‘model’ tasks for which the probability has already being calculated. The final result is then modified by adjusting several variables that depend on your specific task and workplace, for example, level of supervision, design of controls, etc. The

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error probabilities for each human error are then combined to give a Human Error Probability (HEP) for the overall task. HEP estimates are not exact by any means; there is a good deal of controversy over the various techniques and their applicability to the different types of human error.

Liaison with System Analysts This information that has been gathered and calculated can then be shared with system analysts. The HEP estimate can be incorporated into tools such as event tree analysis and fault tree far analysis as the human contribution to these the overall Human error is generally too complex and variable to apply kinds system of toolsreliability. directly; just try and draw a fault tree for all the possible human error elements at each stage of a task and see how far you get!

Development of Control Measures Finally, there is a need todevelop control measures where the contribution of human error is significant. We discuss some of the ways human error can be reduced in later in this study unit.

Accident Trend Analysis As we have seen earlier in this section and also in Study Unit 1A1, accidents often involve human failure to some extent. Accidents need to be analysed from a human error perspective too. There may be many causes of human failure in an accident. As well as the obvious immediate causes, such as an operator missing out a critical step, there are also underlying, or root, causes. Many of these involve decisions taken bydesigners and managers who are remote from the event. Such decisions would include many of the organisational and job factors discussed earlier, such as training, equipment design and work organisation. In order to analyse accidents in this way, accident investigators need to be trained in what to look for so that they are capable of properly identifying human factor causes as an issue.

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How the Likelihood of Human Failure Can Be Reduced Reducing Human Failure So far in this study unit, we have looked at the types of human failure (errors and violations), the causes (for example, poor equipment design, poor training) and how human reliability may be assessed. Part of the assessment of human reliability is to develop control measures to eliminate or reduce the potential for humanfailure. Various useful control measures are discussed in the HSE’s publication HSG48, Reducing Error and Influencing Behaviour . The potential for human errors and violations may be reduced by considering the issues discussed below.

Workplace Environmental Stressors Workplace environmental stress could be reduced by making sure of the following: There should be sufficient working space The workplace should not be unduly noisy – it should be free from distractions, general disturbance and interference with communications. The temperature, humidity and ventilation should be comfortable as far as possible. Uncomfortable working environments may make people feel unwell, alter their perception of the risk or tempt them to remove essential Personal Protective Equipment (PPE), etc. The lighting should be appropriate for the task. Some close, detailed work may need special levels of task lighting in addition to the general lighting. Efforts should be made to eliminate glare that may otherwise make it difficult to read an instrument panel or correctly register the colour of a warning light, etc.

Equipment Equipment should be designed to prevent slips and lapses, to improve the likelihood of detection if they are made and to reduce likelihood of corner cutting. Examples that would aid this include: Designing the layout of controls logically so that they follow the process. Making sure that switches and knobs work as expected, for example, same direction for ‘off’, turn clockwise for increase, etc. Ensuring that controls provide immediate feedback to the operator – so that the operator is clear as to what has just been done. Making the user interface comfortable, with respect to seating, position of controls and working space. Choosing software that is easy to use, and is responsive and fast. Choosing equipment that is not unduly noisy (communications). Choosing equipment that is not prone to frequent false alarms – which would otherwise encourage routine violations. Choosing equipment with reliable instrumentation.

Effective Training Techniques to ensure that training is effective include:

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Setting clear learning outcomes. Making sure that the training is relevant to the work. Assessing competence, by means of written and practical tests of learning. Getting feedback for continued improvement of training delivery. Making sure that training covers everything likely to be encountered, including emergency or unusual situations. Making use of refresher training, practices and re-evaluations as necessary.

Decisions As far as possible the need for highly complex decisions in tasks should be removed. All such decisions should be worked out off-line, and the decided options or actions should be incorporated into a written procedure.

Supervision An appropriate level of supervision should be provided. The presence of an experienced supervisor may not only encourage adherence to the rules, but also guide inexperienced staff, helping them to spot errors early by checking work.

Design Procedures and instructions should be properly designed so that people do not feel under pressure to break the rules. This includes: Making sure that procedures are clear and to the point. Making sure relate toimpractical the actual or work done. they violated. may be perceived as that beingthey irrelevant, out being of date, and Otherwise so be routinely Involving operators in developing procedures so that they are acceptable and so that operators feel involved. This lowers the potential for routine violations Making sure that procedures cover unusual and emergency situations so that people do not feel compelled to break the rules in order to solve a new problem that they have not encountered before and for which procedures do not exist, and to which they feel that the existing rules do not apply. Making sure that the proper equipment is always available, for example, harnesses and anchorage points for working at heights. People may otherwise be tempted to work unsafely ‘on this occasion…just to get the job done’. Better planning would avoid this.

Health and Safety Culture The establishment of a positive health and safety culture will help to reduce human failure. This topic is considered in more detail in other parts of this course. Factors that may improve health and safety culture include: Communication – at all levels and two-way. Control – supervision, allocating clear responsibilities, leading by example. Co-operation – between people throughout the organisation, involving people in committees, work groups and developing procedures. Competence – proper training, selection and specialist support.

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Encouraging Positive Behaviour and Motivating Staff Workplace Incentive Schemes Workplace incentive schemes can be a very good way of motivating employees to focus on the job and conform to the organisational goals. The incentive provokes 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 may operate 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. Incentive schemes aimed at improving safety are more difficult as they may need to monitor the results over a fairly longperiod of time, e.g. one year. Incentive schemes can often lose their momentum and hence 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. Incentives aimed at reducing accidents specifically, i.e. where measurement would be a decrease in accident rates, should be avoided as this can often result in under-reporting of accidents in order to obtain the incentive. Incentive schemes must be offered with care, as they have also been known to actually reverse the desired safe and healthy workplace requirement, as workers have been known to take short cuts in order to achieve their bonuses. Short cutting can lead to accidents and care must be taken that this does not occur.

Reward Schemes Reward schemes work in a very similar way to incentive schemes with a reward being given for improvement or a target reached in a particular area. This type of scheme works well where people are motivated by the reward offered, such as a financial bonus. Some pay schemes work by paying a very low actual salary but having bonus payments that are paid when targets are met, such as sales jobs. The motivation to sell more is clearly through the financial gain. Piecemeal work where workers are paid per work unit completed, for example, for each sheep sheared, encourages individuals to work quickly so that they can earn more money. Clearly this may have implications with respect to safety, as the workers are not encouraged to necessarily consider safety as their first priority.

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 will be satisfied with a good working environment and regular rest breaks while others require challenging, stimulating work where they receive positive feedback. “Herzberg” identifies particular motivating factors which, when present, increase satisfaction from work and provide motivation towards superior effort and performance. These include: recognition, responsibility, achievement, advancementand the work itself. They are distinct from other factors that increase dissatisfaction when absent, but when present do not result in

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positive satisfaction and motivation. Herzberg termed these “hygiene” factors. They include: type of supervision, salary/wages, working conditions, company policies, rules, etc.

Developing Competence through Training On the Job Training On the job training provides trainees with experience, which is a combination of work-based knowledge and the development of skills. As the trainee gains experience, the range and complexity of tasks that he/she can undertake without detailed guidance increases. The process of learning can be improved by: Demonstration - an experienced instructor demonstrates how to carry out a particular task. Coaching - a trainee learns by carrying out tasks under guidance from an experienced person. Projects - assigning trainees to investigate a problem and analyse potential solutions to that problem is a popular method of learning in the office environment. On the job training is very effective providing the trainee is shown the correct way of carrying out a task by an experienced person. It is very easy for a trainee, however, to pick up bad habits from the start if they are placed with someone who does not adhere to the correct procedures.

Off the Job Training Off the job training is training that is carried out away from the work environment. It can be carried out in a number of ways: •

Lectures This is a means of 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. However, there are limitations:

•

−

There is a very low rate of retention. Adequate backup notes are essential.

−

Students may not understand the presentation and be unable to seek clarification.

Seminars In this case, 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 This is where programmed instruction is provided through a combination of distance learning or open learning packs, computer or audio-visual programmes. There is no direct involvement of an instructor. Students can use these courses in their free time rather than having to attend a course at set times. However, there is no feedback with the flexibility of a human instructor unless the instruction is provided at an open learning centre where a facilitator may be available to give some assistance and remedial instruction. It should be noted, however, that many distance learning packages do have access to tutors for advice or assistance through e-mail or telephone contact.

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Appraisal Schemes An appraisal scheme is 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. Appraisal schemes usually involve the employee filling in a self-appraisal form that 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 with a copy also placed on 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 what their high and low points have been. 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 aspiratio ns 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, for example, by requesting additional training. This scheme also gives the manager an opportunity to discuss with the employee their thoughts on the employee's progress, and give praise and encouragement where required. Appraisal schemes may also 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 anorganisation. More importantly, however, they allow the employee to comment on their own progress and to voice their opinions. Employees in appraisal schemes will often feel moreare motivated than those not in such a scheme particularly where hard work and improvements rewarded.

