Nebosh National Diploma Managing Health and Safety Unit A Revision Notes

NEBOSH NATIONAL DIPLOMA
MANAGING HEALTH AND SAFETY
UNIT A REVISION NOTES

Module 945A.1.9
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NEBOSH National Diploma | Managing Health and Safety – Revision Notes
NEBOSH NATIONAL DIPLOMA
MANAGING HEALTH AND SAFETY
UNIT A REVISION NOTES
CONTENTS
LIST OF TOPICS PAGE
INTRODUCTION 1
SYLLABUS 1
EXAMINATION STRATEGY 3
LAST MINUTE PRACTICE 3
A1: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT 5
REASONS FOR MANAGING HEALTH AND SAFETY 5
INTRODUCTION TO HEALTH AND SAFETY MANAGEMENT 6
HEALTH AND SAFETY POLICIES 10
ROLE AND RESPONSIBILITIES OF THE HEALTH AND SAFETY PRACTITIONER 12
A2: LOSS CAUSATION AND INCIDENT INVESTIGATION 14
LOSS CAUSATION AND ANALYSIS 14
REPORTING AND RECORDING OF LOSS EVENTS (INJURIES, ILL-HEALTH AND
DANGEROUS OCCURRENCES) AND NEAR-MISSES 18
INVESTIGATION OF LOSS EVENTS 19
A3: IDENTIFYING HAZARDS, ASSESSING AND EVALUATING RISKS 23
HAZARD IDENTIFICATION 23
SOURCES OF INFORMATION 24
EVALUATION OF RISK 26
FAILURE TRACING METHODS 28
A4: RISK CONTROL AND EMERGENCY PLANNING 31
SYSTEMS FAILURES AND RELIABILITY 31
RISK CONTROL SYSTEMS AND METHODS 35
COST-BENEFIT ANALYSIS 37
WORKPLACE PRECAUTIONS 38
SAFE SYSTEMS OF WORK AND PERMITS-TO-WORK 41
EMERGENCY PLANNING 44
A5: ORGANISATIONAL FACTORS 48
INTERNAL AND EXTERNAL INFLUENCES 48
TYPES OF ORGANISATIONS 49
ORGANISATIONS AND HEALTH AND SAFETY MANAGEMENT 50
THIRD PARTY CONTROL 52
CONSULTATION WITH EMPLOYEES 56
PROVISION OF INFORMATION AND DEVELOPMENT OF INFORMATION SYSTEMS63
DESCRIPTION OF HEALTH AND SAFETY CULTURE AND CLIMATE 65
DESCRIPTION OF FACTORS AFFECTING HEALTH AND SAFETY CULTURE 67
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A6: HUMAN FACTORS 71
HUMAN BEHAVIOUR 71
PERCEPTION OF RISK 76
MAJOR DISASTERS 80
IMPROVING INDIVIDUAL HUMAN RELIABILITY IN THE WORKPLACE 81
ORGANISATIONAL FACTORS 82
JOB FACTORS 85
A7: PRINCIPLES OF HEALTH AND SAFETY LAW 89
SOURCES AND TYPES OF LAW 89
ABSOLUTE AND QUALIFIED DUTIES 94
ROLE OF THE EUROPEAN UNION 95
UK LEGISLATIVE FRAMEWORK 99
STRUCTURE OF THE COURTS 101
ENFORCEMENT OF HEALTH AND SAFETY LAW 104
A8: CRIMINAL LAW 111
THE HEALTH AND SAFETY AT WORK, ETC. ACT 1974 AND ASSOCIATED
LEGISLATION 111
DEFENCES AVAILABLE IN CRIMINAL LAW 114
A9: CIVIL LAW 116
CIVIL LIABILITY 116
BREACH OF DUTY, DEFENCES AND DAMAGE 118
OCCUPIER’S LIABILITY 125
NUISANCE 126
A10: MEASURING HEALTH AND SAFETY PERFORMANCE 128
PURPOSE OF PERFORMANCE MEASUREMENT 128
MONITORING SYSTEMS 129
MONITORING AND MEASUREMENT TECHNIQUES 130
PRESENTING AND COMMUNICATING FINDINGS 133
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INTRODUCTION
The RRC study material provides a comprehensive set of reference notes,
which amply covers the requirements of the NEBOSH National Diploma.
However, its strength is also its weakness in that there is too much material
to retain in detail. Consequently your examination success strategy must be
based on a revision programme that makes best use of this material but is
focused on the requirements of the NEBOSH examinations. Many students
simply rely on either trying to learn all the notes, which is almost
impossible, or concentrating on likely topics, which seriously reduces your
examination question choice, and therefore your chances of passing.
This revision guide has been prepared with the examinations in mind. It
covers key points within the syllabus.
Important: This revision book is NOT intended to replace a proper

course of learning.
The notes below give you guidance on using the syllabus as your best
revision tool and also suggest tactics for maximising mark attainment from
examination questions. There is no substitute for hard work, and the more
study time you can spare the better, but the secret is to use this time
effectively, as you will see below.
SYLLABUS
Your secret to success is the Guide to the NEBOSH National Diploma in
Occupational Health and Safety. The Guide sets out the structure of the
Diploma (examinations and the assignment) and contains the syllabus.
Keep it by your bedside and read it every day. All the examination
questions are taken from the syllabus and therefore, as you become more
familiar with the syllabus, you will be less likely to be 'thrown' by a surprise
question. Remember, however, that you will be expected to apply your
knowledge to both familiar and unfamiliar situations and to be able to
undertake critical analysis and evaluation of information presented in both
quantitative and qualitative forms.
NEBOSH exam questions are set from the syllabus, not from the RRC notes,
therefore an important revision technique is to map your notes against the
syllabus. You will find that in general your RRC notes follow the syllabus
quite closely, but this exercise is important to help you see 'the big picture'
or 'the helicopter view', which you need in order to familiarise yourself with
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the whole of the course material. It is all too easy, when studying one
specific section of an element of the RRC text, to lose sight of where the
material fits into the grand scheme of things, what practical use it is, or how
the Health and Safety Practitioner might use it in real life. Constant
reference back to the syllabus will put that topic in perspective and help you
to see how it relates to the field of health and safety generally. It will also
help you to cross-refer to other related topics, which you may have to do in
more complex examination questions.
To gain this overview you must at least know the elements that make up
each of the three main units and how they relate to the RRC material. Note
that each element in the NEBOSH syllabus (e.g. Element A1: Principles of
Health and Safety Management) contains the following two important
sections:
Learning outcomes, which specify what you should be able to

explain, appreciate, carry out, assess, etc. after having completed the
element.
Content, which gives you the topics that you should be fully familiar
with.
By using these sections of the syllabus you can test whether you possess
the necessary skills, knowledge and understanding relevant to that element
or whether you need to do more.
An effective revision technique is to take a pin (blunt, of course, for health
and safety reasons!) and randomly stick it in some part of the syllabus.
Now write down what you know about that topic. Initially this might be
very little, in which case go back to your RRC notes and summarise the key
issues that you need to know. Make a note of this topic and return to it a
few weeks later and see how much more you can now remember. If you
practise this regularly you will eventually cover all of the syllabus and in the
process find that you understand and retain the material much more
effectively. This is 'active revision' where you are testing your memory to
see what you have learnt. It is far more effective than 'passive revision'
where you simply read the RRC notes and usually switch off after 30
seconds with little recall of the material.
You will find it easier if you ensure that you understand the topic first, then
fill in the knowledge requirements (the detail) later. Ask yourself searching
questions on each topic such as: "What use is this?", "How would the
Health and Safety Practitioner apply this in real life?", "What is the point of
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this topic?", until you feel that you thoroughly understand why the Health
and Safety Practitioner needs to know this area. Once you have this level of
understanding the knowledge (detail) will be much easier to retain, and in
some cases you may simply be able to derive it from your own workplace
experiences.
Your revision aim is to achieve this comprehensive overview of the syllabus.
Once you have this then you are in a position to at least say something
about each of the topic areas and thus tackle any question set on the
syllabus content.
EXAMINATION STRATEGY
The examination process may seem complex but success simply depends on
averaging around half marks or more for each question. Marks are awarded
for setting down ideas that are relevant to the requirements of the question,
and convincing the examiner that you understand what you are talking
about. If you have the knowledge and understanding derived from study of
the syllabus as set out above, then this should not be a problem.
An important examination skill is carefully reading and analysing the
question so that you are clear about what is required to answer it. The
more you can study past examination questions, the more familiar you will
become with the way they tend to be phrased and 'the shape' of the answer
required.
A common failing in answering questions is to go into too much detail on
specific topics and fail to address the wider issues. If you only deal with
half of the relevant issues you can only achieve half of the marks. Try to
give as broad an answer as you can, without stepping outside the subject
matter of the question altogether. Ensure that you explain each issue in
order to convince the examiner that you have this all-important
understanding. Giving relevant workplace examples is a good way of doing
this.
LAST MINUTE PRACTICE

Finally, a useful way to combine syllabus study with examination practice is
to attempt your own examination questions. By adding a question word,
such as "explain" or "describe", in front of the syllabus topic areas you can
produce a whole range of questions similar to many of those used in past
papers. This is excellent examination practice because it serves as a
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valuable topic revision aid, while requiring you to set out your notes in the
way that you would under examination conditions.
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A1: PRINCIPLES OF HEALTH AND SAFETY

MANAGEMENT
REASONS FOR MANAGING HEALTH AND
SAFETY
We can identify three main reasons for the need to manage risk.
Moral
Employer owes a duty of reasonable care to his employees.
Society expects employers to ensure the health and safety of their

workforce.
It is unacceptable to place employees in situations where their health

and safety is at risk.
Legal
Preventive - enforcement notices issued by enforcement inspectors.
Punitive - criminal courts impose fines and imprisonment for

breaches of legal duties.
Compensatory - employees are able to sue in the civil courts for

compensation.
Economic
Insurance will cover some costs of accidents and ill-health, for example:
Compensation claims from employees.
Damage to motor vehicles.
Other costs that cannot be insured against:
Product and material damage.
Lost production time.
Legal costs in defending civil claims, prosecutions or enforcement

action.
Overtime and other temporary labour costs to replace the injured

worker.
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Time spent investigating the accident and other administration costs

(including supervisor's time).
Fines from criminal prosecutions.
Loss of highly trained and/or experienced staff.
Effects on employee morale and the resulting reduction in productivity.
Bad publicity leading to loss of contracts and/or orders.
Organisations can find it very difficult to fully quantify costs of accidents for
a variety of reasons. The company may:
Lack resources (expertise/time/people) to perform the analysis.
Lack understanding that some costs exist and so miss them entirely.
Suffer from under-reporting/non-reporting (and so be unaware).
Not know the full cost for a long time (on-going civil case, effect of
loss of goodwill, etc.).
Well documented case studies illustrate the financial benefits to be gained

from positive health and safety management – see
http://www.hse.gov.uk/businessbenefits/index.htm.
INTRODUCTION TO HEALTH AND SAFETY

MANAGEMENT
Definitions
Hazard – an object or situation with the potential to cause harm.
Risk – a computation of the likelihood of harm being done and the severity
of that harm.
Danger – liability or exposure to harm; a thing that causes peril.
Suitable and sufficient – set criteria have to be met.
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Health and Safety Management Models

HSG65
Policy
Organising
− Control.
− Co-operation.
− Communication.
− Competence.
Planning and Implementing
− Risk assessment.
− Implementing actions to deal with specific hazards.
Measuring Performance
− Reactive monitoring (after the event).
− Active monitoring (before the event).
Reviewing Performance
BS 8800
Designed to enable integration of health and safety management

within an overall management system.
It follows two approaches to health and safety management.

OHSAS 18001
Recognisable management standard for certification.
Requires an organisation to determine its existing health and safety

activities, and develop a management system to ensure that health
and safety performance is continuously monitored and improved.
Quality Management Systems

BS EN ISO 9000 Series
Specifies requirements for a quality management system where an

organisation:
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Has to demonstrate its ability to consistently provide a product that

meets customer and applicable regulatory requirements.
Aims to enhance customer satisfaction through the effective

application of the system, including processes for continual
improvement of the system and the assurance of conformity to
customer and applicable regulatory requirements.
The similarity and compatibility of the safety management systems and the
quality management systems mean that management committed to quality
systems have few problems in widening the scope to include safety and
health.
Total Quality Management and Environmental
Management Systems
BS EN ISO 14000 Series
BS EN ISO 14001 is a stand-alone environmental management standard,

but also forms one approach detailed in BS 8800:
Initial status review.
Environmental policy.
Planning.
Implementation and operation.
Checking and corrective action.
Management review.
Continual improvement.
Total Quality Management (TQM)
Involve everybody and everything within an organisation in the

management of quality.
Quality should be the key strand that runs through all management
thinking.
Integrated Management Systems (IMS)
Safety, environment and quality.
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Arguments For Integration
Cost-effective.
Rewarding career opportunities for specialists.
Objectives and processes of management systems are the same.
Avoidance of duplication.
Coherence.
Timely system reviews.
Positive culture in one area carried over to others.

Arguments Against Integration
Existing systems may work well already.
Specialists continue to concentrate on the area of their core expertise.
Uncertainties regarding key terms exacerbated in an IMS.
System requirements may vary across topics covered.
Health, safety and environmental performance underpinned by statute

law, but quality requirements determined by customer specification.
Regulators and single-topic auditors may have difficulty evaluating

their part of the IMS when it is interwoven with other parts of no
concern to the evaluator.
A powerful, integrated team may reduce the ownership of the topics

by line management.
A negative culture in one area carried over to others.

The Turnbull Report
The Turnbull Report on internal control requires:
Clear policies and commitment.
Assessment of business risks (including health and safety).

Control of business risk to acceptable levels utilising embedded
management systems.
Clear communication and reporting arrangements.
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Monitoring and auditing.
Annual review of effectiveness of internal control and annual

statement to shareholders.
In essence, the point and purpose of these recommendations is to ensure

that directors take responsibility for adequate risk management. If they do
not do so, they must disclose the fact to their shareholders, and risk the
effect that this may have on the reputation of their company and the stock
market.
The Turnbull Report recommendations are clearly supportive of safety
management systems such as HSG65.
Effective Management of Health and Safety
Allocation of Resources
Providing resources of both finance and manpower is essential in the

management of health and safety.
Allocation of Responsibilities
Management control involves making sure that responsibilities for

specific tasks and roles are allocated to individuals within the
organisation.
Setting and Monitoring Performance Standards
Performance standards are needed to identify the contribution that

people make to operating the health and safety management system.
Feedback and Implementation of Corrective Action
Feedback allows corrective action to be implemented.
HEALTH AND SAFETY POLICIES

The Role of a Health and Safety Policy
In Relation to a Health and Safety Management System
− The policy outlines how the organisation will ensure health and
safety (controls) and how it will ensure that these controls are
adequate (monitoring).
− The policy must be linked in with the Safety Management
System.
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− The role of the policy is to simplify the system so that everyone

understands the intent behind it.
As a Vehicle for the Communication of Health and Safety
Information
The policy is used to impart information relating to each different

section of the policy, e.g. the statement of intent, the organisation
(who does what – who is responsible), the arrangements
(maintenance, housekeeping, procedures for storage, protective
clothing, training and instruction, emergency procedures, etc.).
Legal Requirements for a Written Health and Safety
Policy and for Recording Arrangements
Section 2(3) of HSWA requires the employer:
"to prepare … a written statement of his general policy with respect to

the health and safety at work of his employees and the organisation
and arrangements … in force for carrying out that policy, and to bring
the statement … to the notice of all his employees."
Section 2 of HSWA is reinforced by Regulation 5 of the Management of
Health and Safety at Work Regulations 1999 which states that every
employer shall make such arrangements as are appropriate for the effective
planning, organisation, control, monitoring and review of the necessary
preventive and protective measures having regard to the nature of his
activities and the size of his undertaking.
General Components of a Health and Safety Policy
Document
Statement of Intent
Overview.
Safety goals.
Objectives.
Organisation
Duties and responsibilities.
Organisational structure.
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Arrangements
Systems.
Rules.
Procedures.
Standards.
Manuals.
ROLE AND RESPONSIBILITIES OF THE

HEALTH AND SAFETY PRACTITIONER
Role in Design, Implementation, Evaluation and
Maintenance of Health and Safety Management
Systems
Health and safety practitioners 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.
Promoting a positive health and safety culture and securing the

effective implementation of health and safety policy.
Planning for health and safety, deciding priorities and establishing

adequate systems and performance standards.
Day-to-day implementation and monitoring of policy and plans

including accident and incident investigation, reporting and analysis.
Review of performance and audit of the whole health and safety

management system.
Responsibility of Health and Safety Practitioners to
Evaluate and Develop their Own Practice
Practitioners should:
Reflect on their own practice.
Review their practice against appropriate goals.

