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

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

Management Systems

This is a tool that helps organisations achieve compliance and

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

Key elements of a health & safety management system

Policy setting clear aims, objectives, state management intentions, lay OHSAS 18001
down criteria, principles for action and response.
Organisation Ensure adequate control of H&S activities, allocate
responsibilities, ensure staff competence, effective communication,
cooperation between management and employees.
Planning and Implementation Identify hazards, assess risks, introduce
controls, SSOW and documentation to reduce risks.
Measuring Performance Measuring performance provides an
opportunity to see where achievements have been made, and also identify
areas of weakness or failure. This can be using reactive (accident stats etc)
or proactive (inspections etc).
Review evaluating performance, trends, set remedial actions and set
targets.
Audit This can be independent audit of the whole system and ensure
compliance to legislation. The actions can then be noted and acted against
to improve standards or procedures where there are weaknesses.
Health & Safety Management Health & Safety Management
System System
Policy - HSG65 Model Policy 1
Health & Safety Management
Health & Safety Management
System
System
Policy Key elements of a H&S
Policy OHSAS 18001 Model
Management System

Policy Statement of Intent
The policy forms the commitment from management that
H&S is taken seriously and offer a measure of performance
as well as compliance with legal requirements.
The policy statement is signed by the most senior person
on site, and should be dated to ensure a review period is
set. This is usually annually but may be more often should
certain changes occur such as a change of CEO / GM, a
restructure, or where new changes to legislation or working
practice dictate a review of the statement of intent.
Policy Organisational Responsibilities
This defines how H&S is organised. It defines roles and responsibilities for
each area. Often this supported by an organisational chart. Such positions
may be
Directors required to set general policy and objectives and make sure
adequate resources are available.
Middle manager may be required to implement policy in their area of
responsibility, or carry out risk assessments.
Supervisors May be required to check day to day compliance.
Competent Persons / Safety advisors have specific responsibilities on
advising the company on H&S matters.
Safety representatives representing the workforce in relation to H&S.
Employees acting responsibly for themselves and others.
First Aiders
Fire Marshals
Policy H&S Arrangements
This is where procedures are detailed for implementing the policy. This is imperative to
monitor compliance and setting objectives and how these arrangements are communicated
to the workforce. This should include:
Risk assessments when they are done, forms, who carries them out, review period.
H&S Training Identifying needs, induction training, frequency of refresher training.
Specific needs such as fork lift truck licenses etc.
Monitoring H&S performance regular inspections, investigating accidents, incidents,
audits, who should be responsible.
Contractor selection and management how competency is assessed, who appoints them,
how assessment is recorded, control of contractors.
Communication / consultation with employees.
SSOW / Permit to Work who is responsible, how SSOW are documented and
communicated to staff, tasks that require permits, training.
Disciplinary procedures.
Emergency Procedures actions to take, procedures such as fire, first aid, major disasters
etc.
Accident investigation who accidents are reported to, records to be kept etc.
PPE Storage, use and maintenance of PPE
First aid arrangements, who first aiders are, contacts, supplies etc.
Visitor Safety Control of visitors
Welfare facilities arrangements in place / Environmental controls Waste etc
Policy Review
The policy must be reviewed on a regular basis so it is up to
date and relevant. Reasons for review may include change
in management, accidents where findings indicate a need
for a change of procedure or system of work, moving
premises, authority findings or audit findings.
The policy must also be communicated to all employees to
ensure everyone is aware of it by either posting the
statement on notice boards or issuing to each employee or
making them aware of its location through mail etc.
Health & Safety Management Health & Safety Management
System System
Policy H&S Arrangements Policy Statement of Intent
Health & Safety Management
Health & Safety Management
System
System
Policy Organisational
Policy Policy Review
Responsibilities
Policy Communication of Health & Safety Policy
Examples of how the policy can be communicated are:
Issue a hard copy to each individual employee, and obtain a
signature of receipt.
E-mail a copy to all employees and add a read receipt.
Training courses (good practice to include the policy in every training
course).
Display the policy on notice boards or the intranet.
Employee handbooks if used.
Other interested parties may be:
Visitors
Contractors
Enforcing Authorities
Clients / Customers
Shareholders
Organisation Legal and organisational roles and responsibilities
Every organisation has to ensure that it clearly defines safety roles and
responsibilities across the workforce. The responsibilities will need to
include provisions for anyone affected by the activities of the organisation.
Managers and individuals must know what they are responsible for in order
to fulfil their duties and only then will it be possible to measure these
individuals against their responsibilities.
This can be achieved by a combination of the following:
Job descriptions (including health & safety responsibility)
Appraisal systems
Arrangements for dealing with poor performance
Disciplinary procedures.
In terms of organisational requirements, every level of employee should
have defined responsibilities including, directors, senior managers, line
manager / supervisors, employees, H&S manager / advisor.
Organisation Roles and responsibilities Directors
It is good practice for directors to have overall responsibility for health and safety,
and to show the collective director responsibilities as well as their own individual
responsibilities to provide health and safety leadership within the organisation.
Directors must ensure that board decisions reflect their health and safety
intentions and recognise their role in engaging the active participation of the
workers in improving health & safety standards.
As a board member, directors will need to ensure that any health & safety failures
are clearly communicated at board level and that any investigation findings are also
brought to this forum.
Directors have responsibility under section 37 of the HSWA 1974 Where an
offence is committed by the body corporate and is attributable to any neglect,
consent or connivance of a director or senior manager, then that person may also
be prosecuted.
Organisation Roles and responsibilities Senior Managers
Senior Managers can demonstrate commitment to health & safety by:
Ensuring adequate resources for health and safety
Defining roles and responsibilities of all staff.
Appointing a member of senior management with specific responsibility for health
and safety.
Appointing one or more competent persons to advise on health and safety.
Conducting regular reviews of health and safety performance.
This commitment can be further reinforced by senior managers setting the right
example. For instance:
Wearing PPE when necessary
Following marked walkways
Participation in safety inspections
Participations in safety meetings
Initiating and being personally involved in any health and safety training.
 Health & Safety Management
System
Organisation Roles and
Responsibilities - Directors
Health & Safety Management
System
Organisation Roles and
Responsibilities Senior Managers
Health & Safety Management
System
Policy Communication of Health
& Safety Policy
Health & Safety Management
System
Organising Legal and
Organisational Roles and
Responsibilities