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Title

Page

The Role of the Health and Safety Practitioner

THE ROLE OF THE HEALTH AND SAFETY PRACTITIONER ............................................................................................ 3 ROLE AND RESPONSIBILITIES OF HEALTH AND SAFETY SPECIALISTS .............. ................ ............... .............. .............. ............. 3 RELATIONSHIPS OF HEALTH AND SAFETY SPECIALISTS ................ ................ .............. ............... .............. ................ ........... 4 TYPICAL DUTIES OF HEALTH AND SAFETY PRACTITIONERS .............. ................ .............. ............... .............. ................ ......... 4 COMPETENCE AND THE COMPETENT PERSON ........................................................................................................... 6 PERSONAL QUALITIES ............... .............. ................ ............. ................ .............. .............. ............... ................ ......... 7 EVALUATING OWN PRACTICE ............. .............. ................ ............. ................ .............. ............... .............. ................ .. 8 IDENTIFYING SELF -DEVELOPMENT NEEDS .............. ................ ................ ............. .............. ................ .............. ............... 8 COMPILING A DEVELOPMENT PORTFOLIO AND RECORDING OUTCOMES OF DEVELOPMENT ACTIVITIES .............. .............. ................ ....8 PROFESSIONAL ETHICS ............. .............. ................ ............. ................ .............. ............... .............. ................ ......... 9 DIVERSITY AND INCLUSIVITY .............. .............. ................ ............. ................ .............. ............... .............. ................ 10 TRAINING AND QUALIFICATIONS ................ ................ ............... ............ ................ ................ ............. ................ ....... 10 MAIN SOURCES OF HEALTH AND SAFETY INFORMATION.......................................................................................... 11 RELEVANT LEGISLATION .............. ................ .............. .............. ............... ................ ............ ................ ............... ..... 11 GUIDANCE FROM NATIONAL AND INTERNATIONAL ENFORCEMENT AGENCIES ................ .............. ................ ............. ................ 11 GUIDANCE FROM NATIONAL AND INTERNATIONAL SAFETY ORGANISATIONS .............. ................ .............. .............. .............. .... 11 ONLINE NATIONAL SOURCES OF INFORMATION .............. ................ ................. ............ ................ .............. ............... ..... 12 NATIONAL AND INTERNATIONAL STANDARDS .............. .............. ................ ............. ................ .............. .............. ........... 12

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BSC International Diploma | Unit 1

Study Unit 1A10 | The Role of the Health and Safety Practitioner Learning Outcomes When you have worked through this Study Unit, you will be able to: 1.A.10.1 Understand the role of a health and safety practitioner 1.A.10.2 Explain what constitutes competence at different levels in the workplace 1.A.10.3 Make use of and advise on the main sources of health and safety information

Unit 9:

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The Role of the Health and Safety Practitioner This person often has the title of Health and Safety Director,Manager, Officer or Adviser. The health and safety practitioner's prime duty is to promote health and safety in the workplace. It is important to realise that the health and safety practitioner does not absorb any of the line management responsibilities for health and safety. A common misunderstanding is that a health and safety practitioner is appointed to manage health and safety, leaving other managers to get on with their important responsibilities for finance, production, etc. Health and safety is not an optional extra for managers; it is part of their role, of equal importance as their other duties.

Role and Responsibilities of Health and Safety Sp ecialists Health and safety specialists need to have the status and competence to advise management and employees or their representatives with authority and independence. They are well placed to advise on: Formulating and developing health and safety policies, not just for existing activities but also with respect to new acquisitions or processes. How organisations can promote a positive health and safety culture and secure the effective implementation of health and safety policy. Planning for health and safety including the setting of realistic short and long-term objectives, deciding priorities and establishing adequate systems and performance standards. Day-to-day implementation and and monitoring of policy and plans, including accident and incident investigation, reporting analysis. Review of performance and audit of the whole health and safety management system. To do this properly, health and safety specialists need to: Be properly trained and suitably qualified. Maintain adequate information systems on topics including law, health and safety management and technical advances. Interpret the law in the context of their own organisation and country. 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.

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Relationships of Health and Safety Specialists Relationships Within the Organisation Health and safety practitioners 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 specialists.

Relationships Outside the Organisation Health and safety practitioners liaise with a wide range of bodies and individuals including: local authority environmental health officers and licensing officials, architects and consultants, the Fire Service, contractors, insurance companies, clients and customers, enforcement agencies, the public, equipment suppliers, the media, the police, general practitioners and occupational health specialists and services.

Typical Duties of Health and Safety Practitioners The range of typical duties of health and safety practitioners can be very wide depending on the organisation including advising management on: The identification of hazards and assessment of risk associated with: −

Injury to, or ill-health of, personnel.

−

Damage to plant, equipment, materials.

−

Fire and explosion.

Improvement of existing working by the introduction of safe systems of work and performance standards. Legal requirements affecting safety, health and hygiene and welfare. Provision and use of protective clothing and equipment. Safety and suitability of new and hired plant and equipment; ensuring all appropriate test certificates and technical instructions are obtained. Potential hazards of new processes before work starts and on the safety organisation required. New methods of safe working arising from current technological development. Changes in legislation. Appropriate fire and rescue procedures. Other duties could include: Assisting with the prevention of accidents by raising the safety awareness of other employees. Advising managers on the implementation and monitoring of safety programmes. Regularly inspecting the workplace and work equipment to see that standards are being achieved and making recommendations for improvements.

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Investigating all accidents, including dangerous occurrences and near misses, filling out the relevant forms and notifying appropriate authorities. Assessing new and/or unusual processes for associated risks. Keeping themselves informed as to health and safety legislation, and informing the management of recommendations to ensure compliance. Assisting with the health and safety training of employees. Developing and monitoring the effectiveness of the company health and safety policy in respect of the health and safety at work of its employees, members of the public and those affected by the work. Monitoring and assessing the overall effect of the safety policy. Improving the company's safety performance. Enhancing the company's reputation in accident prevention. Creating within the company a positive safety and health awareness and attitude at all levels of employees from directors to operatives. Carrying out inspections (in association with the manager or foreman) to ensure that: all regulations are being observed; only safe systems of working are in operation; mess rooms, washing facilities and other welfare amenities have been provided and are properly maintained. Investigating the causes of any accidents or dangerous occurrences, and recommending means of preventing recurrence. Supervising the recording and analysis of information on injuries, ill-health, damage and production losses; assessing accident trends and reviewing overall safety performance. Keeping contact with official and professional bodies, e.g. enforcement agencies, fire authority, government authorities, safety institutions, voluntary organisations. Liaising with safety representatives and safety committees, and assisting in management/operative consultations. Fostering within the firm an understanding that injury prevention and damage control are integral parts of business and operational efficiency. Keeping up to date with recommended codes of practice and new health and safety literature; circulating the relevant information to each level of employee. Liaising with contractors at times of joint responsibilities; checking health and safety policies; monitoring and advising as necessary on health and safety matters related to their operations. Liaising with employer's insurance company(s). Assisting management in monitoring the implementation of policy. Contributing to the recruitment, selection and appointment of personnel for health and safety roles.

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Competence and the Competent Person It is important that the employer appoints a competent person or more than one if necessary, to help him or her take steps to ensure that a healthy and safe working environment is created and maintained for employees, contractors, visitors, members of the public, etc. and to help him or her comply with any applicable health and safety legislation. In the UK it is a legal requirement for employers to ensure that they have someone that can assist them in fulfilling their legal health and safety responsibilities. If it is the case that more than one person is appointed, it is important that the employer makes arrangements to ensure the full cooperation between such people. He or she must also ensure that the person or persons appointed to such a position have sufficient time to undertake their responsibilities, as well as the necessary means to do so. Employers must be considered solely responsible for ensuring that those they appoint to assist them with health and safety measures are competent to carry out whatever tasks they are assigned. Furthermore, such practitioners must be given adequate information and support. It is now, therefore, vital (and in some countries a legal requirement) that an employer should: Appoint someone to be responsible for health and safety. Ensure the competence of the appointed person(s). Ensure he/she has adequate resources to carry out the role properly. Ensure that the details of the person so appointed are made known to all personnel in the organisation. In many cases, the person so appointed will be the health and safety adviser. For many smaller companies it may not be cost-effective to appoint a full-time health and safety adviser, and for them this role may be combined with other duties. In some very small companies, it may not be possible even to do this and they will have to have recourse to specialist external consultants. A Health and Safety “Competent Person” is considered to be competent when he or she has received sufficient training, and has sufficient knowledge and experience to be in a position to provide adequate assistance for a particular situation. This does not necessarily depend on having particular skills or qualifications. Simple situations, for instance, may only require the following: (a) An understanding of relevant current best practice; (b) An awareness of the limitations of one’s own experience and knowledge; and (c) The willingness and ability to supplement existing experience and knowledge, when necessary by obtaining external help and advice.”