Set and prioritise goals and targets for self-improvement.
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Adapt their own practice in the light of changes in professional

practice.
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A2: LOSS CAUSATION AND INCIDENT

INVESTIGATION
LOSS CAUSATION AND ANALYSIS
Domino and Multi-Causality Theories
Single Cause Domino Theory
Heinrich's Accident Sequence

− Ancestry and social environment.
− Fault of person.
− Unsafe act and/or mechanical or physical hazard.
− Accident.
− Injury.
If this sequence is interrupted by the elimination of one of the factors,

then the injury cannot occur and the accident has been prevented.
Bird and Loftus Accident Sequence
− Lack of control by management.
− Basic causes (i.e. personal and job factors).
− Immediate causes (substandard practices, conditions or errors).
− Direct causes.
− Loss (negligible, minor, serious or catastrophic).
Multi-Causal Theories
There may be more than one cause of an accident, not only in

sequence, but occurring at the same time.
A major disaster normally has multiple causes, with chains of events,

and combinations of events.
The essential features of the multiple causation approach are shown in the
following diagram.
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Cause a
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
Immediate, Underlying and Root Causes
Unsafe Acts
Active unsafe acts.
Passive unsafe acts.

Unsafe Conditions
Mechanical.
Physical.
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Accident Ratio Studies and Their Limitations

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

1
Minor injuries (first-aid injuries)

10
30 Damage accidents
600 Accidents with no damage – near-miss

accidents
Accident Ratio Triangle
Calculating Injury Rates from Raw Data

Accident Frequency Rate
Number of work - related injuries × 100,000
Average number of man - hours worked
Accident Incidence Rate

Average number of persons employed
Accident Severity Rate

Total number of days lost × 1,000
Total number of man - hours worked
Statistical and Epidemiological Analyses in the

Identification of Patterns and Trends
Trend Analysis
− Plot the numbers of accidents or incidents against time.
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− Different time periodicities may show the trend better than

others.
− In addition, it is possible to include a measure of severity, by
plotting the number of days lost through sickness, or the costs of
damage/repair.
Epidemiological Analysis
− Identifies patterns in data distribution.
− Used to identify problems which would not be apparent from
single incidents.
Presenting and Interpreting Loss Event Data

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

Pie Charts
Circular diagram, where the pie is divided into 'slices' representing the
fractions into which the total of the variable is divided.
Cusum Charts
Type of control charts used to detect small changes which could be

indicative of a process starting to go out of control.
Line Graphs
Show the relationship between two variables. Many graphs are needed to
show all the values in a table of data. It is possible to plot a number of sets
of values on one graph if one of the variables remains the same for each.
The slope of the graph shows the rate of change.
Normal Distribution
Used to calculate probabilities. Providing that the values of the mean and
standard deviation of a Normal distribution are known, then it is possible to
make predictions with the aid of standardised Normal tables.
Poisson Distribution
Used to compare actual values with an expected value in cases where there
are isolated events (such as accidents) occurring over a timespan.
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REPORTING AND RECORDING OF LOSS

EVENTS (INJURIES, ILL-HEALTH AND
DANGEROUS OCCURRENCES) AND NEAR-
MISSES
Statutory Reporting Requirements and Procedures
The Reporting of Injuries, Diseases and Dangerous Occurrences
Regulations 1995 (RIDDOR) require the reporting of:
Fatalities.
Major injuries.
Persons not at work.
Over-three-day injuries.
Diseases such as:

− Conditions due to physical agents and the physical demands of
work.
− Infections due to biological agents.
− Conditions due to substances.
Dangerous Occurrences
Gas incidents and other dangerous occurrences, such as:

− Collapse or overturning of a crane.
− Contact with overhead electric lines.
− Explosion or collapse of a pressure vessel.
− Escape of flammable substance.
− Collapse of scaffolding or part of a building over 5m high.
− Failure of a pipeline.
Who Should Report and When
The "responsible person" should:
Notify the relevant enforcing authority, by the quickest possible

means.
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Within 10 days send a report on the approved form or by some other

approved method, of fatalities, major injuries, accidents to non-
employees (who are taken to hospital), major injuries to hospital
workers, and dangerous occurrences.
The process has been made easier by the introduction of the central
Incident Contact Centre website www.riddor.gov.uk.
Internal Reporting and Recording Systems
Accident Investigation Records
Used to provide management with an objective tool for measuring and

evaluating safety performance.
Used as a tool to help control the accidents that are causing the
injuries and damage.
Should yield the following information:

− The relative importance of the various injury and damage
sources.
− The conditions, processes, machines and activities that cause the
injuries/damage.
− The extent of repetition of each type of injury or accident in each
operation.
INVESTIGATION OF LOSS EVENTS

Legal Requirements and HSE Guidance
At present it is not a legal requirement for employers to investigate
accidents, but the Health and Safety Commission want people to learn the
lessons from work-related incidents with the potential to cause injury and ill-
health so that they can prevent similar occurrences in the future.
While accident and incident investigation may not be a legal requirement, it

is actively encouraged by the enforcement agencies and it may only be a
matter of time before it does become mandatory. The HSE have issued
guidance in the form of HSG245.
Purposes of Accident Investigation
To prevent all events and occurrences which might cause injury or
damage.
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Prevention of all losses.
Discovery of underlying causes.
Prevention of recurrence.
Legal liability.
Data gathering.
Identification of trends.
Investigation Procedures and Methodologies
The four-step investigation approach of HSG245 is:
Step 1: Gathering the information.
Step 2: Analysing the information.
Step 3: Identifying risk control measures.
Step 4: The action plan and its implementation.
Accident investigations may be carried out by:
The safety practitioner - to find ways to prevent such accidents

happening.
The trade-union safety representative - to gain evidence which

might help to support a compensation claim.
The inspector – to gain evidence for a prosecution.

Injury and Ill-Health Report Forms
Should collect the following information:
A summary of events.
Root cause/immediate causes.
Details of witnesses.
Information about injury, ill-health or loss sustained.
Recommendations.
Gathering of Relevant Information
Accident investigation should:
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Take place as soon as possible after the event.
Include inspection of the scene of the accident to collect any

information relating to physical conditions of the plant, equipment and
building.
Involve interviewing witnesses and any others likely to give

information concerning any unsafe acts or practices which may have
contributed to the accident.
Include a written report to management to summarise all available

evidence accurately and recommend future action necessary to
prevent a recurrence.
Interviewing Witnesses
Types of Witness
− The victim.
− The eyewitness.
− People who can offer corroborative statements.
Interviewing Technique
− Put the person being questioned at ease.
− Carry out interviews at the scene of the accident if possible.
− The investigator should be looking for the witness's version of the
accident.
Analysis of Information
Analyse the findings to seek out any trends.

Involvement of Managers, Supervisors, Employees'
Representatives and Others in the Investigation Process
Managers
The objective of any analysis or investigative report is to provide

management with a means of deciding why their policies and
procedures failed to prevent accidents, injuries and ill-health.
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Supervisors
The immediate supervisor is likely to know most about the situation

and is therefore best suited to carry out the enquiries necessary for
the investigation to reach a satisfactory conclusion.
Employees' Representatives
Have the right to investigate both accident and ill-health incidents.
Safety Practitioner
In the case of serious accidents, the company safety practitioner

should be in charge of the investigation.
Failure Tracing Methods
These can be used as investigative tools.
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A3: IDENTIFYING HAZARDS, ASSESSING

AND EVALUATING RISKS
HAZARD IDENTIFICATION
Task Analysis
Method study and work measurement used to analyse jobs with the
intention of improving efficiency.
Job Safety Analysis (JSA)
The SREDIM principles:

− Select the job to be analysed.
− Record the steps in the process.
− Examine the component parts of the job.
− Develop control measures.
− Instal the safe system.
− Maintain the safe system.
Checklists
− Cover the key issues to be monitored.
− The "4 Ps" structure:
o Premises.
o Plant and substances.
o Procedures.
o People.
Observation
Including observation of work being done.
Incident Reports
Each company should maintain its own records of all accidents that
have occurred.
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SOURCES OF INFORMATION
Use of Incident Data and Rates
Classify industries according to risk.
Consider accident trends.
Use "cause of injury" to determine hazards in a workplace.
Measure the effect of preventative/control measures.

Accident and Disease Ratios
Incidence Rate

Average number of persons employed
Frequency Rate
Number of man - hours worked
Severity Rate
Total number of days lost × 1,000

Total number of man - hours worked
External Information Sources
HSE (Health and Safety Executive).
HSC (Health and Safety Commission).
Insurance companies.
EMAS (Employment Medical Advisory Service).
RoSPA (Royal Society for the Prevention of Accidents).
British Safety Council.
WHO (World Health Organisation).
ILO (International Labour Organisation).
European Agency for Safety and Health at Work.
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IOSH.
Trade associations.
Trade Unions.
Internal Information Sources
Accident reports.
Absence records.
Maintenance records.
Use and Limitations of Information Sources
Internal Information
Relevant to risk assessments.
Limited in quantity.
External Sources
More data based on a larger sample.
Type of industry covered may be much wider than our own situation.
Care should be exercised when comparing accident data between

organisations. For example:
The two organisations may use different definitions.
There may be no indication of injury severity.
The figures may be for employees only (misleading for an organisation

that makes wide use of contractors).
The figures may not be adjusted to take account of overtime/part-

time.
Culture differences – “back to work” policies, etc.
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EVALUATION OF RISK
Types of Risk Assessment
Qualitative
A qualitative risk assessment is the comprehensive identification and

description of hazards from a specified activity, to people or the
environment. The range of possible events may be represented by broad
categories, with classification of the likelihood and consequences, to
facilitate their comparison and the identification of priorities.
Semi-Quantitative
A semi-quantitative risk assessment involves the systematic identification

and analysis of hazards from a specified activity, and their representation by
means of both qualitative and quantitative descriptions of the frequency and
extent of their consequences, to people or the environment.
Quantitative
A quantitative risk assessment is the application of methodology to produce

a numerical representation of the frequency and extent of a specified level
of exposure or harm, to specified people or the environment, from a
specified activity.
Hazard Effects
A severity rating system could be:
Negligible
Hazard will not result in serious injury or illness; remote possibility of

damage beyond minor first-aid case.
Marginal
Hazard can cause illness, injury or equipment damage, but the results
would not be expected to be serious.
Critical
Hazard can result in: serious illness, severe injury, property and
equipment damage.
26 © RRC Training
Catastrophic
Imminent danger exists, hazard capable of causing death and illness

on a wide scale.
Accident Exposure Outcomes
The consequences of the hazard being realised.
Persons and Numbers Exposed, Duration and
Frequency of Exposure
The more people are exposed to hazardous situations and the longer they
are exposed to them, the greater is the likelihood of harm being realised.
Acceptability/Tolerability of Risk
Individual and Average Risk
It is not enough to reduce the average risk, but rather to reduce to a

minimum the risk of the most exposed individual.
Injury Risk
We have to include some measure of severity (major and minor injuries).

Risks to Members of the Public
To some extent employees can be regarded as having 'volunteered' to

accept a particular level of risk. Therefore, the risk to members of the
public needs to be lower than this.
Risk Retention
With Knowledge
Finance losses from funds within the organisation, or transfer the risk by
financing loss from funds outside the organisation, such as insurance.
Without Knowledge
Failure to consider a particular risk when setting up insurance.

Categorisation and Prioritisation of Risk
High – "Where it is certain or near certain that harm will occur" (95%
will certainly be affected).
Medium – "Where harm will often occur" (majority will be affected).
© RRC Training 27
Low – "Where harm will seldom occur" (95% will not be affected).
Prioritisation
The process of putting problems into order of solution:

Risk measurement = Probability (or Frequency) × Severity
Probability
The chance that a given event will take place.

Frequency
How often an event may be expected to occur.

Severity
Potential loss.
Relativistic and Probabilistic Methods of Risk Rating
Risks rated by comparison of one industry with another: relativistic.
Quantified Risk Assessment (QRA)
Risk assessment ascribes a numerical figure to risk arising from plant or

equipment: probabilistic (or quantified).
FAILURE TRACING METHODS

Principles and Techniques of Failure Tracing Methods
Hazard and Operability Studies (HAZOPS)
Designed for dealing with complicated systems.
Studies are carried out by a multidisciplinary team who make a critical

examination of a process to discover any potential hazards and
operability problems.
The approach is similar to a method study.
Studies may involve:

− A word model.
− A process flow sheet.
− A plant layout.
28 © RRC Training
− A flow diagram.
It is particularly useful in the chemical industry, but can also be

applied in other circumstances. Studies can be made at different
stages of a project, with different teams and in various degrees of
detail.
Process is fully described and then every part is questioned to discover

all possible deviations from the intended design which might occur,
and what their causes and consequences might be.
A number of 'guide words' are applied to the statement of intention, so

that every possible deviation from the required intention is considered,
(e.g. NOT, MORE, LESS, REVERSE).
Failure Mode and Effects Analysis (FMEA)
The purpose of the analysis is to identify the causes of failure of individual

components of a system and explore the effects of these
failures/malfunctions on the system as a whole.
The methodology is as follows:
Break the system down into its component parts.
Identify how each component part could fail.
Identify all possible causes of that failure.
Identify the effects and extent of the failure on the system as a whole.
Assess the likelihood of failure.
Identify the means of detection of failure (alarms/sensors, etc.).
Allocate a risk priority code (based on severity and probability) or a

risk priority number (based on severity, probability and detection).
Decide on controls needed to reduce the risk to an acceptable level.

Fault Tree Analysis
A logic diagram based on the principle of multi-causality, which traces

all branches of events which could contribute to an accident or failure.
Uses sets of symbols used in logic diagrams (AND gate, OR gate).
© RRC Training 29
Starts with a 'top event', such as a particular accident or other

undesirable event, and is developed from the top downwards to obtain
all the possible primary cause events.
Event Tree Analysis
Starts with a primary event and works from the bottom up.
Defines the events which flow from the primary event. Event trees are
used to investigate the consequences of loss-making events in order to
find ways of reducing losses.
Stages in carrying out event tree analysis:

− Identify the primary event of concern.
− Identify the controls that are assigned to deal with the primary
event.
− Construct the event tree beginning with the initiating event and
proceeding through failures of the safety functions.
− Establish the resulting accident sequences.
− Identify the critical failures that need to be addressed.
30 © RRC Training
A4: RISK CONTROL AND EMERGENCY

PLANNING
SYSTEMS FAILURES AND RELIABILITY
Complex Failure Analysis
Holistic approach - looks at the behaviour of the total system rather
than the workings of individual components.
Reductionist approach – divides the system into its components.

Differences Between Systemic and Systematic Analysis
Systematic analysis involves looking at something in a logical, orderly
and sequential manner.
Systemic analysis involves looking at a whole system.

Analytical Considerations of Systems and Subsystems
Failures
The range of failure tracing methods that are based on treating the fault,
failure or events systemically.
Hazard and Operability Studies (HAZOPS).
Failure Mode and Effects Analysis (FMEA).
Fault Tree Analysis.
Event Tree Analysis.