Organisation Roles and Responsibilities - Employees
Employees should be given responsibility to report any shortcomings
within the organisations health & safety arrangements and report
immediately any unsafe acts or conditions.
Employees should be instructed that they have a duty to work in
accordance with the organisations health and safety arrangements
and should not endanger anyone they are working with or around by
unsafe behaviour.
These requirements are set out in sections 7 and 8 of the HSWA 1974
and regulation 14 of the MHSWR 1999.
Organisation - Health and Safety Culture
Definition of a health and safety culture: A system of shared values and
beliefs about the important of health and safety in the workplace.
In health and safety guidance (HSG65), the four Cs of a positive health and
safety culture are defined as:
Competence Competence of individuals with relevant skills, knowledge,
ability, training and experience.
Control Method of control within the organisation, e.g. Supervision,
monitoring, enforcement.
Communication Method of communication throughout the organisation,
e.g. posters, DVDs e-mail, notice boards etc.
Cooperation means of securing cooperation between individuals, safety
representatives and groups, e.g. safety committee meetings etc.
Organisation Health & Safety Culture
Tangible outputs or Indicators of an organisations health and safety culture.
Accident Rate A high number can indicate poor safety, whereas a low number
can mean accidents are not being reported.
Absenteeism and Sickness Rates Excessive rates of sickness or absence can
indicate a poor culture or unsafe environment of an organisation.
Staff turnover High staff turnover is unsettling and can slow production down as
new recruits learn the job. It can indicate a poor working environment if staff do
not wish to stay at an organisation for long.
Level of health & safety compliance the level of compliance directly correlates
with the attitudes displayed within the H&S culture. Senior management can
support this. Any decrease in compliance will impact the culture.
Complaints about working conditions Complaints about working conditions can
indicate a positive culture because the workforce actively tries to bring about
change. It can be negative if complaints are not followed up or no feedback is
given, or could be used by the workforce as a reason not to work safely because the
work condition indicate as such.
Organisation Factors promoting a negative health and safety culture
There are certain factors that will influence the health & safety culture of an
organisation in a negative way. These include:
Lack of effective communication and /or consultation.
A blame culture
Lack of leadership and commitment at senior level.
Loss of key personnel.
Health and safety being put second to production / quality
Setting unrealistic / unachievable targets.
Lack of monitoring / enforcement
Poor working environment / conditions.
High staff turnover
External influences e.g. economy / unemployment
Reorganisation
Redundancy
Influence of peers
 Health & Safety Management
System
Organisation Health & Safety
Culture Tangible Outputs and
Indicators
Health & Safety Management
System
Organisation Factors Promoting
a Negative Health & Safety Culture
Health & Safety Management
System
Organisation Roles and
Responsibilities - Employees
Health & Safety Management
System
Organising Health and Safety
Culture