Where the situation is more complicated, the competency will depend on a higher level of knowledge and experience. In addition, if the situation is highly technical, appropriately qualified specialists would be called on to provide specific applied knowledge and skills. Employers should check for appropriate health and safety qualifications, which may be specific to an industry, as well as membership of relevant professional bodies or organisations. This should help them to ensure the competence of any assistant they appoint. Finally, guidance may be given by checking for qualifications accredited by reputable and registered qualification organisations.

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Personal Qualities To be fully effective, the safety practitioner must: Understand people. Be able to communicate with them in order to bring about the desired change in their observed behaviour. Obtain the respect of all personnel. Understand the problems caused by different people's varying perceptions of hazard and risk and how they respond in different ways to the same stimulus. Understand the ways in which individual differences affect the ranking of risks, the recognition process, the evaluation of risk consequences, risk aversion and the assessment of economic factors affecting the acceptance of risk. Understand how group influences affect the behaviour of individuals. Understand the problems caused by people's inability to estimate and rank different types of risk. Understand the apparent disparity between attitudes to risk involving catastrophic failures and individual fatalities at work, and attitudes towards long-term health risks and the risk of sudden death. In addition to these various personal attributes, the practitioner also has a responsibility and should be able to evaluate and develop their own practice; they should be committed to continued professional development. This will ensure that the practitioner maintains and develops competency, keeps up to date and remains effective. The broad requirements are that practitioners 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. Consequently, in order to achieve this, practitioners need to: Identify goals and targets, which could be set in a number of ways. For example, they could be set: from national standards, from assessment of current competency, from anticipated future demands, from personal aspirations or 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.

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Evaluating Own Practice Performance Criteria The practitioner should be able to: Evaluate own practice against set targets and goals. Use a range of valid and reliable evidence to assess own work, which includes an assessment of your own behaviour and values by others. Involve others in the interpretation of evidence. Use evidence to reflect on 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 reviewing evidence and performance.

Identifying Self-Development Needs Performance Criteria The practitioner should be able to: Set and prioritise clear and realistic goals and targets for own development. Base goals and targets on the accurate assessment of all the relevant information relating to 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 own practice in a way that does not cause problems for others. Evaluate developments in own practice and ensure continued self-development.

Compiling a Development Portfolio and Recording Outcomes of Development Activities Once goals have been set and an action place put in place, it is important that a development portfolio is compiled. This can be used to provide evidence for the development undertaken. The portfolio is likely to be electronic in nature and contain evidence such as: Dates, venues and an outline content of any meetings, seminars or lectures undertaken or delivered Copies of presentations, written articles or written policies prepared Reference to articles read Records of content and dates of any training undertaken Records of any new experiences or skills acquired. For each development activity it is important to record the outcome. This will involve reflecting on the skill or knowledge obtained and commenting on its future benefit.

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The CPD scheme operated y IOSH requires that a portfolio is maintained. This involves the initial preparation of an action plan (repeated over a two year cycle). Evidence must then be provided in the following areas: Maintenance of skills New professional skills Transferrable management skills

Professional Ethics The question of ethics may be described as being open to interpretation, and different cultures may have different views relating to professional ethics. Within the UK the most comprehensive guide to ethics can be taken from the IOSH Code of Conduct. Some of the important criteria expected of members are given below: to take all reasonable steps to obtain, maintain and develop their professional competence by attention to new developments in occupational safety and health and shall encourage others working under their supervision to do so. to not undertake responsibilities in relation to health and safety which they do not believe themselves competent to discharge. to have regard to the reputation and good standing of the Institution, other members, and professional practice and standards, and shall not either directly or indirectly bring them into disrepute. to not recklessly or maliciously injure, or attempt to injure, whether directly or indirectly, the professional reputation, prospects or business of another. to avoid their professional judgment being influenced by any conflict of interest and shall inform their employer, client, or the Institution of any conflict between the member’s personal interest and service to the relevant party. to not improperly disclose any information which may reasonably be considered to be prejudicial to the business of any present or past employer, client or the Institution. to ensure that information they hold necessary to safeguard the health and safety of those persons for whom they have a legal and moral responsibility is made available as required. to not unfairly discriminate in the course of their professional business on the grounds of race, colour, religion or belief, disability, sex, marital status, age, sexual orientation, nationality and ethnic or national srcins. to act within the law and are required to notify the Institution if they are convicted of any criminal offence. A relevant conviction may lead to disciplinary proceedings against that member.

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Diversity and Inclusivity In this context, these terms refer to the interrelationships of individuals within society. Diversity is about valuing and reaping the benefits of all individuals, enabling all to fulfil their own potential whatever their backgrounds. Diversity encompasses visible and non-visible individual differences. Diversity is about respecting individual differences, and people's differences can be many and varied. For example: Race Culture National srcin Region Gender Sexual Orientation Age Marital Status Politics Religion Ethnicity Disability Socio-economic differences Family structure Health Values Inclusivity is about all people in a workplace or society. It involves taking action to remove barriers to participation. Inclusion also involves eliminating discrimination and promoting equality.

Training and Qualifications As mentioned earlier, a health and safety advisor is only considered to be competent once he or she has received sufficient training. There are many institutions and organisations that offer relevant training, including the British Safety Council (BSC). The BSC offer training courses from the International Certificate in Occupational Safety and Health and the International Diploma in Occupational Safety and Health. Both of these qualifications can help to provide evidence of competency for the health and safety practitioner.

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Main Sources of Health and Safety Information There are numerous sources of external information available to the safety professional. The information is available in the form of books, journals, magazines, as well as on-line in electronic form. Below is just a selection of the main external sources of information.

Relevant Legislation International legislation will vary from country to country, although countries within the European Union will have to comply similarly with imposed health and safety Directives. It is of course essential for the safety professional to be able to interpret and apply it, not only to improve safety, but also to avoid possible prosecution. Basic legal requirements must be communicated to the workforce. In the UK this is done by displaying the Health and Safety Law poster in the workplace, as required by the Health and Safety (Information for Employees) Regulations 1989. Other countries should make their employees aware of relevant legislation in similar ways. Interpretation of legal requirements is often complicated due to the “legal language” and terminology often used in the formal documentation. There are often précis documents written to help the reader understand the basic legal requirements but where these are not available, care must be taken to correctly interpret the requirements and advice accordingly.

Guidance from National and International Enforcement Agencies Health and safety guidance will vary between different national enforcement agencies. However, in most instances, national enforcement agencies will be serving common goals; to promote and provide health and safety information and guidance. For example, the Health and Safety Executive (HSE), (the UK’s national enforcement agency) publish guidance on regulations and the application of British health and safety law. They are frequently combined into a single document along with an approved code of practice (ACoP) and guidance. Unlike ACoPs, guidance has no legal status. There is extensive, free information and guidance available to health and safety practitioners which serves as good practice to other non-UK countries available from the HSE which can be directly accessed from their website: www.hse.gov.uk. For example, one of the HSE’s publications is INDG 258, Safe Work in Confined Spaces can be used as good practice in countries where either UK law is not applicable or where health and safety law is not actively enforced. Priced publications are also available from HSE books.

Guidance from National and International Safety Organisations The European Agency for Safety (https://osha.europa.eu/en) is also very useful for general guidance on health and safety issues affecting the European region. For example, they have a number of fact sheets, reports and forums on different aspects of risk assessment. Further international agreements, conventions and guidance may be obtained from places such as International Organisation (http://www.ilo.org/global/lang--en/index.htm). ILOthe is very active in Labour promoting international harmonisation of minimum standards in healthThe and safety and other areas. They do this through Conventions, which outline objectives to be achieved; national governments then ratify these and ensure legislation is implemented, or exists, to meet the objectives. The ILO produces a good deal of guidance, for example, Guidelines on Occupational Safety and Health Management Systems (ILO-OSH 2001). The ILO also provide useful links to other international safety organisations known as CIS National and Collaborating Centres which are based in many countries around the globe.

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Other organisations that provide useful health and safety guidance include: RoSPA (Royal Society for the Prevention of Accidents). BSC (British Safety Council – monthly Safety Management publication). WHO (World Health Organisation). IOSH (Institute of Occupational Safety and Health - monthly Safety and Health Practitioner (SHP) magazine and other publications) HSE (Health and Safety Executive).