Application of System Failure Analysis
Flixborough
Key factors leading to the disaster included:
Lack of a proper design study for the modification with no reference to

appropriate standards or safety testing, i.e. no application of system
failure analysis to the plant.
Lack of competency in the management team to recognise the

potential for failure, i.e. no analysis of the safety management system.
© RRC Training 31
Piper Alpha North Sea Oil Rig Explosion
Failure in the permit-to-work system, indicating no examination of this

key subsystem.
Design failure, in that the rig containment wall was fire-resistant, but
not blast-resistant. This was not identified by any systematic analysis.
Other rigs did not shut down and continued to feed into Piper Alpha,
fuelling the fire. This shows that there was no analysis of the rig
network as a system.
Herald of Free Enterprise
Design failings in that roll-on roll-off ferries were inherently unsafe and
top heavy, i.e. no analysis of critical potential accident sequences at
design stage.
No automatic monitoring of critical areas such as the bow doors, i.e.

no application of analytical techniques such as FMEA, which would
identify such critical areas.
Ramsgate Walkway Collapse
Deficiencies in the design which would have ensured failure of safety-

critical elements within a short period of time.
Failure of various parties involved in the procurement, design and

installation of the walkway to manage the project effectively and in
particular to apply analytical techniques to identify safety-critical areas.
Assessment of System Reliability
Equipment Reliability
The overall reliability of equipment depends on both the reliability of

all components and the way in which they are arranged:
− If a single component has a reliability of R, putting two identical
components in parallel will increase the overall reliability.
32 © RRC Training
− If components are added in series, the reliability of the system is

reduced.
Parallel Systems
In a parallel system the failure of one component will not stop the system
functioning.
Parallel System
R(S) = 1 − [(1 − R(A))(1 − R(B))]
Series Systems
In series, all components must function for the system to operate.
A B
Series System
R(t) = R(A) × R(B)
Mixed Systems
R(A) = 0.95 R(D) = 0.60
R(C) = 0.999 R(E) = 0.93
R(B) = 0.99 R(F) = 0.90
Mixed System
© RRC Training 33
Break down the overall system into component series and parallel systems
and treat each separately.
Common Mode Failures
Failure of a number of items due to a common cause, e.g. loss of electricity

supply.
Principles of Human Reliability Analysis
Think about a person who is driving an unfamiliar car. The driver knows
how to drive (a licence confirms that, i.e. training and certification). The
driver will identify where all the controls are and what they do
(familiarisation) and set off. A problem may occur if the windscreen wipers
and the indicator stalks are reversed as compared to the normal. Initially,
indicating during driving will be correct, but at some point the windscreen
wipers will operate instead of the indicators. A human error will have
occurred in a situation where the driver has already demonstrated an
understanding of the working of the indicator controls.
Hardware design can only go so far for improved reliability; there still exists
the human input into the operation. We have only mentioned human
reliability as basically 'unreliable'. The question we have to ask of this
human input is: "How unreliable is it?" We then have to establish the
answer to this question.
Humans do not work in the same way as machines. They are not good at
carrying out repetitive tasks to a consistent standard, nor do two humans
perform in the same way. The reliability of a human being cannot,
therefore, be determined to the same accuracy as a machine, but action can
be taken to make reasonable assessments of the type and frequency of
error so that positive action can be taken to minimise the effects.
Methods of Improving System Reliability
Use of reliable components.
Parallel redundancy.
− Additional components can be added in parallel series so that if
one component fails, the other one will keep the system going.
Standby systems.
− Should part of the system or a component stop working, then an
alternative system automatically steps in to continue operation.
34 © RRC Training
Minimising failures to danger.

− Systems fail to safety.
Planned preventive maintenance.
− Means of detecting and dealing with problems before a
breakdown occurs.
Minimising human error.
− Training and instruction.
− Man-machine interface is ergonomically suitable.
− Working environment is comfortable.
RISK CONTROL SYSTEMS AND METHODS

Concepts and Their Limitations within a Health and
Safety Management Programme
The topic of risk control can be split into loss control and risk financing.
Loss control:
− Risk avoidance: eliminate.
− Risk reduction: control.
Risk financing:
− Risk retention: finance from funds within the organisation.
− Risk transfer: finance from funds outside the organisation.
Hazard Avoidance
Redesign of tasks.
Automation of process.
Use of specialist contractors.
© RRC Training 35
Selection of Optimum Solution Based on Relevant Risk

Data
Probability Severity Action

High Eliminate
Medium Fund (cheaper than insurance)
Definite Low No action - operating expense
High Eliminate or reduce probability or severity
Medium Reduce severity
High Low Retain as an operating expense
High Reduce severity
Medium Reduce severity or transfer
Medium Low Retain as an operating expense
High Fund or insure
Medium Fund
Low Low Retain as an operating expense
Catastrophic Insure, or fold company
High Fund, insure, or fold company
Remote Medium Fund or retain as an expense
Low No action
Relationship Between Probability and Severity
Important factors include:
Present state of technology.
Public expectancy.
Legal requirements.
Economic state of the company.
Levels of insurance premiums.
Confidence of the company in the benefits of risk management and in

the competence of the risk manager.
Human factors.
Risk Control Systems
Risk Control Systems (RCSs) form the basis for ensuring that adequate
workplace precautions are provided and maintained.
36 © RRC Training
Control of Inputs
RCSs:
− Minimise hazards and risks entering the organisation.
o Physical resources.
o Human resources.
o Information.
Control of Work Activities
RCSs:
− Contain risks associated with the business process.
o Premises.
o Plant and substances.
o Procedures.
o People.
Control of Outputs
RCSs:
− Prevent the export of risks off site or through the products and
services generated by the business.
o Products and services.
o By-products.
o Information.
COST-BENEFIT ANALYSIS
Costs involved with accidents and losses.
Costs involved with accident prevention and risk reduction.
© RRC Training 37
POSITIVE
+
MAXIMUM BENEFIT BENEFIT
BENEFIT
0 COST OF SAFETY
−
NEGATIVE BENEFIT
Cost-Benefit Graph
Risk Control Cost Decisions
Cost Areas
Organisational
Costs of staff, and the time involved.
Design
Engineering aspects.
Planning
Safe methods of work.
Operational
Costs of running and maintaining safety systems.
WORKPLACE PRECAUTIONS
General Principles of Prevention
The Management of Health and Safety at Work Regulations 1999
give general principles of prevention in Schedule 1 of the Regulations:
Avoiding Risks
Not using the material or carrying out the activity.
38 © RRC Training
Evaluating Risks
− Evaluating the risks that cannot be avoided.
− Suitable and sufficient risk assessment.
Combating Risks At Source
Control the risk as close to the point of generation as possible to

prevent its escape into the workplace.
Adapting Work
− Adapting the work to the individual.
− 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.
Replacing
The dangerous with the non-dangerous or the less dangerous.
Developing Policy
− Developing a coherent overall prevention policy.
− Requires the employer to look at all aspects of the health and
safety management system rather than simply concentrating on
basic workplace precautions.
Prioritising Measures
Giving collective protective measures priority over individual protective

measures.
Giving Appropriate Instructions
To employees.
Control Measures
Technical
Engineering solution.
© RRC Training 39
Procedural
A safe system of work.

Behavioural
Education and training.
Notices and signs.

General Hierarchy of Control Measures
Quoted in many different ways, but one such hierarchy of effectiveness is:
Elimination
− Stop using the process, substance or equipment or use it in a
different form.
Substitution
− Substitute a toxic chemical for one that is not dangerous or less
dangerous. Use less noisy pumps.
Engineered Controls
− Redesign of process or equipment to eliminate release of hazard
so that everyone is protected.
− Enclosure or isolation of process or use of equipment to capture
it at source and release to a safe place, or dilution to minimise
concentration of hazard, e.g. acoustic enclosures, use of LEV.
Administrative Controls
− Design work procedures, work systems to limit exposure, e.g.
limit work periods in hot environments, develop good
housekeeping procedures.
− Use of signs, training in specific work methods and supervision.
PPE (as a Last Resort)
− RPE, gloves, etc. – only protects the individual!
Another example of a hierarchy is:
Total elimination or avoidance of the risk at its source.
Reduction of the risk at its source.
Contain the risk by enclosure of some kind.
40 © RRC Training
Remove the employee from the risk.
Reduce the employee's exposure to the risk.
Use personal protective equipment.
Train the employee in safe techniques.
Make safety rules, or issue instructions.
Tell the employee to be careful.

Factors Affecting Choice of Control Measures
Long/short term.
Applicability.
Practicability.
Cost.
SAFE SYSTEMS OF WORK AND PERMITS-

TO-WORK
Safe Systems of Work
This is one where the work is organised in a logical and methodical manner
so as to remove the hazards or minimise the risks.
Legal and Practical Requirements
The Health and Safety at Work, etc. Act 1974, Section 2

− To provide and maintain plant and systems of work that are, so
far as is reasonably practicable, safe and without risks to health.
Designing a Safe System of Work
Analysing the task – identifying hazards and assessing risks.

− What is used.
− Who does what.
− Where the task is carried out.
− How the task is done.
Introducing controls and formulating procedures.
© RRC Training 41
− Verbally.
− Simple written procedure.
− Formal permit-to-work scheme.
Instructing and training people in the operation of the system.
− Communicated properly.
− Understood by employees.
− Applied correctly.
Monitoring and reviewing the system.
Check that:
− The procedures laid down are being carried out and are effective.
− Any changes that require alterations to the system of work are
taken into account.
Development of Safe Systems of Work

Hazard/Task Analysis
Select the job to be studied.
Record the steps in the process.
Examine the component parts of the job.
Develop the safe system.
Instal the safe system.
Maintain the safe system.

Preparation of Job Safety Instructions and Safe Operating
Procedures
The main purpose of a hazard/task safety analysis is to determine a safe

system of work.
Permit-to-Work Systems
Basic Principles
Hazard evaluation.
Precaution planning.
42 © RRC Training
Instructing the supervisors.
Issuing the permit.

General Application and Operation of a Permit-to-Work System
Electrical equipment and supplies.
Machinery.
Overhead travelling cranes.
Chemical plant.
Radiation hazards.
Confined spaces.
© RRC Training 43
Essential Elements of a Permit-to-Work Form
(1) Permit title (2) Permit number, reference to

other relevant permits or
isolation certificates.
(3) Job location.
(4) Plant identification.
(5) Description of work to be done and its limitations.
(6) Hazard identification - including residual hazards and hazards
introduced by the work.
(7) Precautions necessary. Person(s) who carries out precautions, e.g.
isolations, should sign that precautions have been taken.
(8) Protective equipment.
(9) Authorisation. Signature confirming that isolations have been made,
and precautions taken, except those which can only be taken during
the work. Date and time duration of the permit.
(10) Acceptance. Signature confirming understanding of work to be done,
hazards involved and precautions required. Also confirming permit
information has been explained to all workers involved.
(11) Extension/shift hand-over procedures. Signatures confirming checks
made that plant remains safe to be worked upon, and new
acceptor/workers made fully aware of hazards and precautions. New
time expiry given.
(12) Hand-back. Signed by acceptor certifying work completed. Signed by
issuer certifying work completed and plant ready for testing and
recommissioning.
(13) Cancellation. Certifying work tested and plant satisfactorily
recommissioned.
EMERGENCY PLANNING
Need for Emergency Preparedness Within an
Organisation
Personal Injury
Arrangements for prevention of injury to employees, visitors or members of

the public.
44 © RRC Training
Explosive Device
Systems in place to evacuate the site should a suspect package be found or

if a warning is received.
Fire
Arrangements for raising the alarm, escape routes from the site/building as
well as the means for tackling a fire.
Loss of Containment
Arrangements for raising the alarm, evacuation procedures, limiting the

extent of the 'spillage', informing other relevant parties.
Consequence Minimisation via Emergency Procedures
First-Aid/Medical
− Ensure access to first-aid personnel and facilities.
Fire Extinguishment
− A means for fighting a fire.
− To ensure that a fire is extinguished before any serious damage
is done.
Spill Containment
− Suitable bunding around storage vessels.
− Regular checks of the vessels, pipework and any safety features
and preventive maintenance.
Development of Emergency Plans

Formal, written documents designed to assist management with the
control of specific hazards or incidents, so that minimum disruption to
normal work activities will occur.
Plans to cover:
− Potential for harm.
− Immediate actions to be taken.
− Control of the event.
− Damage limitation action.
− Recovery plan.
© RRC Training 45
The legal requirements for emergency planning in organisations with special

risks are set out in the Control of Major Accident Hazards Regulations
1999 (COMAH).
Duties of Site Operators
Lower-Tier Sites
These sites should:
Notify the Competent Authority before operations with dangerous

substances begin or within three months of an establishment
becoming subject to the Regulations.
Take all measures necessary to prevent major accidents and limit their
consequences to people and the environment.
Aim to avoid the hazard altogether where possible.
Prepare major accident prevention policy as soon as possible. (To

demonstrate how the safety management systems will prevent major
accidents.)
Top-Tier Sites
These sites should compile a comprehensive safety report to include:
A policy on how to prevent and mitigate major accidents.
A management system for implementing that policy.
An effective method for identifying any major accidents that might

occur.
Details of plant and operating systems to prevent and mitigate

accidents.
Information on safety precautions built into plant and equipment.
Information on measures to limit consequences of any major accident

that might occur.
Information about the emergency plan for the site.
The safety report must be provided “a reasonable period of time” prior to

construction of the establishment.
COMAH requires two emergency plans to be produced for top-tier

establishments:
46 © RRC Training
An on-site emergency plan, prepared by the operator, which lays

down the response to the emergency by those on the site.
An off-site emergency plan, prepared by the local authority, which

lays down the co-ordinated response of external agencies to a site
emergency, which may have off-site effects.
In practical terms, any major incident procedure needs to cover these

issues:
Identify the major incident risks on the site.
Liaison with relevant external agencies.
Equipment and resources needed (ECC, radios, spill containment

equipment, PPE, etc.) and maintaining them in a state of readiness.
Defined roles and responsibilities (Main Controller, etc.) with call out
arrangements.
Training and practising.
Test and review process (at least every three years).
Welfare facilities (including outside catering).
Managing the press.
Business recovery/continuity issues.
© RRC Training 47
A5: ORGANISATIONAL FACTORS

INTERNAL AND EXTERNAL INFLUENCES
External Influences on Health and Safety within an
Organisation
Enforcement Agencies Insurance Companies

Contracts/Contractors/Clients
Courts/Tribunals
The Organisation
Legislation HSC/Parliament
Public Opinion Trade Unions
External Influences on the Organisation

Internal Influences on Health and Safety within an
Organisation
Finance
Production Targets
The attainment of production goals subjects operatives to intense

pressures which can lead to stress and an increase in incidents and
accidents in the workplace.
Trade Unions
Trade union safety representatives are involved as members of safety

committees and as such are actively involved in improving health and
safety in the workplace.
48 © RRC Training
TYPES OF ORGANISATIONS
Formal and Informal
Formal - represented by the company organisation chart, the
distribution of legitimate authority, written management rules and
procedures, job descriptions, etc.
Informal - represented by individual and group behaviour.

Concept of the Organisation as a System
ENVIRONMENT
Production and
People, marketing activities. Products,
information, Planning, organising services,
finance, and control. ideas,
materials, Research and waste, etc.
etc. development, etc.
INPUTS CONVERSION OUTPUT
Open System Organisation

Organisational Structures and Functions
Organisation Charts
The pyramidal structures identify the formal levels of authority and

responsibility within the organisation or department, with authority or
control running from top to bottom.
Role of Management
Line Management
Direct line of authority (from the Works Director to the Shop-Floor
Operative).
© RRC Training 49
Staff Relationship
'Line' relationship between the employees and departments.
Functional Relationship
Certain members of staff have a company-wide remit to carry out activities

'across the board'.
ORGANISATIONS AND HEALTH AND

SAFETY MANAGEMENT
Organisational Requirements for the Management of Health and
Safety
Control by managers who lead by example.