Organisation Factors Influencing Safety Related Behaviour
Organisation Individual Factors
The HSE recognises the importance that human factors can play in helping avoid
accidents in the workplace. Some areas are:
Competence Competence is generally considered to be a combination of skills,
knowledge, ability, training and experience relevant to the role.
Personality Personality can be defined as a dynamic and organised set of
characteristics possessed by a person that uniquely influences their cognitive,
motivations and behaviours in various situations.
Attitude Attitude can be defined as A feeling or opinion about someone or
something, or way of behaving because of this.
Risk Perception Perception can be defined as An awareness of risk, based on
what is taken in through the senses and previous experiences
Motivation Motivation can be defined as A persons reason for doing
something. Motivations can be appetitive (towards something we want) or
aversive (away from something we dont want).
Age and Experience This can be both negative and positive for young and older
workers who can be inexperienced or complacent towards tasks and safety.
Other Factors Sensory defects, drugs, alcohol, physical disability / capability,
aptitude, stress, fatigue.
Organisation Job / Task Factors
Task Demands Unachievable targets can lead to mistakes, pressure and could
lead to an accident. If high levels of alertness are required for long periods or the
tasks are monotonous this can lead to fatigue and could cause accidents.
Disturbance / Interruptions Being disturbed or interrupted can distract us from
what we are doing or we may miss vital information. Constant interruptions can
cause a lot of frustration and lead to mistakes.
Bonus Systems These can lead to mistakes being made or accidents not being
reported correctly.
Environment Suitable lighting and temperature makes a work environment more
pleasant to work in. Poor lighting, extremes of temperature, an unclean work area
can lead to poor safety culture, or least to occupational illnesses, or more
accidents.
Displays and Controls Displays and controls should be arranged in order relevant
to the operation required. They should be easy to see, reach and operate in a
logical manner. They should also be consistent such as red for stop, green for start.
Procedures Procedures need to be: current and up to date, supported by training,
use familiar language, identify hazards and precautions, be in a suitable format, be
accessible, use consistent terminology.
Organisation Organisational Factors
There are several organisational factors that can influence safety behaviour. These
include:
Health & Safety Culture - The culture or an organisation directory influences safety
behaviour, so a negative culture will be less likely to have diligent attitudes to
safety.
Management Commitment Leadership displayed by management impacts
behaviour. If a manager is diligent, his reports are likely to follow the example.
Resources allocated -Sufficient resource should be provided for the size and scope
of the organisation. Not enough resources will impact negatively.
Work Patterns Shift patterns can have a negative effect. Working at night or
outside of normal hours can affect behaviour.
Communication this is key to good safety. Key messages must be delivered to the
right people, or this can lead to accidents or not enable individuals to make the
right decisions.
Training Training can help ensure competence, and different levels of training
may be required for different people or groups depending on the task. It helps keep
skills fresh which decreases the risk of mistakes or accidents.
Supervision Supervision of the workforce ensures that activities are carried out in
accordance with work instruction and training.
 Health & Safety Management
System
Organisation Factors Influencing
Behaviour Job / Task Factors
Health & Safety Management
System
Organisation Factors Influencing
Behaviour Organisational Factors
Health & Safety Management
System
Organisation Factors Influencing
Safety Related Behaviour
Health & Safety Management
System
Organising Factors Influencing
Behaviour - Individual
Organisation Communication
Communication is important for all organisations for all information, not just
information coming into the organisation but going out also. There are different
types of communication written, verbal or graphic.
Verbal Communication This includes discussion, speeches, presentations and
interpersonal communication. Language, distractions, tone and body language can
all influence verbal communication.
Written Communication This includes letters, memos, emails. Care needs to be