Online National Sources of Information There is a wealth of information online available for health and safety practitioners to gain access to. However, a word of caution is added when searching the net for health and safety guidance. It is important that health and safety information sought from different countries comes from a reliable source. Generally, national enforcement agencies similar to the HSE provide accurate and up-to-date information. For practitioners operating in countries outside of the UK, a selection of (inter)national organisations that provide good sources of health and safety information include: National Institute For Occupational Safety And Health (NIOSH) – U.S.A. Canadian Centre for Occupational Health and Safety (CCOHS) – Canada. Japan Industrial Safety and Health Association (JISHA) – Japan. Institut national de recherche et de sécurité (INRS) – France. Bundesanstalt für Arbeitsschutz und Arbeitsmedizin (BAuA) – (Federal Institute for Occupational Safety and Health) – Germany. Istituto superiore per la Prevenzione e la Sicurezza del Lavoro (ISPESL) – Italy.

National and International Standards Organisations such as British Standards Institute (BSI), the International Organisation for Standardisation (ISO) and European Committee for Electrotechnical Standardization (CENELEC) (which produces European Standards or Norms (EN) for adoption) produce many standards ranging from the very detailed, technical machinery applications to auditable guidelines on management systems (like ISO 18000 OHSAS series). Their status can range from industry standard or accepted best practice, to legally enforceable, the latter by being referenced in legislation. On occasion the standards are jointly published; an example is BS EN ISO 12100 that covers machinery hazards and guarding. Internationally agreed and legally enforceable standards serve to harmonise requirements and remove trade barriers.

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Title

Page

Protecting the Environment

RISKS TO THE ENVIRONMENT ARISING FROM WORKPLACE ACTIVITIES ......................................................... 3 RESOURCE DEPLETION.............. .............. ................ ............. ................ .............. ............... .............. ................ ......... 3 AIR POLLUTION ............... .............. ................ ............. ................ .............. .............. ............... ................ .............. .. 3 LAND POLLUTION ............... ................ .............. .............. ............... ................ ............ .............. ................. .............. 4 WATER POLLUTION .............. ................ ............... .............. .............. ................ ............. ................ .............. ............. 5 CLIMATE CHANGE ............... ................ .............. .............. ............... ................ ............ .............. ................. .............. 6 STRATOSPHERIC OZONE DEPLETION ............. ................ .............. ............... .............. ................ ............. ................ ....... 6 OVER-ABSTRACTION OF WATER ................ ................ ............... ............ ................ ................ ............. ................ ......... 7 ENVIRONMENTAL MANAGEMENT SYSTEMS........................................................................................................ 9 TYPES OF ENVIRONMENTAL MANAGEMENT SYSTEM. ............... ................ .............. .............. ............... ................ ............ .... 9 BENEFITS OF AN ENVIRONMENTAL MANAGEMENT SYSTEM .............. ................ .............. ............... .............. ................ ......... 9 LEMENTS OF AN ENVIRONMENTAL MANAGEMENT SYSTEM .............. ................ .............. ............... .............. ................ ....... 11 E ENVIRONMENTAL P OLICY ................ ............... ................ ............ .............. ................. ............ ................ ................ .. 12 PLANNING ENVIRONMENTAL MANAGEMENT ACTIVITIES ................ ................ .............. ............... .............. ................ ......... 12 IMPLEMENTATION AND OPERATION ............. ................ ............... ............ ................ ................ ............. .............. ......... 13 CHECKING, CORRECTIVE AND PREVENTIVE ACTIONS .............. ................ .............. .............. ............... ................ ............ .. 13 ENVIRONMENTAL MANAGEMENT SYSTEM AUDIT ............. ................ ................. ............ ................ .............. ............... ..... 13 THE MANAGEMENT REVIEW AND CONTINUAL IMPROVEMENT .............. ............... ................ ............ ................ ............... ..... 13

MINIMISING RISKS TO THE ENVIRONMENT .................................................................................................... 15 POLLUTION CONTROL ............... .............. ................ ............. ................ .............. .............. ............... ................ ....... 15 WASTE MANAGEMENT STRATEGIES ............. ................ ............... ............ ................ ................ ............. .............. ......... 16 ENERGY EFFICIENCY ................ .............. ................ ............. ................ .............. .............. ............... ................ ....... 17 TRANSPORT MANAGEMENT ................ .............. ................. ............ ................ .............. ............... .............. ................ 18 ENVIRONMENTAL MONITORING................. .............. ................ ............ ................ ............... .............. .............. ........... 19 ENVIRONMENTAL TRAINING NEEDS ............. ................ ............... ............ ................ ................ ............. .............. ......... 20

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BSC Level 6 Diploma – Element 1A | Fundamentals of Health and Safety Management

BSC Level 6 Diploma | Unit 1 Element 1A: Fundamentals of Health and Safety Management Study Unit 1A11 | Protecting the Environment Learning Outcomes When you have worked through this Study Unit, you will be able to:

1.A.11.1 Describe and explain the main risks to the environment arising from workplace activities 1.A.11.2 Outline the main elements of an environmental management system (e.g. ISO 14001) 1.A.11.3 Describe and explain measures to minimise risks to the environment arising from workplace activities

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Risks to the Environment Arising From Workplace Activities Resource Depletion Many of the resources that drive our economies are limited and will therefore one day be exhausted, if we continue to use them at current rates. For many, the risk of running out of resources is something that does not immediately concern us. It is a problem for the future and for someone else. As long as the resources are available today then why worry? Protection of our future generations depends on responsible practices today and in some cases resources are already running out. Resource depletion is a problem for today.

Types of Resource Resources fall into three categories: perpetual, renewable and non-renewable. Perpetual Resources Perpetual resources appear to be inexhaustible. Examples include solar energy and the hydrological system. Renewable Resources Renewable resources are those that can usually regenerate themselves by means of biological reproduction. All animals and plants can, therefore, be classified as potentially renewable resources, although this obviously is only true if the rate of use does not exceed the capacity of the species to renew its numbers. Non-Renewable Resources Non-renewable resources are of fixed quantity and, once used,they are gone forever. This is because they are either no longer being created or because their regeneration rate is so long that they are totally beyond the time span on which human beings can work. Metaliferrous ores, such as those containing lead, copper, zinc and aluminium would fall into this category. Another non-renewable resource, which will have huge impact on the future progress of the planet in many areas, is oil.

Air Pollution The deterioration of the environment has been the result of a variety of human developments, such as industrialisation, urbanisation, and population growth. The public perceives industry as a major polluter. Pollution effects are not just limited to industrial activities, however . In Northern Europe, for example, one of the most damaging pollutants affecting air quality results from the use of private cars. The principal components that have a significant effect on the environment are: •

Sulphur Dioxide The major source of sulphur dioxide is the combustion of fossil fuels containing sulphur, mainly coal and fuel oil. Natural gas and petrol have much lower sulphur contents.

•

Particulate Matter Particulate air pollutants are very diverse in character. They can be organic or inorganic, soluble or insoluble, with diameters ranging from 0.01 to 100 µm. The majority of particulate matter (by weight) exists in the range 0.1 to 10 µg (PM10), but the main

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causes for concern are particulates below this upper range because of their ability to enter the lungs. Across the world, significant sources of particulate matter are internal combustion engines, processing plants and fuel combustion. •

Oxides of Nitrogen The major source of NO 2 is the high temperature reaction of atmospheric nitrogen and oxygen in combustion processes. Power stations and road transport are the main sectors for this type of pollution. Nitric oxide and nitrogen dioxide are significant in the formation of ozone in lower parts of the atmosphere. In this area, ozone is harmful to health, as opposed to stratospheric ozone, which protects us from the sun’s ultraviolet radiation.

•

Oxides of Carbon Carbon monoxide is associated with petrol engines. Most other combustion processes are more efficient and cause little CO emission.

•

Volatile Organic Compounds (VOCs) ‘Volatile Organic Compound’ is a general term, covering any organic compound that is gas at normal temperature and pressure. It covers hydrocarbons and compounds also containing other elements such as oxygen, nitrogen, and chlorine.

The pollution of air can have major impacts on the environment, including: global warming, ozone depletion, photochemical smog and acid rain.

Land Pollution Land, like water and air, is vulnerable to pollution from a range of sources: •

Atmospheric Deposition Deposition of radionuclides (as happened in the Chernobyl disaster) can lead to extensive soil contamination and the precipitation of acidic pollutants can result in acidification of soils.

•

Waste and Spills Hazardous waste buried in landfill, fly-tipped or buried on company premises, as well as spills and leaks associated with company activities, are frequent causes of land contamination.

•

Agricultural Practices Soil contamination is an accepted but undesirable consequence of the application of pesticides.

•

Landfill Sites Landfill sites are the most commonly used form of waste disposal. A landfill site must be geologically suitable. Ideally it should be impervious, e.g. underlain by clay, but if not a membrane can be laid to make it so. The design should minimise ingress of ground-water that could arise due to changes in the local water table, flood conditions or the existence of springs or streams. The site should be finished with an impervious clay dome to shed rain-water. Modern landfill sites are highly engineered. Works commence with detailed engineering surveys and studies of the geology, hydrogeology, soils, water, ground-water and many other parameters. Today, sites are expected to avoid pollution, so sites are usually lined with a plastic or asphaltic liner,

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followed by the development of a complex of leachate and gas collection wells and pipes. Monitoring of all these systems is required and incorporated. Certain kinds of hazardous waste are not considered suitable for disposal by landfill, however sophisticated the site. These include some clinical wastes, pesticides, industrial gases under pressure in degradable containers, highly flammable concentrates, and certain heavy metals such as lead and cadmium. Potential Problems with Landfill Sites The major potential problems concerned with landfill sites are:

−

Landfill gas. Leachate.