− Clear allocation of responsibilities for:
o Policy formulation and development.
o Planning and review of health and safety activities.
o Implementation of plans.
o Reporting on performance.
− Allocation of health and safety responsibilities to line managers
with access to specialist advisers.
− Allocation of health and safety responsibilities to competent
persons who are given time and resources to carry out those
responsibilities.
− Ensuring accountability of persons allocated health and safety
responsibilities.
− Setting those persons realistic targets and providing positive
reinforcement.
− Providing adequate supervision, instruction and guidance.
− Providing a payment and reward system which avoids conflict
between production targets and health and safety requirements.
Encouraging co-operation amongst employees and safety
representatives by involving them in:
− Policy formulation and development.
50 © RRC Training
− Planning, implementing, measuring, auditing and reviewing

performance.
− Arrangements at operational level in support of more formal
participative measures.
Ensuring effective communication by means of:
− Visible behaviour.
− Written material.
− Face-to-face discussion.
Ensuring competence by means of:
− Recruitment.
− Selection.
− Placement.
− Transfer and training.
− Provision of adequate specialist advice.
Organisational Goals and Those of the Individual

Both the organisation and individuals have goals.
For the organisation to achieve these goals then the employees need to
have their own goals and objectives to work towards the organisational
goal.
Integration of Goals of the Organisation with the
Needs of the Individual
Authority to enable the individual to carry out tasks can result in an
increase in self-esteem and increases the possibility of the tasks being
performed well.
Responsibility and the extent of what they can and cannot do.
Accountability, made clear to all individuals given health and safety

responsibilities.
© RRC Training 51
THIRD PARTY CONTROL

Identification of Third Parties
Contractor
"One who is engaged to perform a certain task without direction from

the person employing him."
Visitors and Trespassers
Protection is afforded to all lawful visitors.
A trespasser is a person who goes on to property without invitation

and who may be at risk of injury on the occupiers' premises.
Members of the Public
Members of the public are those who do not fit into either of the
above categories, nor are they employees.
Lawful/Unlawful
Lawful visitors are persons entering the premises for lawful or legally
acceptable reasons.
Unlawful behaviour is that which is contrary to the law.

Invited/Uninvited
An invited person is one who has been explicitly invited onto the premises.
Legal, Economic and Moral Reasons for Ensuring Third
Parties are Covered
Legal obligation emanates from basic moral principles and especially
the duty of care we owe to our 'neighbours' recognised by common
law.
A moral imperative which 'obliges' us to look after other people.
Economic consideration of accidents resulting from poor health and

safety management which result in huge financial losses to everyone
concerned.
52 © RRC Training
Basic Duties Owed To and By Third Parties

Health and Safety at Work, etc. Act 1974
Duties to persons other than their employees (Section 3).
Duties of persons concerned with premises to persons other than their

employees (Section 4).
Management of Health and Safety at Work Regulations 1999
Co-operation and co-ordination: Regulation 11.
Persons working in host employers' undertakings: Regulation 12.

Construction (Design and Management) Regulations 2007
Main Duty Holders
Clients
Must ensure that CDM Co-ordinators, Principal Contractors, Designers

and Contractors appointed to each construction project are competent,
and that adequate resources for health and safety in terms of finance
and time have been allocated to each stage of the project.
CDM Co-ordinator
Has responsibility for co-ordinating health and safety during the design
and planning stage and for developing the health and safety file. Also
advises the Client on the adequacy of the risk control arrangements
put in place by other duty holders.
Designers
Must ensure that their designs avoid risks to health and safety or, if
this is not possible, that any remaining risks are reduced. Ensures that
structures designed as workplaces comply with the Workplace
(Health, Safety and Welfare) Regulations 1992. Sufficient and
adequate information about the risks must be provided to help the
main duty holders comply with their duties.
Principal Contractor
Must develop the construction phase health and safety plan and is
responsible for co-ordinating the working activities of all other
contractors on site.
© RRC Training 53
Other Contractors and Self-Employed Persons
Must co-operate with the principal contractor and provide him with all
relevant information relating to health and safety and pertaining to the
risks associated with their work, including any necessary control
measures.
Occupiers' Liability Acts 1957 and 1984
The occupier of the premises owes a common duty of care to all lawful
visitors to the premises.
The common duty of care is a duty to take such care as in all the
circumstances of the case is reasonable to see that the visitor will be
reasonably safe in using the premises for the purposes for which he is
invited or permitted to be there.
An occupier must be prepared for children to be less careful

than adults.
An occupier may expect that a person, in the exercise of his calling,

will appreciate and guard against any special risks ordinarily incident to
it, so far as the occupier leaves him free to do so.
An occupier may seek to discharge his duty by displaying a warning notice.

However, a sign on its own is usually not enough to discharge the
responsibility. The sign must indicate the nature of the danger and state
what the visitor must do to avoid harm. Clearly, warning signs may not be
of use to protect children or the visually impaired.
The OLA 1984 imposes a further duty on the occupier in respect of

trespassers.
− The occupier is aware of the danger.
− He knows that the trespasser may come near the danger.
− It is reasonable to offer some protection.
Internal Rules and Procedures Concerned with the

Appointment and Control of Contractors
The Planning Stage
Define the task(s) that the contractor is required to carry out.
Identify foreseeable hazards and assess the risks from those hazards.
54 © RRC Training
Introduce suitable control measures to eliminate or reduce those risks.
Lay down health and safety conditions specific to the tasks.
Involve the potential contractors in discussions concerning the health

and safety requirements.
Choosing a Contractor
Determine what technical and safety competence is required by the

contractor.
Ask the contractor to supply evidence of that competence.
Supply information regarding the job and the site, including site rules
and emergency procedures.
Ask the contractor to provide a safety method statement outlining how

they will carry out the job safely.
Contractors Working on Site
Introduce a signing in and out procedure.
Ensure the contractor provides a named site contact.
Carry out site induction training for all contractor employees.
Where necessary, control activities by using a permit-to-work system.

Checking on Performance
Are contractors working to agreed safety standards?
Have there been any incidents and were they reported?
Have there been any changes of circumstance, e.g. change of

personnel?
Review
Regularly review the procedures to ensure currency and effectiveness.

Responsibilities for Control of Risk Associated with
Contractors on Site
Employers
− Section 3 of the Health and Safety at Work, etc. Act 1974 -
duty to protect third parties.
© RRC Training 55
− Management of Health and Safety at Work Regulations

1999 - require risk assessments to be carried out and control
measures to be implemented.
Persons in Charge of Premises
− Section 4 of the Health and Safety at Work, etc. Act 1974 -
to ensure the safety of all persons using the premises and any
plant or substance in the premises.
− Occupiers' Liability Acts 1957 and 1984 - the civil equivalent
of the requirements of Section 4, above.
Duty Holders under the Construction (Design and
Management) Regulations
Provision of Information Relating to Hazards and Risks
to Third Parties
Contractors
The employer or client has a duty to provide sufficient information to

the contractor to ensure their safety.
Visitors
It is common practice to give written information on emergency

procedures.
General Public
Notices and warnings should appear on perimeter fences, gates. Road

works and other activities that impact on the general public should be
publicised.
At high-risk workplaces like refineries and chemical works, information

on the hazards arising from their activities and the action to take in the
case of an incident is necessary.
CONSULTATION WITH EMPLOYEES

Role of Consultation Within the Workplace
Although there had been vestiges of consultation in the mining industry
since 1872, which were reinforced in the Mines and Quarries Act 1954,
it was not until the 1960s that work people were voluntarily involved in joint
safety committees. The Robens Committee, in compiling its Report, looked
56 © RRC Training
closely at the importance of communication and consultation between

employer and employee in the workplace and it is probably accurate to say
that formal consultation in the modern era started in the 1970s. Robens
made the following observations:
The Involvement of Work People
"Real progress is impossible without the full co-operation and

commitment of all employees."
A Statutory Requirement to Consult
"It is generally accepted that there is no credible way of measuring the

value of consultative and participatory arrangements in terms of their
direct effect upon day-to-day safety performance. Nevertheless, most
of the employers, inspectors, trade unionists and others with whom we
discussed the subject are in no doubt about the importance of bringing
work people more directly into the actual work of self-inspection and
self-regulation by the individual firm."
There should be a duty to consult with employees or "representatives
at the workplace on measures for promoting safety and health at work
and to provide arrangements for the participation of employees in the
development of such measures."
Formal Consultation
Robens observed:
"Where committees are set up, management and employee representatives

should agree on:
The composition, objectives and functions of the committee and of the
sectional and functional subcommittees.
The arrangements for the election or nomination of representatives.
The rules of procedure.
The range of subjects to be covered."
Safety Representatives: Functions, Rights and Appointment
Main Functions
To represent the employees in consultations with the employer.
To carry out inspections of the workplace.
© RRC Training 57
To look at the causes of accidents.
To receive information from the health and safety inspectors.
To attend meetings of the safety committee.
To ask for and receive from the employer certain information which
relates to the place of work.
Safety representatives are entitled to inspect the workplace:

− If they have not inspected it within the previous three months.
− Where there has been substantial change in the conditions of
work.
− After a notifiable accident, dangerous occurrence or notifiable
illness.
Appointment by Recognised Independent Trade Union
The trade union must notify the employer in writing of the appointment of a
safety representative in order that that representative may receive his legal
rights.
Entitlement to Information
The employer must make available information, within his knowledge, which
is necessary to enable the safety representative to perform his function.
However, the employer need not disclose information which:
Is against the interests of national security.
Would contravene a prohibition imposed by, or under, an enactment.
Relates specifically to an individual, unless the individual consents to

its disclosure.
Other than for its effects on health and safety, would cause substantial
injury to the undertaking.
Has been obtained by the employer for the purposes of bringing, or

defending, any legal proceedings.
Safety representatives are entitled to receive from inspectors.
Enforcement of Rights
A safety representative may complain to an employment tribunal that:
58 © RRC Training
The employer has not permitted him time off for the purpose of
carrying out his functions or receiving training.
The employer has failed to pay him for his time off.
Safety Committees
A duty is placed on the employer, under the Safety Representatives and

Safety Committees Regulations 1977, when so requested in writing by
at least two safety representatives, to establish a safety committee within
three months following the request.
Composition and Functions
The composition of the committee is a matter for the employer,

although he must have at least one safety representative on it and
post a notice stating the composition of the committee.
Membership
− Membership of the safety committee should be decided following
consultations between representatives of the trade unions and
the management.
− The committee should meet on a regular basis, circulate an
agenda in advance, and keep proper minutes which record what
action is to be taken and by whom.
Health and Safety (Consultation with Employees) Regulations

1996
In non-union workplaces, consultation must take place on the following:
Introduction of any measure affecting the health and safety of the

employees concerned.
The appointment of persons nominated to provide health and safety

assistance, and assist in emergency procedures (as required by
Regulations 6 and 7 of MHSWR).
Any health and safety training or information the employer is required

to provide to the employees or the safety representatives.
The health and safety consequences of the planning and introduction

of new technologies in the workplace.
© RRC Training 59
Provision of any relevant information required on health and safety

legislation.
60 © RRC Training
Consultation
Employers may consult employees:

− Directly.
− Through employee representatives elected by a group of
employees.
Provision of Information
Where consultation is direct, employers must provide all information

the employees will require in order to participate fully in the
consultations.
Functions of Representatives of Employee Safety

− To make representations to the employer on any hazards,
dangerous occurrences and general health and safety matters,
which may affect the health and safety of the employees they
represent.
− To represent their group of employees in consultations with
enforcing authority inspectors.
Training, time off and facilities must be provided.
Informal Consultation
Discussion Groups and Safety Circles
Small groups of employees who meet informally to discuss safety

problems in their immediate working environment.
Departmental Meetings
Attended by shop-floor representatives, supervisory and management

staff who meet frequently, often once a week, to discuss general
matters affecting their department.
Role of the Health and Safety Professional in the
Consultative Process
Organisations that successfully manage health and safety give health
and safety advisers the status, and ensure they have the competence,
to advise management and workers with authority and independence.
Health and safety advisers are involved in liaison with a wide range of
outside bodies and individuals.
© RRC Training 61
They may also be involved in safety committees either in a chairing

role or simply in an advisory capacity during committee deliberations.
Behavioural Aspects Associated with Consultation
Peer Group Pressures
The safety representative is a worker's representative and not part of

the management team.
His role is primarily a policing one in which he monitors the safety

performance of management and, because of peer group pressure, he
may see himself in a conflicting, rather than co-operative, role.
Potential Areas of Conflict
Conflict may arise:
Between the safety representative and the first line supervisor where
the safety representative may have advised his members not to carry
out a particular management instruction.
With management taking the view that their opinions are correct
simply because they are management and know better.
Consultation about problems where the views of all the participants are
considered should lead to a lessening of conflict and arrival at effective
decisions.
Development of Positive Consultative Processes
A genuine desire on the part of management to tap the knowledge and
experience of its employees, to the advantage of the company and all
concerned, and an equally genuine desire on the part of the employees to
improve the safety performance and health conditions in their own and the
company's interest.
Contributions of Employee Representatives/Safety Committee
Members
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.
Employee complains to line management − problem remains
unresolved.
62 © RRC Training
Safety representative complains to line management on employee's

behalf − problem remains unresolved.
Matter is referred to the safety committee:

− Matter resolved - no further action.
− Matter unresolved - referred to senior management by resolution
of committee.
PROVISION OF INFORMATION AND

DEVELOPMENT OF INFORMATION
SYSTEMS
Legal Requirements and Practical Arrangements for
Providing Health and Safety Information
Regulation Duty placed upon: To supply information to:
Health and Safety Employers Employees
at Work, etc. Act
1974
Employers Safety representatives
Employers and the Non-employees
self-employed
Persons in control Non-employees
of premises
HSE inspector Employees

Employment Employers, employees and their
Medical Advisory representatives
Service (EMAS)
As amended by Designers, Users
Consumer manufacturers,
Protection Act 1987 suppliers and
importers
Safety Reps and Employer Representatives
Safety Comms
Regulations 1977
Health and Safety
(Information for Employer Employees
Employees)
Regulations 1989
(as amended)
© RRC Training 63
Development of a Health and Safety Management

Information System within the Workplace
The collection of information from external sources.
The documentation of policy, organisation statements, performance

standards, rules and procedures.
Provision of systems for cascading information.
Use of posters, bulletins, newspapers.

Types of Data within a Health and Safety Management
Information System
Information Sources
EXTERNAL INFORMATION INTERNAL INFORMATION SOURCES

SOURCES
Legislation including: H and S Policy document

EU Directives
Compliance data
UK Acts and Regulations
Cost data
Approved Codes of Practice
Risk assessments (MHSWR, COSHH, etc.)
HSE Guidance Notes
Monitoring results:
British Standards Noise
Manufacturers' instructions Dust
Lighting
HSE leaflets and publications
Atmospheric, etc.
Safety organisations such as:
IOSH, RoSPA, etc. Job descriptions
Industrial bodies Job safety analyses
Results of inspections/audits
Accident and ill-health reports/statistics
Training records
Management system performance data
64 © RRC Training
DESCRIPTION OF HEALTH AND SAFETY

CULTURE AND CLIMATE
Definition
“A system of shared values and beliefs about the importance of health
and safety in the workplace.”
“An attitude to safety which pervades the whole organisation from top
to bottom and has become a norm of behaviour for every member of
staff from the board of directors down to the newest juniors.”
Impact of Organisational Factors on Individual
Behaviour
We are all influenced to some degree by things that we see and hear, such
as television advertising and lifestyle programmes.
Influences on behaviour in the workplace may include:
Managers and supervisors.
Work colleagues.
Training.
Job design.
Work equipment.
HSG48 associates the following with good safety performance:
Effective communication.
Learning organisation.
Health and safety focus.
Committed resources.
Participation.
Management visibility.
Balance of productivity and safety.
High quality training.
Job satisfaction.
© RRC Training 65
Workforce composition.
Influence of Organisational Structures
Organisational Role Culture
Describes the way in which individuals behave in organisations.

Bureaucratic Role Culture
The power of the individual derives from the office or position he holds
within the organisation.
There are set procedures and rules which must be followed and which
ultimately give rise to a predictable and secure culture.
Flexible Federal Role Culture
Organisations run by persuasion and consent.
Flexible cultures try to avoid the 'them and us' image of managers and
workers and instead use the concepts of team leader or staff co-
ordinator.
Indicators of Culture
Correlation Between Health and Safety Culture and Climate and
Health and Safety Performance
Gauge the standard of safety performance of a company by an initial walk-

round and first impressions.
Subjective and Objective Nature of Culture and Climate
The structure of the organisation and the roles and rules can be
observed.
The way people within the organisation perceive its structures, roles,
rules and authority, is more difficult to obtain.
Measurement of the Culture and Climate
Attitude Surveys
− Survey questionnaires containing statements which require
responses indicating agreement or disagreement.
− When carried out regularly, attitude surveys can identify trends
and it is then possible to quantify how attitudes are changing.
66 © RRC Training
Prompt Lists
− Similar to attitude surveys except that prompt lists are used with
predetermined answers.
− As with attitude surveys, trends can be identified and the effects
of change measured if prompt lists are carried out regularly.
Findings of Incident Investigations
Where carelessness is found to be the widespread cause of

accidents/incidents, this may be an indicator of poor safety culture.
Effectiveness of Communication
Successful communication is measured by feedback which enables the

sender to test whether the receiver has fully understood the
communicated message.
Evidence of Commitment by Personnel at All Levels in the

Organisation
− Evidence of commitment can be seen by management visibility.
− If managers are not seen at the "sharp end of activity" then they
are not interested in the job or health and safety.
DESCRIPTION OF FACTORS AFFECTING

HEALTH AND SAFETY CULTURE
Factors that May Promote a Positive Health and Safety
Culture or Climate
Management Commitment and Leadership
'Lead by example'.
High Business Profile to Health and Safety
A positive health and safety culture can be promoted by including safety in

all business documents and meetings.
Provision of Information
About health and safety matters (posters, leaflets or in staff newsletters).
© RRC Training 67
Involvement and Consultation
Involve staff members in:
Risk assessments.
Workplace inspections.
Accident investigations.
Safety committee meetings.
Consult with employees on:
The introduction of any measures which may substantially affect their

health and safety.
The arrangements for appointing or nominating competent persons.
Any health and safety information to be provided to employees.
The planning and organisation of any health and safety training.
Health and safety consequences of introducing new technology.

Training
To ensure that people have the right skills to carry out their job safely.
Promotion of Ownership
Involvement and consultation.

Setting and Meeting Targets
Setting targets:
Can have a positive effect on a safety culture.
Should encourage people to work together in order to achieve the

target.
Factors that May Promote a Negative Health and
Safety Culture or Climate
Organisational Change
This can:
Leave individuals worrying about job security and their position in the
organisation.
68 © RRC Training
Cause mistrust of management and suspicion of any alterations to role

or environment.
Lack of Confidence in Organisation's Objectives and Methods
If productivity appears to take precedence over safety, the worker

perception will be that the company is untrustworthy, with little commitment
to safety, leading to a subsequent deterioration in the safety culture.
Uncertainty
Can lead to dissatisfaction, lack of interest in the job and generally poor
attitudes towards the company and colleagues.
Management Decisions that Prejudice Mutual Trust or Lead to
'Mixed Signals' Regarding Commitment
Can set off unrest and distrust in an organisation.

Effecting Change
Planning and Communication
Start at the top of the organisation but encourage participation at all levels
with clear objectives as to what is to be achieved by the proposed change.
The Need for a Gradualist (Step-by-Step) Approach
Advantages - changes are phased in over a period of time, ensuring that

there is time for adaptation and modification and for the change to become
part of the established culture.
Disadvantage – the changes take a relatively long time to implement.

Action to Promote Change
Direct
Positive action is carried out with the sole objective of effecting change
(a steering group and a working party).
Indirect
This brings about change but is not necessarily the primary reason for
carrying out the action, for example: risk assessments and training.
© RRC Training 69
Problems and Pitfalls

Changing Culture Too Rapidly
Employees may feel vulnerable, insecure, confused and angry.

Adopting Too Broad an Approach
It is important that everyone is clear about the changes that will occur.
Absence of Trust in Communications
Inconsistent management behaviour can bring about mistrust and

uncertainty, leading to a complete breakdown in relations between
management and workforce.
Resistance to Change
Set patterns of thought and behaviour can be difficult to overcome when

change occurs.
70 © RRC Training
A6: HUMAN FACTORS

HUMAN BEHAVIOUR
Basic Concepts
Psychology - study of the human personality.
Sociology - study of the history and nature of human society.
Anthropology - study of the whole science of man; human

physiology and psychology; the study of man as an animal.
Complexity of Human Behaviour
Human Instincts
Self-assertion.
Acquisitive tendency.
Aggressive impulse.
Gregarious instinct.
Constructive instinct.
Mental Levels
Conscious level.
Subconscious level.
Unconscious level.
Key Theories of Human Motivation
F. W. Taylor – Improvement of Industrial Efficiency
Principles developed by Taylor:
Develop a science for each element of a person's work.
Scientifically select, train and develop the worker.
Co-operate with the workers to ensure that the work is done in

accordance with the principles of the science which has been
developed.
© RRC Training 71
Ensure that there is equal division of work and responsibility between

the management and the worker.
Mayo (Hawthorne Experiments)
Working in a small, harmonious group can have a significant effect on

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

relationships.
Maslow (Hierarchy of Needs)
Self-Actualisation
Esteem
Task needs Social
Safety or Security
Biological
Maslow's Hierarchy of Needs

Contemporary Theory (Complex)
D. C. McClelland
Need for affiliation.
Need for power.
Need to achieve.
Herzberg's Two-Factor Theory
Hygiene factors.
Motivators.
Douglas McGregor
Theory X - people do not really like responsibility, and they only take it
as a means of getting more money.
72 © RRC Training
Theory Y - people are self-motivated to work and perform best with a

minimum of supervision and control.
HSG48 Model
Errors
Actions or decisions not intended and that involve a deviation from an

accepted standard.
Errors can be split into:
Skill-based errors:
− Slips – failure in carrying out the actions of a task.
− Lapses – forgetting to carry out an action.
Mistakes - do the wrong thing believing it to be right:
− Rule-based.
− Knowledge-based.
Violations
Deliberate deviation from a rule or procedure.

There are three types of violation: routine, situational and exceptional.
Routine - normal way of working.

− Cutting corners to save time and/or energy – which may be due
to various reasons, e.g. awkward working posture, etc.
− Perception that rules are too restrictive or no longer apply.
− Lack of enforcement of the rule.
− New workers starting a job where routine violations are the norm
and not realising that this is not the correct way of working.
Situational - rules are broken due to pressures from the job.
Exceptional – rarely happens and only occurs when something has

gone wrong.
© RRC Training 73
Individual Decision-Making Processes

Decision Types
Peter Drucker
Tactical/strategic.
Organisational/personal.
Basic/routine.
H. A. Simon
Programmed decisions.
Unprogrammed decisions.
Process Operator Skill
Assessing the operator's skills.
Specific control skills:

− Sensing.
− Perceiving.
− Prediction.
− Familiarity with controls.
− Decision.
Skill-Based Decisions
Perceptual motor skills.

Complex Skills
Sensing or obtaining information.
Deciding what should be done.
Taking appropriate action.

On- and Off-Line Processing
On-line processing – decisions which have to be made as a work
process is in operation.
Off-line processing – decisions which can be made after

consideration of a number of alternatives.
74 © RRC Training
Knowledge-, Rule- and Skill-Based Behaviour

(Rasmussen)
Skill-based behaviour - person is carrying out an operation in
automatic mode. Errors occur if there are any problems such as
machine variation or any environmental changes.
Rule-based behaviour - operator is multi-skilled and has available a

wide selection of well-tried routines which can be used to complete the
task.
Knowledge-based behaviour - person has to cope with unknown

situations, where there are no tried rules or routines. Errors occur
when some condition is not correctly considered or when the resulting
effect was not expected.
Psychological, Sociological and Anthropological
Factors Contributing to Individual Differences
Psychological Factors
Differences in personality, attitudes and motivation.

Sociological and Anthropological Factors
The establishment of behavioural norms and resultant peer group pressure

on individuals to comply with these norms.
Human Behaviour - Influences
Personality
Integrated and dynamic organisation of the physical, mental, moral and

social qualities of the individual.
Attitude
View of the world and approach to the situation.

Aptitude
Talent or the appropriateness of actions.

Motivation
Tendency of an individual to take action to achieve a particular goal.
© RRC Training 75
Behaviour Patterns Resulting from Ancestry and Social

Background
Effects of Ancestry
Personality is a fixed quantity.

Social Background
In other words, factors we learn by association.

Effects on Behaviour at Work of Experience,
Intelligence, Education and Training
Experience
With increasing experience we would expect an employee to become more

competent.
Intelligence
Low intelligence: routine, production-line type of employment will be

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

boring in the extreme.
Education and Training
Training is used to motivate and change the behaviour of the people

involved in workplace activities to eliminate or reduce human failings which
result in accident behaviour.
PERCEPTION OF RISK
Human Sensory Receptors
Sight.
Hearing.
Taste.
Smell.
Touch.
76 © RRC Training
Sensory Defects and Basic Screening Techniques
Sensory defects increase with age and failing health.
Some people need spectacles and hearing aids, and you should have a
general idea of why this could be so. The safety practitioner probably
needs to be more concerned about those who don't know that they
have sensory defects or try to forget about it.
Individuals have the ability to screen out things that they are not
interested in.
Process of Perception of Danger
Signals from the sensory receptors.
Expected information from the memory.
These two signals combine to give us a 'picture' of the situation of

hazard, which is then processed by the brain. To take, or not to take,
action.
Perceptual Set
A 'mindset'.
We perceive not only the problem, but also the answer and set about
solving the problem as we have perceived it.
Further evidence may become available which shows that our original
perception was faulty, but we fail to see alternative causes and
solutions.
Perceptual Distortion
The perception of hazard is distorted (work rates, physical effort, bonus

payments).
Errors in Perception Caused by Physical Stressors
Fatigue, overwork, overtime, stresses from the workplace, and stresses
from home and outside activities.
Perception and the Assessment of Risk
Problems in the perception of a situation will cause errors in perception of
risk.
© RRC Training 77
Perception and the Limitations of Human Performance
Limitations in knowledge, strength, physical and mental ability.
Filtering and Selectivity as Factors for Perception
The filter mechanism only allows vital elements to be passed on.
We continuously screen out items that are not of immediate interest.
Process of filtering and selectivity can present a danger by

concentrating on a particular topic and missing a vital signal which
should have warned of danger.
Perception and Sensory Inputs
The Hale and Hale Model
Perception is based on:
Information from the senses (physical defects of sight or hearing can

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

information).
Possible actions.
Cost/benefit decision.
Action will affect the situation and so produce a feedback loop.
78 © RRC Training
Individual Behaviour in the Face of Danger

The Hale and Glendon Model
SYSTEM MODE
Input Processing Output
LEVEL OF
FUNCTIONING No
No
Need for action Responsibility

Tests for danger known
recognised? accepted or No
& carried out? Yes
Knowledge Yes (Labelled as danger) allocated?
Yes
Yes
No Hazard Plan made & No

seeking carried out?
initiated?
SYSTEM BOUNDARY
No Yes
Rules Yes No
Obvious Procedure
warning? known &
chosen?
Yes
No
No
Programmed or Response in
Skills Yes programme &
insistent danger
signals? carried out?
Yes
Danger Danger brought (or

unaffected stays) under control
(Increasing Static Decreasing)
OBJECTIVE DANGER
Behaviour in the Face of Danger Model
© RRC Training 79
(Reproduced from Individual Behaviour in the Control of Danger by A. R.

Hale and A. I. Glendon (1987) with kind permission from Elsevier Science –
NL, Sara Burgerhartstaat 25, 1055 KV Amsterdam, The Netherlands)
MAJOR DISASTERS
Contribution of Human Error to Major Disasters
Flixborough
Lack of a proper design study for the modification.
Lack of competency in the management team.

Kegworth Air Disaster
Inadequate training of flight crew.
Crew did not deal with problem in accordance with what training they
had.
Piper Alpha North Sea Oil-Rig Explosion
Failure in the permit-to-work system.
Design failure.
Inadequate emergency procedures.

Herald of Free Enterprise
Design failings.
Long working schedules.
No automatic monitoring of critical areas.
Poor emergency procedures.

Clapham Junction
Faulty wiring work.
Failure of procedures.
Inexperienced staff in critical jobs.
80 © RRC Training
Ladbroke Grove (Paddington Rail Disaster)
Driver's perception could have been affected by the sun reflecting on

the signal lenses.
Misinterpretation of the information presented by the signal.

Port Ramsgate
Deficiencies in design.
External checkers did not identify this problem.
IMPROVING INDIVIDUAL HUMAN

RELIABILITY IN THE WORKPLACE
Motivation and Reinforcement
Workplace Incentive Schemes
Provoke employees to work harder in order to receive a payment or benefit.

Reward Schemes
Reward given for improvement or a target reached.

Job Satisfaction
Factors which lead to job satisfaction are motivators.
Factors which lead to an absence of dissatisfaction are hygienes.

Appraisal Schemes
Way of finding out what problems exist within a workplace and, give
the opportunity for improvement.
Provide a measure of the safety culture.
More importantly, allow the employee to comment on progress and to

voice opinions.
Importance of Interview and Selection
To get only those workers who will conform to safety standards.
© RRC Training 81
On-the-Job Training
Provides trainees with experience which is a combination of work-based

knowledge and the development of skills.
Off-the-Job Training
Lectures.
Seminars.
Programmed instruction.
ORGANISATIONAL FACTORS
Effect of Organisational Factors on the Probability of
Human Error
Inadequacies in Policy
Inefficient co-ordination of responsibilities.
Poor management of health and safety.

Information
Should be accurate and timely.

Design
To ensure a system works effectively.

Implementation
Everyone involved must understand what their role is and how this
integrates into the system.
Influence of Formal and Informal Groups Within an
Organisation
Formal Groups
Formal organisations are established to achieve set goals, aims and

objectives. They have clearly defined rules, structures and channels
of communication. Examples of formal organisation are businesses,
governments and international concerns.
82 © RRC Training
Informal Groups
Within any organisation there is a 'grapevine'. This is usually very effective

in passing gossip and information. Since the source is difficult to trace, the
information might not be totally reliable. Even the Government organises
'information leaks' as a way of spreading information. Superimpose on the
formal organisational structure an informal structure of communication links
and functional working groups. These cross all the barriers of management
status and can be based on:
Family relationships.
Out-of-work activities.
Experience or expertise.
Peer Group Pressures and Norms
The word 'peer' means someone of the same level or rank as yourself. For
example, 'peers of the realm' can opt to be 'tried by their peers' (i.e. the
House of Lords), rather than be subject to common law. In the area of
health and safety, it is necessary to recognise the importance of peer group
pressures.
Group Formation
People join groups with similar outlook.
A lot of work situations involve group work or committees and

discussion groups.
Group Reaction
The group tends to create rules, and arranges for division of labour.
In small groups, individuals can exert more influence.

Group Development
Groups develop 'pecking orders' in terms of the amount of speech and

influence permitted. Dominant individuals struggle for status and an order
develops.
Group Control
A group will:
Establish standards of acceptable behaviour or group 'norms'.
© RRC Training 83
Detect deviations from this standard.
Have power to demand conformity.

Types of Organisational Communication
Vertical
Vertical communication may flow upwards or downwards although the

amount of communication downwards tends to exceed that going
upwards.
Horizontal
Information is channelled horizontally, both within a department and

between departments.
Inward
Outward
Procedures for Resolving Conflict and Introducing
Change
Conflict can occur because of:
Personality clashes.
Poor communication.
Conflicting interests.
Lack of leadership and control.
Approaches to conflict:
Unitary approach – the common aims of the organisation generate

team spirit, company loyalty, and good working conditions.
Pluralist approach – the organisation is made up of various groups

whose interests and goals may differ. Balance the various groups and
bring causes of conflict into the open with bargaining.
Workplace Representation on Safety Committees
The Health and Safety at Work, etc. Act 1974 provides for the
appointment of safety representatives and the establishment of safety
committees.
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Safety committees have the function of "keeping under review the

measures taken to ensure the health and safety at work of the
employees".
Safety representatives have other functions, including the power to:

− Carry out inspections.
− Investigate complaints by employees.
− Investigate potential hazards and dangerous occurrences.
− Examine the causes of accidents in the workplace.
− Receive information from the HSE.
JOB FACTORS
Effects of Patterns of Employment, Payment Systems
and Shift Work
Short-term contracts may cause stress due to the lack of job security.
Permanent contracts may lead to complacency in the workforce.
Piecemeal workers are paid by performance and speed is of the

essence, because the faster they work the more they get paid.
Shift workers may experience negative effects on their health.