−

Nuisance.

−

Vermin.

−

Water Pollution Water pollution is the reduction in quality of rivers, lakes, streams, and oceans by the introduction of chemical, physical, or biological pollutants. These can include: •

Waste This includes: industrial effluents, domestic and agricultural sewage, radioactive discharge, and thermal pollution.

•

Urban Run-Off The discharge of storm water drains directly to watercourses.

•

Agricultural Run-Off This includes: fertilisers, pesticides and weedkillers.

•

Oil Spills These can be locally from a company’s operation into a stream or through accidental or deliberate discharge into the sea.

•

Acid Precipitation Rainfall polluted by contaminants in the atmosphere and subsequently deposited in lakes may cause acidification of the body of water, and is an example of the movement of pollution from one medium to another.

Certain pollutants are particularly harmful, for example, just 250 grams of pesticide could be enough to exceed the permitted limits in the whole of London’s water supply. Oil is another substance of particular harm, because a gallon of oil can pollute an area of water the size of two football pitches. Solvents are also very potent pollutant substances when allowed to reach a watercourse or underground water; one litre of the common degreasant trichloroethylene could contaminate 100,000,000 litres of drinking water (the equivalent of 50 Olympic sized swimming pools). The dispersion of pollutants to water is often caused by oils and fuel or sewage. The passage of water along a waterway both spreads and dilutes a pollution event. The extent of dilution will therefore depend on the flow rate of the watercourse and on any tidal effects. Sources of Water Pollution Water pollution is often caused by some, or all, of the following issues:

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Outfalls from sewage systems. Storm water overflows from sewage systems or combined sewers. Factory wastes, for example, contamination deposited on drained surfaces, such as: oil, rubber, chemicals, pesticides, and mud and silt from construction. Wrong connections of foul or surface water drains, either due to ignorance or accident; all companies should check their drain connections to ensure they are correct. Public ignorance of drainage systems and where they flow. Spillages or deliberate disposal, of oil in particular, flushed into surface water drainage systems. Surface water pollution caused by sudden flooding of contaminated drains and soakaways. Groundwater pollution from contaminated land, landfill sites or accidental spillage. Accidental releases, e.g.: road traffic accidents, spillage from industrial sources, and ground-water pollution from mining or metalworking.

Climate Change The greenhouse effect is a scientifically proven phenomenon, produced by an insulating layer of gases in the earth’s atmosphere. This term was adopted because the gases act like the glass in a greenhouse, (they allow sunlight to enter, but hinder its release). The gases help to keep the earth warm and without them the earth would be 30°C cooler and life as we know it could not exist. However, it is the enhancement of this natural effect by humans which is a cause for concern. Human activities release extra amounts of greenhouse gas into the atmosphere, which increases the atmospheric temperature in a process that is known as global warming. This can lead to climate change, with some of the following potential effects:   

 

Sea level rise, due to thermal expansion of water and a melting of land ice. Average temperatures could rise by a further 3°C by 2100. Seasonal changes causing some countries’ winters and autumns to become wetter, and a change in spring and summer rainfall patterns Higher temperatures may lead to poorer air quality in the summer months. Health may be affected by increased temperatures due to changes in the availability of water and also in the spread of disease.

Stratospheric Ozone Depletion The ozone layer occurs naturally within the stratosphere at approximately 25 km above the earth’s surface. This layer is a protective layer that filters out potentially harmful ultra-violet radiation from the sun. However this layer is being broken down by complex chemical reactions occurring between man made chemicals, ozone and sunlight. The gases, which persist in the atmosphere, have typically been used in foams used in packaging, insulation in buildings and refrigeration plants and solvents used in the electronics, engineering and in dry cleaning industries. Ozone depletion has been especially significant over Antarctica during springtime. As a result of the climatic conditions in the area, this creates an annual hole in the ozone layer, which is

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about the size of North America and has spread to the edge of Latin America and the Falkland Islands. Any reduction in the amount of stratospheric ozone will lead to increased exposure to biologically damaging ultra-violet radiation. For humans, this could mean increased incidences of skin cancer, cataracts and immune system disorders. Plant and animal life is also affected by increased ultra-violet radiation, with damage to crops and eye cancer in cattle. As these substances can persist in the stratosphere for more than a century we can expect to experience ozone holes for the foreseeable future.

Over-Abstraction of Water

Water is essential for life, but only 0.5% of the world’s water is available as freshwater in rivers, lakes and economically recoverable groundwaters. When water that is too polluted or expensive to tap is deducted from this amount, the total quantity falls to 0.003%. However, this is not evenly distributed with some peopled receiving too little, while others receive too much. Surface water can be abstracted from streams, rivers and lakes and from beneath the ground in permeable rock strata (aquifers). If we take too much from these sources, water systems can be affected and water shortages can result. Therefore, careful management of freshwater resources is a necessity. Reducing the amount of water used will help protect the environment and, like energy efficiency, can make real cost savings tobusiness. The Environment Agency in theUK estimates that a manufacturing company could be spending 1 % of business turnover on water bills. There are additional costs associated with the treatment of any wastewater produced, and costs associated with final disposal to sewage treatment plants. Water efficiency is usually considered to be the use of improved technologies and practices that deliver equal or better services with less water . The phrase is often used, interchangeably, with water conservation, although this tends to be more related to the actual reduction of water use, i.e. doing less with less water. The principles of effective water management are similar to those of waste management and the control of health and safety, with a hierarchy of control: 1.

Preventing spills and leaks.

2.

Eliminating water use.

3.

Reducing water use.

4.

Reusing water.

5.

Recycling water.

Options for water efficiency may include capital cost and low or no cost options, and could involve some of the following: Recycling of process water. Changing operational practices. Adjusting equipment operations. Installing leak detection and repairing leaks. Regular maintenance of equipment, plumbing and heating systems.

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Turning off equipment when not in use. Reducing landscaping requirements. Regular reading of water meters, calculation of daily uses and visual inspections. Installation of technologies such as: spray taps on hand basins, electronic sensor taps and timed, turn off push taps, urinal flushing controls, dual flush and low flush WC’s. Education of workforce. A cost analysis of the water efficiency opportunities will assist in determining a prioritised implementation schedule.

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Environmental Management Systems Introduction All organisations have some impact on the natural environment, particularly through the resources they use, the processes and activities they undertake, and the waste that they create. Every business no matter how large or small, can achieve results if improvements are planned and carried inabusinesses structuredtoand co-ordinated manner Good environmental management can alsoout help ensure compliance with. environmental law, save money and improve public relations. A formal Environmental Management System (EMS) can help organisations to achieve these. A management system can be described as any process that is used in order to make the planning and operation of people’s dailyexistence simpler. Such processes can help to distribute procedures and information throughout a company, check whether they are being followed and are working. Environmental management systems are used to check whether company instructions, procedures and information relating to the environment are being followed.

Types of Environmental Management System. The main standards for environmental management systems are: •

ISO 14001:2004

•

EMAS (European Community Eco-Management and Audit Scheme) – implemented through EU Regulation 1221/2009/EC

They are basic specifications for achieving good environmental management practice.For more detailed information visit the EMS web-portal here: http://ems.iema.net/emas

Benefits of an Environmental M anagement System There are many benefits of an environmental management system. These include:

Environment Benefits There can be less impact on the environment through reduced: raw material consumption emissions waste odours noise energy use impact on eco-systems

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Financial Benefits Businesses can become more profitable by: Reducing waste of raw materials and consumables Using resources more efficiently with less waste and rejects Reducing insurance premiums, as the insurance risk is reduced Attracting investors, consumers and customers who want to share such environmental ideals Reduced risk of fines for non-compliance with environmental legislation

Public Relations Benefits Improved relations with local community and environmental groups Improved public image Increased customer confidence in the goods supplied and ways in which they are manufactured

Compliance A business that works safely within the law: Avoids warnings, fines or even prosecutions from environmental regulators, (breaking some laws can mean the imprisonment of a company’s directors) Has the peace of mind that it is conforming to legal requirements

Benefits to the Employee Good environmental management brings benefits to the employee by: Improving the working and living environment for the employee Improving employee health and quality of life Reducing the potential for environmental incidents Increasing employee motivation and personal commitment to the company Increasing their environmental awareness

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Elements of an Environmental Management System Environmental Management Systems operate in a cycle, as shown in the model below:

Environmental Management System Model for ISO 14001

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Environmental Policy The environmental policy is very important as it sets the direction of the organisation to improve its environmental management. It is often said that the policy is the cornerstone of an EMS as it states the organisation’s commitment to environmental protection. The responsibility for setting an environmental policy normally rests with the organisation’s top management. The policy should be written in a way so that it is understandable to everyone and should be available to members ofstaff. The findings of the environmental review should be considered when writing the policy and include: The core values and beliefs of the organisation What interested parties expect (e.g. shareholders or regulators) Continual improvement Pollution prevention Co-ordination with other policies, such as quality, health and safety Compliance with relevant environmental regulations

Planning Environmental Management Activities The next stage focuses on the planning of the system in four key areas:

Environmental Laws and Other R equirements As well as environmental impacts, lists should be made of the environmental legislation that controls the sites activities. It is useful to look at other information affecting the business, such as sector guidelines e.g. WRAP . Access to information sources is vital as newlegislation is always being developed. Sources include on-line services such as the Environment Agency (in England and Wales), Netregs (for Scotland and Northern Ireland) and GOV.UK for Government policy and guidance.