Application of Task Analysis
A means of breaking down a task into each individual step.
By breaking the task down into each step, the cause of the injury may
become apparent and it may identify a better way of completing the
task.
Influence of Process and Equipment Design on Human
Reliability
Grouping of displays.
Consistency in displays.
Relative positioning of control devices and displays.
Working space and environment.
Layout of controls, displays and seating for convenience of operation.
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The Employee and the Workstation as a System
ENVIRONMENT
Fumes/Gases Heat/Cold Glare/Darkness Vibration Noise
MAN
MACHINE
Display Bells Switches
Dials Buzzers Knobs
Counters Hooters Levers
Gauges Lights Pedals
Ergonomic Fit
Elementary Physiology and Anthropometry
Anthropometry - study of human measurements, such as shape,
size, and range of joint movements.
Machine must be designed for the person.
Physiology - study of the calorific requirements of work (how much

energy is needed).
A person must not be expected to do more than the human body is

capable of.
Degradation of Human Performance Resulting from
Poorly Designed Workstations
Unnatural posture.
Leaning forwards, causing neck and lower back problems.
Repetitive motions, requiring the operator to exert force or use some

unnatural motion, can lead to upper limb disorders.
Ergonomically-Designed Control Systems – Examples
of Applications
Production Process Control Panels
Operate the panel from a safe place.
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Reach all the dials and switches easily.
Emergency controls clearly identifiable and easy to operate.
Operator able to see the production area.

Crane Cab Controls
Controls in the cab within easy reach and permit ease and delicacy of
control.
Driver has a satisfactory view of operations below.
Driver protected from the external environment.

Aircraft Cockpit
Interface easily with all the controls.
Controls/displays fitted in a logical way.
Safety-critical switches cannot be inadvertently operated.
Emergency controls clearly identifiable, easy to use and situated in a

suitable location.
Pilot must be able to adjust position to obtain the best field of vision.
CNC Lathe
Operator can access the key pad or keyboard easily and can use keys
comfortably.
Operator can adjust operating position.

Relationship Between Physical Stressors and Human
Reliability
Physical stressors:
− Extremes of heat, humidity, noise, vibration, poor lighting,
restricted workspace.
Has a negative effect and means that errors are more likely to occur.
Effects of Fatigue and Stress on Human Reliability
Stress can affect performance and an individual's ability to make
decisions and work effectively.
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Fatigue can lead to poorer performance on tasks requiring attention,

decision-making or high levels of skill.
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A7: PRINCIPLES OF HEALTH AND SAFETY

LAW
SOURCES AND TYPES OF LAW
Statute Law
Written law produced through the parliamentary process.
Acts of Parliament - Statutes
Regulations (Statutory Instruments)
Delegated legislation made under the auspices of an Act of Parliament.

Supported by Approved Codes of Practice (ACoPs)
Issued by the Health and Safety Commission.
Quasi-legal documents setting out details of the relevant standard of

health and safety.
European Directives and Regulations
A directive states the objective to be achieved but permits each member

state to implement it through its own legislative system.
A regulation applies directly to member states without being assimilated

into national laws.
Common Law
Originates from judicial decisions based on custom and practice which are
binding on all subsequent cases of a similar nature.
Nature and Development
The term 'common law' means the body of accumulated case law which is
based on the decisions of the courts over many years.
Each judgment contains the judge's enunciation of the facts and will include
the following important features:
Ratio decidendi - the reason for the decision.

Obiter dicta - words said by the way.
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Judicial Precedent
Authoritative precedents - decisions which judges are bound to

follow.
Persuasive precedents - decisions not binding, but to which the

judge will attach some weight.
Criminal Law
Purpose
To impose punishment for offences against the state.

Sanctions
Fines and imprisonment.

Civil Law
Purpose
To seek restitution for a wrongdoing.

Types of Remedy
Financial compensation (damages).

Burden of Proof
A criminal charge must be proved beyond reasonable doubt.
A civil case must be proved on the balance of probabilities.

Law of Contract
Definition of Contract
An agreement between two or more people.
The parties should intend their agreement to have legal

consequences.
Principles of the Law of Contract and Their Application to Health
and Safety Issues
Agreement – between the parties.
Consideration – something of value must be given in exchange for a

promise.
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Legal relations.
Legal capacity.
No illegal circumstances.
Form of contract.
Simple contracts.
Relationship Between Producer and Vendor
Producer must ensure that the article complies with relevant legislation
and standards and is "fit for purpose".
Any person injured due to a defective product can sue the producer.
Relationship Between Vendor and Consumer
A consumer is a user of an article or a purchaser of goods or services.

The vendor neither amends nor makes a product but merely sells it to
the consumer.
Vendor may be liable in tort if he/she is under a duty to inspect the

goods and fails to do so.
Relationship Between Client and Contractor
If a client appoints a contractor to do work then each party will owe a

duty of care to the other.
Client has a responsibility to appoint a competent contractor.

Exclusion Clauses and the Effect of the Unfair Contract Terms Act
1977
Exclusion clause - clause which is aimed at excluding or exempting or

reducing the seller's liability for failure to perform his part of the
contract as promised.
Unfair Contract Terms Act 1977:

− Applies to all contracts and it extends to the use of contract
terms to exclude or limit liability for negligence.
− Ensures that a person cannot by means of any term of a
contract, exclude or restrict his liability for death or personal
injury resulting from negligence. (Volenti non fit injuria does not
apply.)
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Employment Law in Relation to Health and Safety

Contract of Employment
Legally binding on both parties.
Advise staff of any disciplinary rules that apply to them.
Advise staff of procedures for appealing against disciplinary action.

Disciplinary Procedures
To discipline, or dismiss, an employee for failing to comply with safety

rules and regulations.
Need to ensure that employees are made aware of any rules

concerning safe working practices.
Unfair Dismissal
Employees will be unfairly dismissed if their employer dismisses them

because they:
Carry out activities which they are designated by their employer to

carry out in connection with preventing or reducing risks to health and
safety at work.
Perform functions they have as health and safety representatives or

committee members.
Bring to their employer's attention, a concern about circumstances at

work which they reasonably believe are harmful to health or safety.
Leave a dangerous part of the workplace.
Take appropriate steps to protect themselves from the danger.

Remedies for Unfair Dismissal
Reinstatement (the employee is to be treated in all respects as though

the dismissal had not occurred).
Re-engagement (the employee is to be re-employed but not

necessarily in the same job or on the same terms and conditions of
employment).
Compensation.
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Discrimination
Sex Discrimination Act 1975
Discrimination against women (or men) is unlawful.
Discrimination against married persons is unlawful.
Indirect discrimination is unlawful.

Race Relations Act 1976
It is illegal to discriminate against anyone on grounds of race.

Disability Discrimination Act 1995
Aimed at eliminating discrimination against disabled persons,

particularly in the field of employment.
Situations where it is Lawful to Discriminate
Sex Discrimination Acts 1975 and 1986

− Lawful for employers to discriminate against women on health
and safety grounds, which relate to the risk to pregnant women
and the unborn child.
− Exposure to certain chemicals may present a higher risk to
women of childbearing capacity.
Race Relations Act 1976
− Positive discrimination to ensure that health and safety
information is presented in appropriate language.
− Lawful discrimination where religious beliefs require the wearing
of beards or long hair, contravene hygiene regulations or impede
the effective use of personal protective equipment.
Disability Discrimination Act 1995
− The nature of the disability might affect the person's ability to
carry out their tasks, and this will also include possible associated
risks to safety and health.
Management of Health and Safety at Work Regulations 1999
− Discrimination in order to protect young persons from high-risk
activities.
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Protection for 'Whistle-Blowers'
Employees are legally obliged to blow the whistle in certain

circumstances (Section 7, HSWA; Regulation 14, Management of
Health and Safety at Work Regulations 1999).
Public Interest Disclosure Act 1998 gives employees the right not
to be subjected to any detriment or act by their employer, done on the
ground that the worker has made a protected disclosure.
Disclosures that qualify for protection include:

− A criminal offence is being committed.
− A person is failing to comply with any legal obligation to which he
is subject.
− A miscarriage of justice is occurring.
− The health and safety of any individual is being endangered.
− The environment is being damaged.
− Information on the above is being deliberately concealed.
ABSOLUTE AND QUALIFIED DUTIES

The Concept of Absolute and Qualified Duties
With most health and safety offences, the only requirement is to prove the
defendant committed the act or omission. However, the statute concerned
may set out different levels of duty (absolute and/or qualified) giving rise
to criminal liability, with corresponding levels of proof required and
defences available.
Definition of Terms
Absolute requirements - the duty is qualified by "shall" or "must".
Practicable requirements - if something is technically possible it

should be done.
Reasonably practicable requirements - imply a lower or lesser

level of duty.
"Reasonably practicable" compares the quantum of risk with the

sacrifice involved in carrying out the measures necessary for averting
the risk.
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ROLE OF THE EUROPEAN UNION

Influence and Role of the European Union Regarding
UK Health and Safety Legislation
Directives are implemented in the UK by regulations. The Directives
are binding on the result to be achieved.
The UK as an EU member state can influence the European

Commission's programmes and also the form and content of draft
Directives.
The process responsible for the creation of instruments of EU law can

be influenced by UK representation on the main EU institutions.
Composition and Roles of the Main Institutions
Council of the European Union
The Council of the European Union is the principal decision-making

institution in the Community.
Powers include:
Ensuring co-ordination of the economic policies of the member states.
Taking decisions and delegating implementing powers to the European

Commission.
Requesting 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 European Commission
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.
The European Parliament
Legislative role.
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Co-decision procedure.
The European Court of Justice
Most cases deal with the interpretation or application of EU legislation as it

affects individual rights.
Where there is a conflict between EU law and national law, EU law takes
precedence.
Jurisdiction and Powers
Hear complaints that a member state has not fulfilled its obligations
under the Treaties.
Decide whether the Commission and the Council of the European

Union have acted legally.
Decide disputes between member states about the subject matter of

the Treaties.
Hear cases referred by the national courts of member states in matters

relating to the interpretation and application of Community law
(Preliminary Ruling Jurisdiction).
Award damages for unlawful acts committed by Community

institutions (Plenary Jurisdiction).
Hear actions between member states and Community (Contentious

Jurisdiction).
Interpretation of the EC Treaty.
Interpretation of acts of the institutions of the EU and of the European

Central Bank.
Interpretation of the statutes of bodies established by an act of the

Council of the European Union where those statutes so provide.
Composition and Roles of the Economic and Social Committee and
Advisory Groups
The Court of Auditors

Carry out audits of all revenue and expenditure of the EU and its
associated bodies.
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The Committee of Permanent Representatives (COREPER)
Assists the Council of the European Union.
The Economic and Social Committee (ECOSOC)
An advisory committee dealing with international transport within the

Community, and the legal base for the adoption of measures
necessary for the establishment and functioning of the internal market.
The Committee of the Regions (COR)
Represents the particular interests of the Regions.
The Conciliation Committee
Promoting agreement between Parliament and the Council (Co-

decision Procedure).
Instruments in EC Law
Treaties
Ratified agreement between states.

Regulations
Apply directly to member states and prevail over national law.

Directives
Binding on member states with respect to the objectives to be

achieved.
Normally implemented by regulations made in the member states.

Decisions
Binding upon those that they address.
Made by the European Court of Justice on points of law.

Directives
Co-Decision Procedure
First Reading - proposal from the Commission. Council adopts the

Common Position by qualified majority vote and communicates the
Common Position to Parliament.
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Second Reading:
− Parliament approves the Common Position or takes no position.
− Parliament indicates its intention to reject the Common Position
by an absolute majority vote.
− If Council does not approve all the amendments, moves towards
the conciliation phase and proceedings reach a Third Reading.
Third Reading - if either Parliament or Council rejects the joint text,
the measure is not adopted; if both accept the joint text, the measure
is adopted.
Qualified Majority Voting
Each member state has a proportion of the available votes allocated

according to relative size.
Distinction Between Directives Made Under Article 95 and Article
137 of the Treaty of Rome
Article 95 - concerned with the free movement of goods.

− Adopted in order to remove all barriers to trade in the European
Community - principle of a high level of protection for human
health and the environment.
Article 137 - concerned with the protection of workers.
− Lays down minimum requirements concerning occupational
safety and health at work.
UK Law in Response to EC Directives

Binding on the UK with respect to the objectives to be achieved.
Implemented by regulations made by the member state.

The European Court of Justice
Enforcing Decisions of the ECJ Through the Courts of Member
States
Decisions of the ECJ become precedents for the courts of member

states.
Any future legislation enacted by member states must have regard to

such decisions.
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The ECJ can impose a financial penalty on a member state which fails
to comply with the judgment.
Effect of Decisions of the ECJ on UK Law
The UK has to abide by any Decision made by the ECJ.
Any future legislation or judgments must have regard to such

Decisions.
UK LEGISLATIVE FRAMEWORK
Status and Procedure for Making UK Acts of
Parliament, Regulations and Orders
Acts of Parliament
Green Papers
− Statement of government intent.
− Object is to seek opinion and feedback on proposals.
White Papers
− Statement of government policy.
− Indicates the broad lines of the legislation the government
intends to introduce.
Progression of a Bill through Parliament
First Reading.
Second Reading – discussion of the Bill's principles.
Committee Stage.
− The Bill is subject to very close scrutiny.
− Amendments are allowed at this stage of the proceedings.
Report Stage.
− Amendment and further refinement.
Third Reading.
− Successfully passed through the Commons procedure.
− House of Lords – passes through a similar procedure.
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− If amendment required, returned to the Commons for

agreement.
Royal Assent – becomes law.
Regulations
Section 15 of HSWA gives power to make regulations on:

Health, safety and welfare of people at work.
Protecting people other than those at work against risks to their health
and safety arising out of work activities.
Controlling the keeping and use of dangerous substances.
Controlling the release of noxious or offensive substances.

Role of the Secretary of State and the HSC in Making Regulations
Proposals submitted to the appropriate minister by the Health and

Safety Commission after consultation.
Proposals published in the form of a consultative document.
In final form, the proposed regulation is laid before both Houses of

Parliament for 40 days, and if there are no objections it will become
law.
Use of Socio-Technical Cost-Benefit Analysis in the
Economic Assessment of Proposed
Legislative/Regulatory Change
An analysis of the socio-technical cost-benefits of proposed legislative or
regulatory change should include the following:
Description of the industries affected.
Evaluation of the risks addressed.
Assessment of the benefits attributable to the final standard.
A determination of the technological feasibility of the new

requirements.
An estimate of the cost of compliance.
A determination of the economic feasibility of compliance with the

standard.
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An analysis of the economic and other impacts associated with the

changes, including those on small businesses.
STRUCTURE OF THE COURTS

Functions, Jurisdiction and Powers of the Courts
The Court System
Criminal Cases
− The Magistrates' Court.
− The Crown Courts.
Civil Matters
− County Courts.
− High Court.
Employment Tribunals
− Formerly known as industrial tribunals.
− Mainly deal with unfair dismissals and redundancy payment
claims.
Magistrates' Court
− All criminal cases.
− Summary offences.
− Indictable offences.
− Triable either way. (Most health and safety offences fall into this
category.)
Crown Court
− All trials on indictment (the more serious crimes).
County Courts
− Hear cases where the compensation claimed does not exceed
£50,000.
High Court of Justice
− Health and safety matters are referred to the QBD, which is
presided over by the Lord Chief Justice.
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Court of Appeal
− Criminal Division: appeals against sentences and convictions for
offences dealt with at Crown Court.
− Civil Division: appeals from the High Court of Justice and the
County Courts.
House of Lords
Cases on a point of law.

European Court of Justice (ECJ)
Basic Procedures for Prosecutions and Civil Actions

Procedure in Prosecution
Information is laid before the magistrate.
Summons to appear before magistrates is served.
Examining magistrate decides whether there is a charge to be

answered.
Magistrate decides whether offence will be tried summarily or on

indictment.
Civil Procedures
Letter of Claim
A summary of the facts, the nature of any injuries, any financial losses
incurred and requests details of the insurer.
Defendant's Reply
Identifying the insurer.
Investigation
Up to three months for defendant to investigate the claim and to

respond.
− Admit liability.
− Deny liability either completely or partially.
Proceedings
Defence document which states:
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− The facts which are admitted.

− The facts denied.
− The defence's version of events.
− The facts which the defendant neither admits nor denies and
which the claimant must prove.
All cases allocated to:

− Small claim track (damages are no more than £1,000).
− Fast track (damages exceed £1,000 but do not exceed
£15,000).
− Multi-track (damages exceed £15,000 or involve complex
issues).
Procedures of Employment Tribunals in Matters of

Health and Safety
Functions of Tribunals
Authority in the following main areas:
Time off for the training of safety representatives.
Failure to pay a safety representative for time off for carrying out
his/her functions and training.
Failure of an employer to make a medical suspension payment.
Dismissal, actual or constructive, following a breach of health and

safety law and/or a term of an employment contract.
Appeals against improvement and prohibition notices.

Procedure
Parties before tribunals can be represented either by lawyers or

laymen.
An application is made to the tribunal setting out the claim and

indicating the redress sought.
Employer is notified and indicates whether he or she admits the claim

or intends to resist.
Outline his or her defence in a notice of appearance.
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Date is then fixed for the hearing.
The tribunal can order the attendance of witnesses and the giving of
evidence on oath.
Tribunal decisions are not regarded as precedents but are valued for
their reasoning and guidance.
Proceedings tend to be less formal than in court and costs are not
usually awarded.
The Appeals System
For a summary offence, there is a right of appeal to a Crown Court
against:
− Conviction, sentence or both, if the accused pleaded not
guilty.
− Sentence only if he pleaded guilty.
The Court of Appeal, Criminal Division, hears appeals from the Crown
Court.
ENFORCEMENT OF HEALTH AND SAFETY

LAW
Authorities Empowered to Enforce Health and Safety
Legislation
HSE is the enforcing authority for industrial premises.
The local authority is responsible for commercial premises.

Powers of Enforcing Authorities and Their Inspectors
These include the power to:
Enter any premises.
Take a police officer with him.
Make any necessary examinations and investigations.
Be left undisturbed for investigation or examination.
Take photographs, measurements, samples.
Dismantle or destroy articles, etc.
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Retain articles or substances for examination.
Require persons to give information.
Inspect and take copies of documents.

Obligations of Enforcing Officers
To give information to employees or their representatives.
Not to disclose:
"(… any information with respect to any trade secret obtained by him
in any premises entered by him by virtue of any such power) except:
(a) for the purposes of his functions; or
(b) for the purposes of any legal proceedings …; or
(c) with the relevant consent."
There are moves to amend or abolish Section 28, HSWA, in the light of the
Freedom of Information Act 2000.
Offences and Maximum Penalties Under the Law
Summary Offences
Contravening a requirement imposed under HSWA, Section 14

(power of the Health and Safety Commission (HSC) to order an
investigation).
Contravening a requirement imposed by an inspector under Section

20 (powers of inspectors) or Section 25 (power to deal with
imminent danger).
Preventing or attempting to prevent a person from appearing before

an inspector, or from answering his or her questions.
Intentionally obstructing an inspector.
Falsely pretending to be an inspector.

Either Way Offences
Failure to carry out one or more of the general duties of HSWA,

Sections 2-7.
Contravening:
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− HSWA, Section 8 - intentionally or recklessly interfering with

anything provided for safety.
− HSWA, Section 9 - levying payment for anything that an
employer must by law provide in the interests of health and
safety, (e.g. personal protective clothing).
Contravening any health and safety regulations.
Contravening a requirement of an Improvement Notice or a Prohibition

Notice.
Intentionally or recklessly making false statements, where the

statement is made in either of these cases:
− To comply with a requirement to furnish information.
− To obtain the issue of a document.
Intentionally making a false entry in a register, book, notice, etc.,
which is required to be kept.
Indictable Offences
Contravening any of the relevant statutory provisions, where a licence

issued by the Executive or appropriate minister is required, otherwise
than under the authority of the said licence.
Contravening a term, condition or restriction attached to any such

licence.
Acquiring or attempting to acquire, possessing or using an explosive

article or substance in contravention of any relevant statutory
provision.
Maximum Penalties
Summary Conviction
On summary conviction at a Magistrates' Court the maximum
penalties are:
− £20,000 for breaches of Sections 2 to 6 of HSWA.
− £20,000 and/or six months' imprisonment for breaches of
Improvement or Prohibition Notices.
− £5,000 for obstructing an inspector or other breaches of the
remaining sections of HSWA, or subordinate regulations.
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Conviction on Indictment
For conviction on indictment at a Crown Court, the accused faces an
unlimited fine. In the following cases there may also be two years'
imprisonment:
− Certain offences involving required licences.
− Certain offences involving explosives
− Contravention of an Improvement or Prohibition Notice.
Options for Enforcement Action

See HSE Enforcement Guide (www.hse.gov.uk/enforce/enforcementguide/).
Prosecution.
Formal caution.
Enforcement notices:
− Prohibition Notice - served in anticipation of danger - that the
activities present a risk of serious personal injury.
− Improvement Notice - served where a contravention of health
and safety law is taking place, but is not necessarily dangerous.
Appeals
For an Improvement Notice, the appeal has the effect of

suspending the operation of the notice until the appeal is heard
or withdrawn.
For a Prohibition Notice, the bringing of the appeal shall have this
effect if, but only if, the person appealing applies for the notice to
be suspended and the tribunal so directs.
Appeal against an Improvement Notice has the following options available:
The notice is upheld unchanged.
The notice is confirmed with some modifications.
An extension is allowed to the period of time for compliance.
The notice is cancelled.
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Implications of Sections 36 and 37 of HSWA and

MHSW Regulation 21
Offences Due to Fault of Third Person (Section 36)
Where an offence under any of the relevant statutory provisions is due to

the act or default of some other person, that other person shall be guilty of
the offence.
Offences by Body Corporate (Section 37)
Where an offence under any of the relevant statutory provisions committed

by a body corporate is proved to have been attributable to any neglect on
the part of any director, manager, secretary or other similar officer, he as
well as the body corporate shall be guilty of that offence.
MHSW Regulation 21
An employer cannot escape liability for an offence by pleading that one of

his employees or a competent person appointed by him was responsible.
Effect on Criminal Proceedings of Section 40 of HSWA
It shall be for the accused to prove that it was not practicable or not
reasonably practicable to do more than was in fact done to satisfy the
duty or requirement, or that there was no better practicable means
than was in fact used to satisfy the duty or requirement.
This makes the task of the prosecution much easier than in the normal
criminal trial procedure.
Prosecutor has to prove beyond all reasonable doubt:

− That the breach of regulations took place.
− That the accused was responsible for the breach.
Prospective defence for the defendant to prove:
− It was not practicable.
− It was not reasonably practicable.
− There were no better practicable means than those used to
discharge the duty.
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Application of Manslaughter and Corporate

Manslaughter to Work-Related Incidents
Herald of Free Enterprise Capsize (1987)
− "The faults which led to this disaster were the aforesaid errors of
omission on the part of the Master, the Chief Off icer and the
assistant bosun … But a full investigation into the circumstances
of the disaster leads inexorably to the conclusion that the
underlying or cardinal faults lay higher up in the company…"
− The company P & O and five senior employees were prosecuted
for manslaughter.
− It could not be established who was the directing mind of the
company in respect of safety.
− The trial judge directed that the company and the senior
managers be acquitted.
Southall Rail Crash (1997)
− A high-speed Intercity 125 train collided with an empty freight
train, which resulted in a number of fatalities and a significant
number of injuries.
− The train passed amber warning signals and then a red light
before the collision. The Automatic Warning System, which
would have given the driver an audible warning, had been
switched off and an Automatic Train Protection System was not
operational because the driver was not trained in its use.
− Manslaughter charges were brought against both the driver and
the train company but the charges were dismissed on the
grounds that it was necessary to identify a negligent directing
mind within the organisation and this could not be done.
Lyme Bay Disaster (1993)
− Four teenagers died following a canoeing trip across Lyme Bay in
Dorset.
− The company and its managing director were successfully
prosecuted and convicted of manslaughter.
− OLL Ltd was a very small business and the risks associated with
canoeing in the open sea with inadequate supervision and safety
equipment were clearly obvious and serious.
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Tebay Deaths (2004)

− Four rail workers were killed by a wagon which ran into them as
they worked at night on the West Coast Main Line.
− The owner had deliberately disconnected the hydraulic brakes on
two wagons because it was cheaper than repairing them.
− The crane driver was not qualified to operate the crane and had
placed wooden chocks under the wheels of the two wagons
because he knew they might move as he unloaded the steel rails.
− The owner and the crane driver were successfully prosecuted and
each found guilty of four counts of manslaughter.
Corporate Manslaughter and Homicide Bill 2006
− Introduces a new statutory offence of corporate manslaughter.
− “An organisation … is guilty of an offence if the way in which any
of its activities are managed or organised by its senior managers:
(a) causes a person’s death, and
(b) amounts to a gross breach of a relevant duty of care owed by
the organisation to the deceased.”
− “Senior manager” is defined as a person who plays a significant
role in “(a) the making of decisions about how the whole or a
substantial part of its activities are to be managed or organised,
or (b) the actual managing or organising of the whole or a
substantial part of those activities”.
− “A breach of a duty of care by an organisation is a ‘gross’ breach
if the conduct alleged to amount to a breach of that duty falls far
below what can reasonably be expected of the organisation in
the circumstances.”
− If the Bill becomes law, corporate liability will no longer be
dependent on the guilt of an individual “directing mind”.
− The offence will carry a fine on conviction on indictment.
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A8: CRIMINAL LAW

THE HEALTH AND SAFETY AT WORK, etc.
ACT 1974 AND ASSOCIATED LEGISLATION
Object and Scope of HSWA
Employers, employees, the self-employed, designers, importers,
manufacturers and suppliers all fall within the scope of the Act.
General Duties of Employers to Employees (Section 2)
'Strict liability' in that, in the event of a prosecution in the criminal

courts, the prosecution only has to prove the section was breached.
They do not have to prove any aspect of the guilty mind on the part of
the defendant.
Section 2(1) - a general duty is placed on the employer:
"to ensure, so far as is reasonably practicable, the health, safety and

welfare at work of all his employees."
2(2)(a): The provision and maintenance of plant and systems of
work that are, so far as is reasonably practicable, safe
and without risks to health.
2(2)(b): To ensure safety and absence of risks to health in
connection with the use, handling, storage and transport
of articles and substances.
2(2)(c): The provision of such information, instruction, training
and supervision as is necessary.
2(2)(d): To ensure, so far as is reasonably practicable, that any
place of work under the employer's control is maintained
in such a condition as to be safe and without risk to
health; this includes means of access to and egress from
such place.
2(2)(e): The environment must likewise be safe, and adequate
facilities and arrangements for the welfare of the persons
employed must be provided.
The Safety Policy
Section 2(3)
HSWA is an Act containing very general duties that apply to all workplaces,
therefore the safety policy is the key document that specifies how each
individual concern is to fulfil its obligations.
© RRC Training 111

The employer must prepare and
"revise a written statement of his general policy with respect to the

health and safety at work of his employees and the organisation and
arrangements … in force for carrying out that policy, and … bring the
statement and any revision of it to the notice of all his employees."
This applies where there are five or more employees.
Where there are fewer than five employees, such policy may be
communicated in verbal form.
Duties to Persons Other Than Employees (Section 3)
There is a duty to make adequate safeguards to protect third parties, such

as contractors at work in an employer's premises and children at school.
Duties of Persons Concerned With Premises (Section 4)
Duties on persons who have control of premises, in relation to those

who are not their employees, to take reasonable measures to ensure
that they are safe and without risk to health.
The criminal counterpart of the civil liability contained in the

Occupiers' Liability Act 1957.
Designers, Manufacturers, Importers and Suppliers (Section 6)
Imposes duties on any person who designs, manufactures, imports or

supplies any article for use at work. It has been amended by the
Consumer Protection Act 1987.
Articles
− Safe design and construction.
− Suitable testing and examination.
− Provision of information.
Substances
− Safe and without risk to health when being used, handled,
processed.
− Suitable testing and examination.
− Provision of information.
112 © RRC Training

Employees' Duties (Section 7)
The duty of every employee while at work:
To take reasonable care for the health and safety of himself and of
other persons who may be affected by his acts or omissions at work.
To co-operate with the employer to enable compliance with statutory

provisions.
Interference and Misuse (Section 8)
No person shall intentionally or recklessly interfere with or misuse

anything provided in the interests of health, safety or welfare in pursuance
of any of the relevant statutory provisions.
No Cost to Employees (Section 9)
Not to levy any charge in respect of anything done or provided in

pursuance of any specific requirement of the relevant statutory
provisions.
The law only prohibits a levy being placed on safety equipment

provided under specific regulations, not under the general duty clauses
of HSWA.
The Management of Health and Safety at Work
Regulations 1999 and Associated ACoP
There is a duty on employers to:
Make a suitable and sufficient risk assessment.
Introduce suitable control measures.
Have access to competent health and safety assistance.
Establish procedures for serious and imminent danger.
Make suitable arrangements for contact with external services.
Provide suitable information to employees.
Provide suitable information to visiting workers.
Provide adequate health and safety training for employees.
There is a duty on employees to use any equipment and substances in a

manner to which they have been trained and instructed.
© RRC Training 113

Where two or more employers share a workplace, each employer shall

ensure that there is co-operation with others to enable them to meet their
statutory duties and co-ordinate their health and safety measures.
ACOPS and Guidance
ACoPs
Detail how to comply with the legal requirements.
ACoPs are issued by the Health and Safety Commission (HSC)

following consultation.
They do not lay down legal requirements.
Not complying with them may be evidence of non-compliance with the

Regulations.
Official Guidance
The Health and Safety Executive (HSE) publish an extensive series of

stand-alone Health and Safety Guidance.
The information contained in these various guidance materials is

purely advisory and has no legal significance.
Relationship of the Act, Regulations, ACoPs and
Guidance
HSWA prescribes general duties only.
The Regulations provide exact specifications of what those who have

duties under the Act are required to do.
The Approved Codes of Practice set out exactly how the requirements
of the Regulations may be complied with.
Finally, guidance materials from the HSE provide a further source of

advice on effective measures that may be taken to meet the
requirements.
DEFENCES AVAILABLE IN CRIMINAL LAW

There are standard defences available to employers in both manslaughter
and criminal health and safety cases:
114 © RRC Training

Manslaughter
− Behaviour neither reckless nor grossly negligent.
Criminal Negligence
− Accused had done all that was reasonably practicable in the
circumstances.
− Facts of the case incorrect.
− Fault lay with someone else.
− Not guilty due to a technicality, e.g. no formal
employer/employee relationship.
© RRC Training 115

A9: CIVIL LAW

CIVIL LIABILITY
Tort of Negligence
A 'tort' is a civil wrong.
Negligence implies a failure to do something that would be expected in the

circumstances (an omission) or careless behaviour (an act) - it is the lack
of duty of care.
In order to sue successfully for negligence there are three main points to
establish:
That the defendant was under a duty of care to the claimant or injured
party (the injured person was the "neighbour" of the defendant).
That the duty had been breached.
That as a result of the breach the claimant suffered harm - the harm
suffered being not too remote from the breach.
Res Ipsa Loquitor
Proof is not needed because the facts speak for themselves.
Allows a decision on negligence to be made when the causes of an

incident are not clear.
The Concept of "Duty of Care"
The "Neighbour Test"
Common law held that individuals must take reasonable care of others.
Donoghue v. Stevenson (1932) established the need to avoid acts

or omissions which would be likely to injure your neighbour.
General Duties Owed By and To Various Parties
An employer owes a duty to his employees.
An employer owes a duty to contractors working on his behalf on his

premises.
An employer owes a duty to visitors.
116 © RRC Training

An employee owes a duty to other employees, and to contractors on

the premises.
A contractor owes a duty to the employer, his employees and other

contractors.
A manufacturer owes a duty of care to suppliers and consumers.

Duty of Care Owed by Designers, Manufacturers and Suppliers
If the product is defective there might be harm to the user, other

damage to property and loss of production.
Any person injured due to the defective product can sue, including any
bystander who happened to be around when the product caused
harm.
For a claimant to be successful in a civil action in tort, he or she must

prove that the manufacturer did not take reasonable care during the
process over which they had control, i.e. the manufacturer was
negligent.
Duty of Care Owed to Client and Vice Versa
If a client appoints a contractor to do work then each party will owe a duty
of care to the other.
Certain construction activities are covered by the requirements of the

Construction (Design and Management) Regulations 2007.
Regulation 45 states that a breach of these Regulations, other than those
imposed by Regulation 9(1)(b), 13(6) and (7), 16, 22(1)(c) and (l), 25(1),
(2) and (4), and Regulations 26 to 44, cannot be used in a civil action for
breach of statutory duty.
Regulation 10 (20 (C) of CDM requires that the principal contractor

ensure so far as is reasonably practicable that the health and safety
plan is prepared before the start of the construction phase.
Regulation 22(1)(l) of CDM requires the principal contractor to take

reasonable steps to ensure that only authorised persons are allowed
into premises where construction work is being carried out.
Extent of Duty of Care
Proximity - the two parties must be sufficiently proximate to each

other.
© RRC Training 117

Reasonableness - fair, just and reasonable to impose a duty.
Reasonable foreseeability - the defendant should have reasonably

foreseen that the act or omission would cause harm.
Duties Owed by Employers to Employees and Others
Safe place of work.
Safe system of work.