Environmental Impacts A list (or register) of all the impacts from the activities (or products or services) from the organisation should be compiled. There should also be a way of calculating which of these impacts are more important to you as a business, or has a larger environmental impact. The impacts that are seen to be more important (significant) would then form targets for improvements.

Objectives and Targets Objectives need to be established defining an overall goal for the business. In addition, these objectives need to be supported by ‘SMART’ targets (Specific, Measureable, Achieveable, Realistic and Timebound). otherwords, targets need to be clearly measureable and lead to environmental performanceInindicators for the business.

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Action Plan or Environmental Management Programme An action plan or Environmental Management Programme will be required to meet these targets. This will outline how these targets are going to be met, what will be done, by whom and when.

Implementation and Operation Environmental management set structures to allow them to operate smoothly, to help meet any targets set, tosystems achieve have environmental improvement and continual improvements. Such structures and procedures include Giving someone the responsibility for environmental activities Setting the requirements for appropriate environmental training Setting the standards for the control of paper work and documentation Communication EMS documentation Document control Operational control Emergency preparedness and response

Checking, Corrective and Preventive Actions This part of an EMS is vital as it measures and monitors key activities of the EMS to make sure that the targets, and any other requirements are being met. Records should be kept to prove that the system is working. These can include legislative requirements, permits, environmental impacts and environmental training activity. If any areas do not meet any the needs of the system (checked through the monitoring), then they will be recorded so that corrective action or improvements can be made.

Environmental Management System Audit After a set time (often 6 months or a year), an audit needs to be carried out to determine whether or not the EMS is working and that the targets have been met. Audits should be carried out by qualified and experienced people and should work to audit standards.

The Management Review and Continual Improvement This is the final part of an EMS. Senior management needs to review the EMS to ensure it is achieving continual environmental performance improvement, through meeting its environmental targets. Although the management review is the last specified part of an EMS, it must not be forgotten that the overall goal of an EMS, is Continual Improvement.

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The Next Step - Certification? When the system has been written and is working, the main options are to: •

Self declare that the EMS conforms to the standard.

•

Seek formal third-party certification from an independent, accredited, certification body.

Most organisations opt for the second option as it shows certifiable proof that the EMS conforms to the specifications in ISO 14001, which makes it more credible. This needs to be set against the cost of certification.

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Minimising Risks to the Environment Here we shall discuss a range of risk management strategies to deal with the main environmental impacts discussed earlier.

Pollution Control Pollution refers to contamination or damage to the environment caused by human activity. We can identify three broad classes of pollution: Atmospheric pollution – fumes, smoke and dust discharged into t he air from incinerators, traffic exhausts or other by-products of industrial processes. Incinerators are used for a variety of purposes. Applications include destruction of:

•

−

Domestic waste, commercial waste and certain industrial wastes.

−

Liquid industrial waste, e.g. oils, solvents.

−

Clinical waste.

−

Animal carcasses, etc.

Advantages Incinerators are used in a number of applications and have many advantages over other disposal methods, for example:

•

−

Reduction in volume.

−

Destruction of hazardous components.

− −

Creation of ash that can be disposed of easily. Small size of plant.

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Immediate and measurable effects.

−

Can be used to raise energy by utilising calorific value of waste.

Disadvantages These include: −

High capital cost and monitoring requirements.

−

High fuel costs on start up.

−

Need to carefully control inputs.

−

Incinerators are not suitable for aqueous wastes, wastes containing heavy metals, chlorinated materials (unless special controls are in place), and non-combustible solids.

−

Release of carcinogenic dioxins into the atmosphere – these may contain potential cancer causing fumes.

−

Waste transportation from one site to the incinerator.

Control of atmospheric pollution is achieved by a system of permits or consents from government agencies. This is backed up with regular atmospheric monitoring of the stack. To be within permitted emission limits usually requires some form of abatement technology, such

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as scrubbers. The available techniques need to be balanced against the cost involved. What is appropriate is considered in the light of the nature of the industry and the desired level of environmental protection. Water pollution – liquid waste (effluent) comprising toxic substances such as detergents discharged into ground water, rivers or sea-water directly from sewers, factories or surrounding land, such as fertilisers being washed away from farm land by the rain. Measures are to be taken to prevent the release of any waste from reaching and polluting water courses. Land pollution – solid waste from industrial processes deposited on land causing contamination.

Waste Management Strategies The general approach to waste management should take account of a hierarchy of waste management options as shown in the figure below:

Waste reduction – the primary emphasis should be on not producing waste in the first place, by process change and optimising process efficiency. Reuse – for example, returnable glass bottles. Recovery of waste – i ncluding recycling (such as glass, metal and paper), composting and incineration with energy recovery. Disposal – generally to l andfill.

Waste Management in Practice Minimisation The emphasis should be on not generating waste in the first place. So, although waste may be unavoidable in many cases, minimisation can be achieved by process change and optimising efficiency.

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Storage Waste must be properly stored and protected. If it is not, it may escape to the environment and cause harm. Practically this means covering skips, storage in bunded areas (to protect against leakage) and security.

Labelling Waste should be labelled where appropriate and in accordance with International classification systems. If the waste is hazardous for transportation, it should also be correctly labelled in accordance with relevant transportation regulations.

Carriage and disposal of waste Waste is to be removed from the site responsibly. The organisation that creates the waste ultimately remains responsible for the fate of the waste so that if, for example, it is taken by a carrier and illegally dumped, liability is often placed upon the waste holder who would be responsible for the clean up. It is for the waste holder to ensure the credentials and competency of any waste carrier, who must be a registered and approved carrier of the waste.

Energy Efficiency A great deal of energy comes from non-renewable fossil fuel, such as electricity, gas, oil and coal, but we have a need to conserve such natural resources for future generations. Reducing the amount of energy used will help prevent the depletion of non-renewable energy sources. Carbon Dioxide (CO2) is a by-product of most combustion processes, and the burning of fossil fuels contributes to increased levels of CO2, a greenhouse gas, in the atmosphere, with a resultant effect on global climate change. A reduction in energy consumption will help to reduce emissions of CO2, reducing the impact of climate change. From a business perspective, energy is a ‘significant controllable cost’ with energy efficiency resulting in an immediate and direct cost saving, a concept that makes sound business sense. Energy efficiency can be considered, simply, to be using less energy for a desired outcome. For example, reducing the amount of energy used to heat or light a building or to manufacture a product. A combination of low cost and capital cost measures is considered to be the most effective way forward. Low cost or no cost options could include: Switching off unused equipment. Installing or resetting controls. Maintaining equipment. Ensuring equipment is operating at optimum performance. Employee education programme. Switching off building lights when not in use. Adjusting, installing or correctly locating heating thermostats. Draught proofing and management of door opening. Those measures that would involve a capital cost may include: Purchasing of energy efficient equipment.

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Introduction of waste heat recovery systems. Installation of combined heat and power technology.

Transport Management Transport is responsible for significant emissions of all the carbon dioxide across the world. The options to reduce these emissions from transport are to move away from the use of fossil based fuels, such as petrol and diesel, or to use them more efficiently. In the emissions, in the infrastructure required for transport resultsnatural in the useaddition of largetoareas of land andproblems the destruction of natural habitats, areas of outstanding beauty, towns and cities, and recreational areas. Congestion can also result in the concentration of pollutants in certain areas. Most organisations have an impact on traffic in a number of ways, for example: Staff commuting to and from work or travelling between work sites. Delivery of goods and services to the organisation. Shipping and distribution of products. Visitors to the organisation, for example, shoppers or patients. Options for minimising the impact of transport on the environment could include: The use of new technologies and fuels, for example: −

Liquefied petroleum gas, which has some, but limited environmental benefits.

−

Compressed natural gas, which has emissions benefits. However, refuelling facilities need to be supplied by users, which will limit, in practice, the use of this as a substitute fuel.