− The physical layout of the job.
− The sequence in which the work is to be carried out.
− The provision of warnings and notices.
− The issue of special instructions.
Safe plant, equipment and materials.
Provision of reasonably competent employees: instruction, training

and supervision.
BREACH OF DUTY, DEFENCES AND

DAMAGE
Main Defences to Claims of Negligence
The main defences available to claims of negligence are:
Denial
When an action is denied, the defendant is claiming that the incident,

in one way or another as connected to him or her, never occurred.
No Duty Owed
This defence is based on the principle that there is no duty of care

owed to the injured party.
No Breach of Duty
The defendant must be in breach of the duty of care he or she owes to

the claimant by being careless or negligent.
The Breach Did Not Lead to the Damage

No direct connection between the breach and the damage/injury that
occurred.
118 © RRC Training

Remoteness of Damage
The kind of damage must be reasonably foreseeable.
Volenti Non Fit Injuria

No person who has consented to the infliction of an act on himself can
expect to find a legal redress for the consequences of that act.
Breach of Statutory Duty Giving Rise to Civil Liability
Principle of a Breach Leading to Civil Action
An injured person (or their dependants) may sue under the tort of breach
of statutory duty.
Only if the case falls within the wording of the statute can the victim
sue for compensation.
Not all statutory duties give rise to civil action.
The following elements must be proved (on a balance of probabilities):
The statute must place the obligation on the defendant.
The statutory duty was owed to that claimant (the claimant is within
the class of persons whom the statute was intended to protect)
(employee).
The injury was of a type contemplated by the statute.
The defendant must be in breach of that duty.
The breach of statutory duty must have caused the injury.

Main Defences to Claims of Breach of Statutory Duty
Relevance of Specific Legislation
Section 47 of HSWA
− Provides that no civil action may be brought as a result of a
breach of the general duties in Sections 2-8.
Other Defences
− No breach of duty.
− Duty was not owed.
− Harm not covered by statute.
© RRC Training 119

− Breach did not cause loss.
Damages
The amount of money (compensation) awarded by a court to a
claimant, in health and safety cases, for personal injury sustained by
the claimant.
The object of compensation damages is to restore the claimant to the

position he would have been in prior to injury.
Damage for which Tortfeasor is Liable
General damages - follow from the alleged injury and do not need to
be set out in the claimant's case.
Special damages - damage of a kind not presumed by law but which

arises from the special facts of the case.
Nominal - these are awarded where a person's rights have been

invaded but he has not suffered any actual loss or damage.
Exemplary - these are damages which are intended to punish, deter

and convey disapproval.
Contemptuous - an award of a derisory amount.
Aggravated - injury to the claimant's feelings but not awarded in

negligence cases.
Restitutionary - restore any benefit gained at the expense of the

claimant.
Compensatory - compensate the claimant for damage caused to him

by the tortfeasor.
Date of Knowledge of Risk
The Limitation Act 1980 identifies time limits within which actions
for torts must be brought.
In injury or fatal accidents, the normal time limit is three years.
In other tort actions, it is six years.

Factors to be Considered in the Assessment of
Damages
Pecuniary loss:
120 © RRC Training

Pre-trial expenses.
Loss of earnings.
Future loss of earnings.
Non-pecuniary loss:
Pain and suffering.
Loss of amenity.
Contributory Negligence and its Effects
The position of the employee who in some way contributes to his own
injury.
Where a person contributes to his own injury, whatever damages are

arrived at will be reduced in proportion to his blameworthiness.
Strict Liability
Most health, safety and environmental offences fall in the category of being
strict liability offences, which means that only the act or omission need be
proved - the guilty mind is irrelevant.
R v. Gateway Foodmarkets Ltd (1996)

Section 2(1) of HSWA imposed strict liability on an employer
whenever there was a failure to ensure his employees' health, safety
and welfare at work.
Rylands v. Fletcher (1868)

This case established the strict liability of an occupier of land who
brings onto it anything likely to do damage if it escapes. If that thing
is kept on the land, the occupier will be liable for any damage caused
by an escape.
Vicarious Liability
The liability of a master for the torts of his servant committed in the course
of his employment. (A person can be liable for the damages caused by
someone else, even though he isn't strictly responsible for the action which
caused those damages.)
© RRC Training 121

Circumstances in which Employer is Vicariously Liable for

Negligence of Employee
In the Course of Employment
Establish employer/employee relationship.
Independent contractor would be outside the employer/employee

relationship.
The following criteria were established as creating employed status:
The employee agrees to provide work and skill for the employer in
return for payment.
The employee agrees to be subject to the employer's control.
The other terms of the contract are consistent with a contract of

service.
Having established the employer/employee relationship, the employer has

to accept liability (vicariously) for the torts committed by his employees, but
only if they are committed in the course of employment.
In the case of an employee doing an act which, although expressly
forbidden by the master, can be said to fall into the category of something
he was employed to do, then the master will be liable.
Employee's Professional Responsibility
Where an employer can give orders to his employee on what to do and also
how to do it, then it is clear that the employer is retaining full control of his
employee's activities and, as such, will be liable for his torts.
Servant's "Frolic"
The employer will not be liable for the independent acts of his employees if
it can be shown that the employee was on what has been for many years
known as "a frolic of his own".
Vicarious Liability for Actions of a Contractor
The employer may be vicariously liable for wrongful acts of a

contractor if the employer has authorised the particular act.
The employer may be held liable if the employer has some control
over the work, particularly where the employer co-ordinates the work,
or if the employer selects an incompetent contractor.
122 © RRC Training

Joint Tortfeasors
Meaning of Joint and Several Liabilities
A tortfeasor is a person who has committed a tort.
Joint tortfeasors - where there is more than one tortfeasor.
The same damage to the injured person may be caused by two or

more tortfeasors acting together with common intent. Their liability is
said to be joint and several and they are classed as joint
tortfeasors.
Recovery of Damages from Joint Tortfeasor
"Any person liable in respect of any damage suffered by another

person may recover contribution from any other person liable in
respect of the same damage whether jointly or otherwise."
Also relevant here is the Compensation Act 2006. Amongst other things
this Act corrects a presumption in law that an apology is tantamount to an
admission of liability. This presumption interfered with a good deal of
normal human concern/response because of the fear of litigation.
Civil Procedures Rules: Effects of the Woolf Report
Dealing with a case justly includes, so far as is practicable:
Ensuring that the parties are on an equal footing.
Saving expense.
Dealing with the case in ways which are proportionate:

− To the amount of money involved.
− To the importance of the case.
− To the complexity of the issues.
− To the financial position of each party.
Ensuring that it is dealt with expeditiously and fairly.
Allotting to it an appropriate share of the court's resources, while

taking into account the need to allot resources to other cases.
To achieve these aims, the management of the case has shifted

substantially from the litigants to the courts. They now play a far more
active role by:
© RRC Training 123

Encouraging parties to co-operate.
Identifying issues early.
Disposing of issues summarily where possible.
Encouraging use of alternative dispute resolution procedure.
Fixing tight timetables.
Using technology.
To encourage early settlement a number of pre-action protocols have been

developed which must be adhered to, or otherwise the courts may impose
sanctions. The personal injury pre-action protocol has been designed for
those accidents at work such as slips and trips, and road traffic accidents.
The steps of the protocol:
Letter of claim.
Defendant's reply.
Investigation.
Proceedings (last resort).
If proceedings commence, the defendant may:
Admit liability.
Deny liability.
Cases are allocated to one of three tracks:
Small claim track if damages are no more than £1,000.
Fast track if damages are above £1,000 but do not exceed £15,000.
Multi-track if damages exceed £15,000 or the case involves complex

issues.
Civil Procedure in Scotland
Court of Session
Summons served to the defender.
Should the defender wish to contest the action, he or she must inform
the court.
124 © RRC Training

Pleadings will be made in writing and a hearing will usually follow.
Sheriff Court
Proceedings are started by an initial writ.
Defender must inform the court if he or she wishes to contest the

action.
In the case of summary cause actions, cases involving amounts of less

than £750 are treated as 'small claims'.
In cases where the amounts involved are between £750 and £1,500,
procedure is designed to let most actions be settled out of court.
OCCUPIER’S LIABILITY
Main Provisions of the Occupiers' Liability Acts 1957
and 1984
OLA 1957
Established:
− A common duty of care to all lawful visitors.
− A duty to take such care as in all the circumstances of the case is
reasonable to see that the visitor will be reasonably safe in using
the premises for the purposes for which he is invited or permitted
by the occupier to be there.
Visitors
− Licensee is someone to whom a licence is granted.
− Invitee is a visitor to whom hospitality is extended.
− Protection is afforded to all lawful visitors.
The OLA 1984 states that an occupier owes a duty to trespassers when:
The occupier knows that trespassers are gaining access.
The occupier is aware of the danger or has reasonable grounds to

believe it exists.
The risk is one against which the occupier may be reasonably

expected to offer some protection.
© RRC Training 125

The Occupiers’ Liability (Scotland) Act 1960

Occupiers' liability for injury or damage to persons and property is
simplified in Scotland in that there is no distinction between invited
and uninvited visitors.
No need to determine the status of a visitor and the Act applies to all
situations.
The major difference between the Scottish and English Acts concerns
the issue of trespassers. In England and Wales, an occupier owes a
duty to trespassers only when three specific conditions are met. In
Scotland, there are no conditions; an occupier is simply required to
take reasonable steps to ensure that a trespasser will be reasonably
safe.
NUISANCE
Meanings of Private, Public and Statutory Nuisance
Common Law Nuisance
Violates the principles which the common law lays down for protection of
the public.
Private Nuisance
Some form of act, or failure to act, on the part of an individual or

group that results in obstruction, inconvenience or damage to another
individual or group.
Public Nuisance
Has a direct effect on the public at large, such as obstruction of a

public right of way.
Statutory Nuisance
Part III of the Environmental Protection Act 1990 includes:
Smoke emitted from premises.
Fumes or gases emitted from premises.

Any dust, steam, smell or other effluent arising on industrial,
trade or business premises.
126 © RRC Training

Any accumulation or deposit.
Any animal kept in a place or manner.
Noise emitted from premises.
© RRC Training 127

A10: MEASURING HEALTH AND SAFETY

PERFORMANCE
PURPOSE OF PERFORMANCE
MEASUREMENT
Effectiveness of Health and Safety Objectives
Measuring Performance
When setting objectives, we have to consider performance standards and

indicators.
Active systems monitor the achievement of objectives and the extent

of compliance with standards.
Reactive systems monitor accidents, ill-health, incidents and other

evidence of deficient health and safety performance, such as hazard
reports.
Arrangements for Actioning Objectives
Such as:
Accident reporting.
Fire precautions.
Training.
Contractors and visitor arrangements.
Dealing with any hazards in the operation.
Safe methods of work, permit-to-work schemes.

Control Measures
Assessment of the effectiveness of control measures of a company is

another area of performance measurement.
Systematic review:
Supervisor daily assessment.
Sectional manager monthly review.
128 © RRC Training

Quarterly review of a department.
Annual review of total organisation.

Review of Current Management Systems
Every element of the management system should be examined in
detail.
Review is combined with audit procedures.
Audit looks at all aspects of the system - policy, organisation, planning,

implementation and systems for measuring and control.
The review should cover:
Assessment of degree of compliance with set standards.
Identification of areas where improvements are required.
Assessment of specific set objectives.
Analysis of accident and incident trends.
Safety committee and safety representatives, supervisors and management,

should all be involved in the review process.
MONITORING SYSTEMS
Need for Both Active and Reactive Measures
Active systems, which monitor the achievement of objectives and
the extent of compliance with standards.
Reactive systems, which monitor accidents, ill-health, incidents and

other evidence of deficient health and safety performance, such as
hazard reports.
Limitations of Accident and Ill-Health Data as a
Performance Measure
Rare occurrences, therefore numbers may not be statistically
significant.
Variations from year to year might be due to pure chance rather than
any accident reduction measures that we have introduced.
© RRC Training 129

Accident statistics tend to reflect the results of actions which were

taken some time ago, so that there is not a rapid cause and effect
situation.
Under-reporting of minor accidents.
Time off work does not correlate well with the severity of an injury.
Objectives of Monitoring
Objectives of Active Monitoring
The objective of active monitoring is to check that the health and safety
plans have been implemented and to monitor the extent of compliance
with:
The organisation's systems and procedures.
Legislation and technical standards.
By identifying non-compliances, steps can be taken to ensure that any

weaknesses are addressed, thus maintaining the adequacy of the health
and safety plans, and helping to avoid any incidents.
Objectives of Reactive Monitoring
The objective is to analyse data relating to:
Accidents.
Ill-health situations.
Other loss-causing events.
Any other factors which degrade the system.
MONITORING AND MEASUREMENT

TECHNIQUES
Measurement Techniques
Health and Safety Audits
An in-depth, systematic, critical investigation into all aspects of safety.
130 © RRC Training

Workplace Inspections
Walk the premises, looking for hazards or non-compliance with legislation,

rules or safe practice.
Other Methods
Safety tours.
Safety sampling.
Safety surveys.
In-House and Proprietary Audit Systems
Types of Safety Audit
A detailed internal investigation of the safety systems and practices

of the organisation.
An external safety audit, carried out by some outside organisation.

Use of Computer Technology to Assist with Data
Storage and Analysis and Production of Reports
Availability and types of software.
In-house or proprietary.
Production of reports.
Distinctions Between, and Applicability of,
Performance Measures
Active
Before it happens.
Reactive
After it has happened.
Measuring safety performance by looking for things before they happen can
never be easy. It puts the safety practitioner in the situation of making
speculative predictions. However, this is what the law requires. We carry
out risk assessments to decide what might happen and then take action.
We can certainly measure whether we have taken action in those areas
where the risk assessment suggests that we do. If an accident occurs then
© RRC Training 131

we can no longer suggest that this is improbable; it needs to be included in

the risk assessments.
Objective
Detached from personal judgment.
Subjective
Depends upon someone's opinion.
Qualitative
− Data is not represented numerically.
− Difficult to treat as an accurate measure.
Quantitative
The data describes numbers, e.g. number of accidents reported.

Range of Measures Available to Evaluate
Organisation's Performance
BS 8800 lists a range of performance measures that can be used to give an
accurate picture of how an organisation is performing with respect to health
and safety. Selecting the appropriate outcome indicator depends on the
chosen objectives, but below are listed a range of active and reactive
outcome indicators relevant to a range of objectives.
Active Monitoring Data
The extent to which plans and objectives have been set and achieved,
including:
Perceptions of management commitment.
Specialist staff.
Risk assessments.
Safety policy.
Extent of compliance.
Training.
Health and safety committee meetings.
132 © RRC Training

Reactive Monitoring Data
Unsafe acts.
Unsafe conditions.
Near misses.
Damage-only accidents.
Reportable dangerous occurrences.
Lost-time accidents.
Three-day, lost-time accidents.
Reportable major injuries.
Sickness absences.
Complaints.
Criticisms from regulatory agency staff.
Regulatory agency enforcement actions.

Comparisons of Performance Data
Previous Performance
Compare present performance data with that obtained previously to show

overall trend.
Performance of Similar Organisations/Industry Sectors
Compare the performances of your company with others (benchmark).

National Performance Data
Performance data is produced by the HSE and can be useful to compare

standards with national figures.
PRESENTING AND COMMUNICATING

FINDINGS
Reporting Techniques
Textual: by means of a written report.
Graphical: tables, pie charts, line graphs, bar charts and histograms.
© RRC Training 133

Recommendations
Important part of the report.
Content tells what actions are required.
It is important that the style is clear, concise and easy to understand.
134 © RRC Training

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MANAGING HEALTH AND SAFETY

UNIT A REVISION NOTES

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