−

Bioethanol, which is manufactured from wheat or sugar beat and can be blended into petrol.

−

Battery electric vehicles that have no emissions at the point of use, but have limited performance.

−

Increased improvements in the fuel efficiency of conventional vehicles and vehicle design to reduce weight.

−

Hydrogen vehicles – London has its first hydrogen buses.

Improving fuel consumption through driver behaviour. Management of delivery loads. Introduction of travel plans to ensure the amount of traffic generated by an organisation is reduced to the lowest possible level. For example by: −

Using videoconferencing wherever possible.

−

Encouraging employees to car share, or to use alternative means of transport, such as buses, trains and cycles by means of offering low cost season ticket loans, or providing cycle and shower facilities at the office.

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Environmental Monitoring Monitoring and Control Monitoring is not a control method. It is a means of demonstrating control and of enabling failures to be recognised. Many companies discharge a trade effluent to the sewer orto surface water. The regulatory agencies may check these from time to time, but the checks cannot be considered to be a control method by the company producing the effluent, since the results will only confirm something that happened perhaps several days or even weeks before. Reliance on them for confirmation of day-to-day controls is not a valid method of ensuring that there are no compliance failures.

Monitoring Techniques These include: Routine visual inspection. Instrumental monitoring. Techniques available for instrumental monitoring include: continuous measurement, and grab or spot testing. The type of monitoring required will depend on the level of risk. A large incinerator, for example, will have continuous monitoring (of which there is a permanent record), whereas a chimney-stack where there is a low risk may only require monitoring on an annual basis. Similar factors apply to water discharges.

Sampling Techniques The first task in monitoring is to collect the sample, e.g. air, water, gas, so that it may be analysed. There are a number of considerations here, with the decision of the approach to be used depending on the risk level of the contaminant being assessed. •

Location of the Sample Samples may be taken in the general working atmosphere, or at a position close to the contaminant generation.

•

Method of Analysis The procedure may involve sampling and analysis in the same instrument, or taking the sample collected and analysing it using different equipment, perhaps in a laboratory away from the point of collection.

•

Duration of the Sampling There are three approaches to this: −

A spot or grab sample, which is a single sample collected instantaneously at a particular location or time. in a limited area, andmay is representative only thatbylocation or area at that point in Such samples be analysed on theofspot the same instrument or be taken away for subsequent laboratory analysis. To obtain timeaveraged levels, a series of spot samples may be taken over the period in question, but this is not necessarily accurate.

−

A better method of obtaining a time-weighted average is by collecting a sample over a period and then analysing it.

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−

•

A continuous monitored sample – where a sample is collected continuously over a period of time. In this case, the sample will be analysed during the monitoring, either by the sampling instrument itself or by direct connection to another instrument that carries out the analysis continuously.

Frequency of the Sampling The frequency with which spot samples are collected will depend on the type of contaminant and/or the results of the last sample. Thus, for example, if an initial sample was borderline, samples taken very frequently until a satisfactory is obtained. On further the other hand, may if thebeinitial sample showed that the atmosphere reading was safe, no further readings would be necessary for a considerable period. To obtain time-averaged levels, either a series of spot samples may be taken over the period in question or spot readings may be taken from a continuous sample.

Environmental Training Needs Failures in environmental systems or procedures can result in non-compliance with environmental requirements, the risk of compensation payouts for environmental damage or clean up, loss of time and a loss of reputation for the organisation. Helping people understand the need for a course of action or behaviour can help motivate people and effect cultural and behavioural change, particularly if they understand how their contributions can make a difference. Training and communication are key to ensuring all employees understand their responsibilities, are equipped with the right skills and knowledge, and are able to help the organisation continue to meet its obligations and aims. Where training is in relation to the environment, the organisation’s environmental objectives provide a focus for a training-needs analysis. This stage is critical in ensuring the correct training will be delivered to the right people. An analysis of the strategic and operational or departmental training needs will be required. For example, the introduction of new processes may require new skills, new waste handling and storage procedures may need to be communicated, and particular departments may have greater environmental risks than others. The individual training needs of employees, such as production managers, purchasing managers and site operatives will also need to be established to identify the additional skills and knowledge needed to effect change. It is important that the training is evaluated, possibly through questions to trainees, testing attendee’s knowledge and skills, or observing employee behaviour. Certainly establishing whether the training achieved its objectives is critical, and will help to identify any necessary changes to the delivery.

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CONTENTS Study Unit

Title

Page

1A12 Engaging the Workforce HOW ENGAGEMENT AND CONSULTATION CAN CONTRIBUTE TO AN IMPROVED HEALTH AND SAFETY CULTURE ............................................................................................................................................................. 3 ENGAGEMENT AND CONSULTATION ............. ................ ............... ............ ................ ................ ............. .............. ........... 3 BENEFITS OF POSITIVE CONSULTATIVE PROCESSES ............... ................ .............. .............. ............... ................ ............ .... 4 ROLE OF CONSULTATION WITHIN THE WORKPLACE ......................................................................................... 6 ROLE OF SAFETY REPRESENTATIVES ............. ................ .............. ............... .............. ................ ............. ................ ....... 6 SAFETY COMMITTEES ......................................................................................................................................... 8 FORMATION, FUNCTIONS AND CONSTITUTION OF A SAFETY COMMITTEE ............... ................ .............. .............. ............... ....... 8 PROTOCOL ................ .............. ................ ............ ................ ................. ............ .............. ................ ................ ...... 8 CONTRIBUTIONS OF EMPLOYEE REPRESENTATIVES/SAFETY COMMITTEE MEMBERS ............... ............... ................ ............ ........... 9

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BSC International Diploma – Element 3A | Developing a Positive Health and Safety Culture

BSC International Diploma | Unit 3 Element 1A | Fundamentals of Health and Safety Management Study Unit 1A12 | Engaging the Workforce Learning Outcomes When you have worked through this Study Unit, you will be able to: Explain how engagement can contribute to an improved health and safety culture. Describe the role of safety representatives. Explain how safety committees can contribute to a positive health and safety culture.

Unit 8:

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How Engagement and Consultation Can Contribute to an Improved Health and Safety Culture Engagement and Consultation It is well accepted that those companies who perform the best are the companies who have managed to involve their workforce in the business. We all like to feel involved and we feel hurt or threatened when we are not. We respond well to change when we know that we were in some way instrumental to that change evolving. We resist change when it has been imposed on us and if we do not agree or understand why the change was brought about in the first place. To engage someone is to attract or involve that person’s interest or attention. A key element of engagement is to actively consult on ideas and initiatives. Dictionary definitions clarifying consultation include the following: •

To seek advice or information.

•

To consider in company.

•

To take counsel.

•

To give or receive professional advice.

•

To confer with two or more in counsel.

We all have one or more of those definitions in mind whenever we see the word ‘consultation’, but what about ‘positive consultation’? Some managers believe that informing the workforce after they have decided to introduce some new technology or downsize the company by means of a redundancy programme is ‘consultation’. This is certainly not the case. Consultation means to discuss (with others) a given agenda and to give or receive information or advice about that agenda prior to taking any action or arriving at decisions about possible courses of action. Positive consultation is based on a willingness on both sides - employer and employee - to consider problems together, to make use of each other's knowledge and expertise, and to apply that collective wisdom to the problem in hand. The emphasis in positive consultation must be on prior or before the event consultation followed by effective decision-making based on the collective expertise and knowledge drawn from both sides. It is important that the employer consults in good time with any elected representative of employee safety on the following matters: The introduction of any new measure at a workplace which may substantially affect health and safety. Arrangements for appointing competent persons to assist the employer with health and safety and for implementing procedures relating to serious and imminent danger. Any health and safety information that the employer is required to provide. The planning and organisation of health and safety training, and health and safety implications of the introduction, or planned introduction, of any new technology. We have said that consultation, to be positive, has to be a ‘joint’ and ‘prior to the event’ enterprise. The above four points outline management's role in the consultative process, but the representatives themselves must be active in promoting and encouraging a health and

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safety culture amongst their colleagues. To do this they must keep themselves informed of developments in health and safety, encourage co-operation between employees and the employer in the promotion of any measures designed to improve health and safety in the workplace, and above all lead by example.

Benefits of Positive Consultative Processes Where such a positive consultation process takes place, improvements in the health and safety culture can be seen.

Accident Reduction According to UK research:

“Workplaces with trade union safety representatives and joint health and safety committees have significantly better accident records – over 50% fewer injuries – than those with no consultation mechanism.” This was stated in an article by Reilly, Paci and Holl, “Unions, Safety Committees and Workplace Injuries”, published in theBritish Journal of Industrial Relations in June 1995, and quoted by the UK Government in its Revitalising Health and Safety Strategy Statement (June 2000). In the latter document, the UK Government states that:

“Key to delivering health and safety in the workplace is effective engagement of the workforce themselves; that in turn means effective representation of the workforce in decisions relating to the safety regime. Ministers and the Health and Safety Executive attach great importance to the role played by safety representatives in securing good standards of health and safety.”

Increased Productivity Better consultation on health and safety issues can have a positive effect on employee motivation. Workers feel more engaged with the workplace and can see their views being sought and acted on. This improved motivation will often lead to increased productivity. Many workplaces also discover that improved consultation on health and safety matters has other, often unexpected, spin-off benefits. Because employees are being consulted on health and safety and are being encouraged to raise health and safety issues with subsequent discussion and resolution, they will feel able to raise other issues as well. Quality issues, efficiency issues, waste minimisation ideas, all may be raised and then considered and acted on by the organisation. In this way some significant improvements can be made which are entirely incidental to health and safety, but have been discovered as a direct result of the consultation process. One other direct effect on productivity to be derived from the consultation process is the improvement in working conditions, processes and welfare provision. Improvements in any of these areas can lead to significant productivity increases, because workers are physically and mentally better able to perform the work on a long-term basis in an efficient manner. Consider two for example. BothEmployees are poorly in lit,both poorly ventilated, with noisy office machinery andoffices, poor welfare provision. offices feel demotivated, psychologically stressed and experience eyestrain, headaches and fatigue due to the poor working conditions. If one of the companies begins to consult with its workforce and act on the results, all of the various concerns and complaints will lead to an improvement in standards and an inevitable improvement in staff health and well-being. Improved ventilation, lighting, welfare provision and reduced nuisance noise levels lead to less stress, less fatigue, fewer headaches and improvements in productivity, efficiency, quality, etc. This makes the company

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more competitive than its counterpart and also improves staff retention levels, reduces absenteeism and makes recruitment an easier process. (If you were shown each workplace during a job interview, which one would you prefer to work in?)

Better Employee Understanding Over two thirds of those who responded to the UK Government’s Revitalising Health and Safety initiative at the consultation stage said that “workers would take greater personal responsibility for their own health and safety and that of colleagues if they understood more about the benefits of good was practice the potential consequences A remedy often suggested that and “workers should be encouraged of to irresponsible get involved action”. with health and safety matters in the workplace, and that there should be better training and support for safety representatives”. When asked how workplace involvement in improving health and safety standards could be encouraged, over half of those responding said that “there should be greater consultation with workers on health and safety issues”.

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Role of Consultation within the Workplace Employers could choose to consult with their employees: Directly, or Through employee representatives elected by a group of employees. Where consultation is through such employee representatives, it is important that the employer informs the employees of the names of those and the group of employees they represent. Employees should also be toldrepresentatives, when the employer discontinues consultation with those employee representatives. Discontinuation may occur when: The employee representatives have informed the employer that they no longer intend to represent their group of employees in health and safety consultations. The employee representatives no longer work in the group of employees they represent. The period of election has elapsed without the employee representatives being re-elected. Employees and their representatives should be informed by the employer, if he decides to change from consulting with the employee representatives to consulting with the employees directly. Where consultation is direct, employers must provide all information the employees will require in order to participate fully in the consultations.

Role of Safety Representatives In this section we will look at the functions and rights of safety representatives. It is important that representatives of employee safety elected in workplaces are given certain roles and responsibilities in order for them to fulfil their function.

Main Functions The main function of a safety representative is to represent the employees in consultations with the employer. Other functions should includethe right: to carry out inspections of the workplace; to look at the causes of accidents; to receive information from health and safety inspectors; and to attend meetings of the safety committee. Safety representatives should also have the right to ask for, and receive from the employer certain information (see later) which relates to the place of work. Such information would include records of accidents and information relating to hazards. The employer should inform the safety representatives of the name(s) of the person(s) nominated to act in an emergency, provide any health and safety information on the planning and organisation of health and safety, any health and safety training, and the health and safety consequences of new technology. In the UK representatives do not have powers to stop either work or machinery; they may only advise in such matters. It is important that safety representatives notify the employer of their intention to carry out an inspection, where it is reasonably practicable. It is also important that the employer provides such facilities and assistance, including facilities for independent investigation and private discussion, as the safety representatives may reasonably require.

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Training, Time Off and Provision of Facilities Employers should provide safety representatives with appropriate training and other relevant facilities so as to enable the representatives to carry out their duties efficiently. Employers should also meet all reasonable costs associated with the training, including travel and subsistence. In addition, the employee representatives should be given paid time off to perform their safety duties and to attend relevant training courses. Paid time off should also be provided for candidates standing for election as employee representatives to allow them to perform their duties as candidates.

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Safety Committees Formation, Functions and Constitution of a Safety Committee The function of a safety committee is to keep under review the measures taken to ensure the health and safety at work of the employees, and such other functions as may be prescribed. The composition of the committee is a matter for the employer, although he should have at least one safety representative on it and post a notice stating the composition of the committee. Membership of the safety committee should be decided following consultations between representatives of the workforce and the management. It is essential that a proper balance be achieved in the structure of the safety committee. It is good practice to create a committee of workers that is made up of members both from the management sector and from the shop-floor. It may be useful to electex officio members, e.g. the medical officer or one of his staff, the works engineer, the production manager and the safety practitioner. The aim is to keep membership of the committee reasonably compact and to ensure a mechanism exists for the consideration and implementation of recommendations by senior management. Although not having executive power, the committee has a strong advisory role to play in the management and resolution of an organisation's health and safety problems.

Protocol •

Frequency of Meetings

•

The committee should meet on a regular basis. Agendas An agenda should be circulated in advance of meetings. Items likely to be discussed at a safety committee meeting include: −

Accident, incident and occupational illness data.

−

Review of the company safety policy.

−

Review of the safety management system.

−

Safety audits and reports.

−

Inspectors' reports.

−

Enforcement agency information and advice.

−

Reports from safety representatives.

−

Risk assessments.

−

Safety training initiatives.

−

Safety rules and procedures and their development.

−

Workplace inspections.

−

Health and safety communication and publicity.

−

Forthcoming legislation.

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•

Quorums There will sometimes be a minimum number of people required before the meeting is valid. This is called the quorum. A meeting held with an insufficient number of members attending is said to be ‘inquorate’. If a meeting is inquorate, it may be postponed to a future date or the members who do attend may proceed and make recommendations to be considered by the next quorate meeting.

•

Minutes A safety committee should keep proper minutes which record what action is to be taken and by whom. Minutes from the meetings should be displayed in the workplace so that all employees have access to them. The minutes are a formal record of proceedings. Each set of minutes will be signed by the Chairperson once accepted as a true and accurate record. Records of previous minutes should be kept in order to provide future reference points as necessary.

Contributions of Employee Representatives/Safety Committee Members We outlined the functions of the safety representative and safety committee member earlier, but how can you quantify their contribution to the management of health and safety in their organisation? Each of them is concerned with similar problems in the workplace: Health. Safety. Welfare. The working environment. Each safety representative and committee member must have some knowledge of current legislation on health, safety and welfare, and be aware of the relevant standards relating to such matters as noise, machine guarding, display screen equipment, manual handling, lighting, cleanliness and maintenance, heating, canteen and toilet facilities, etc. The safety representative is probably better informed on these matters than the average safety committee member and has an active role in representing the day-to-day interests of his members. The safety committee member has more of a reactive role in that he/she responds to incidents, accidents and reported problems usually some time after the event. The safety committee member probably attends meetings of the committee on a monthly or even quarterly basis during which he/she will examine incident and accident reports, hazard reports arising from safety inspections and the results of investigations into accidents and dangerous occurrences. Other issues, such as results of tests for noise, toxicity, etc. may also be examined and discussed. Very often the company safety policy arrangements will include instructions to be followed by employees who wish to complain about some aspect of health and safety. Bear in mind that the safety committee is a forum for discussion and for the resolution of problems on which the safety representative has failed to reach agreement with line management. The normal chain of events would be as follows: Employee complains to line management: −

Problem resolved – no further action.

−

Problem remains unresolved – referred to safety representative.

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Safety representative complains to line management on employee's behalf: −

Problem resolved – no further action.

−

Problem remains unresolved – referred to safety committee.

Safety committee discusses problem: −

Matter resolved - no further action.

−

Matter unresolved - referred to senior management by resolution of committee.

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Employee complains to line management

Yes

Problem resolved?

No further action

No Safety rep. complains to line management on employee’s behalf

Problem resolved?

Yes

No further action

No Matter discussed by safety committee

Problem resolved?

Yes

No further action

No Matter referred to senior management

Employee Complaint Sequence The safety policy will also advise that urgent health and safety matters must not be delayed until the next meeting of the safety committee but referred immediately to senior management by the safety representative. It is clear from these arrangements that the safety representative and safety committee member have complementary roles which, if followed correctly, play a very effective part in the good health and safety management of any organisation.

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Unit 1A - Course Notes

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