taken with language, jargon, tone or overloading with information or making the
message too complex.
Graphic Communication This includes drawings, sketches, pictures, photographs.
These can help enhance the message you need to get across.
Things to bear in mind keep language clear and without jargon, so it may be
understood, ensure there are no distractions if messages are delivered verbally,
ensure body language is positive, attitude to delivery the message is enthusiastic
and positive, and be aware of people who may have sensory defects such as
hearing or sight impairment.
Types of communication could be, films, DVDs, posters, toolbox talks, letters,
email, handbooks, intranet, training, newsletter.
Organisation Information, Instruction and Training
There are legal requirements under section 2(2) of the HSWA 1974 to provide
health & safety training to employees, and regulation 13 of the MHSWR. Effective
training can improve reliability and improve a persons perception of risk and
hazards, and can improve skills which can improve morale, attitude and
competence.
Possibly the most important is induction training. Some items that should be
covered are: Content of the H&S policy, line management, specific hazards / risks
an control measures, local safety procedures and rules, employees responsibilities
under health and safety law, consultation procedures for who the site safety reps
are and arrangements for the health & safety committee, accident reporting
procedures and arrangements, health surveillance if required, welfare facilities and
emergency procedures.
Additional training may be required or refreshed if: new processes are introduced,
job change, new legislation, accident trend, risk assessment, refreshers that are
needed, staff appraisals, counteract complacency.
Organisation Consultation with Employees
Employers have a legal obligation to consult with
employees on matters of health & safety. This is covered by
two separate pieces of legislation:
Unionised workplaces must comply with the Safety
Representatives and Safety Committees Regulations 1977.
Non-unionised workplaces must comply and refer to the
Health and safety (Consultation with Employees)
Regulations 1996.
Consultation is a two way process consulting meaning to
seek information or advice from, and seek permission or
approval from.
Organisation Safety Representatives and Safety Committees Regulations 1977
Scope regulations apply to unionised workplaces, the recognised trade union
may appoint safety representatives from among the employees and notify the
employer in writing, safety representatives ideally should have two years service.
There are no actual defined duties of a safety representative included in the regs,
however there are specific functions. These include:
Representing employees in consultation with employer.
Investigating hazards and dangerous occurrences and accidents.
Investigating employees complaints relating to health and safety.
Carrying out inspections in the workplace.
Representing employees in consultation with inspectors.
Attending safety committee meetings.
An appointed representative is entitled to the following as part of their role:
Time off with pay to carry out their duties, health & safety training, reasonable
facilities, if 2 or more reps request a safety committee, the employer must establish
one within 3 months.
A rep may inspect the workplace: every 3 months, following a change in work
conditions, when new information is available from HSE, following a notifiable
accident, disease or danger occurrence.
 Health & Safety Management
Health & Safety Management
System
System
Organisation Safety
Organisation Improving Health &
Representative and Safety
Safety Behaviour - Communication
Committee Regulations 1977
Health & Safety Management Health & Safety Management
System System
Organisation Factors Influencing Organising Information,
Behaviour Organisational Factors Instruction and Training

Organisation Health and Safety (Consultation with Employees)
Regulationss 1996
Scope: Employer can choose whether to consult directly (small
companies) or through an elected Representative of Employee Safety
(RoES).
The functions of a non-unionised safety representative role are
similar to the union safety rep, but with the following exceptions:
Non-unionised Safety Representatives are NOT entitles to:
Inspect the workplace
Investigate accidents
Attend safety committee meetings.
Organisation Safety Committees
When an organisation is required, or decides to form a committee, it must
make certain that there is a clear agenda, and equal representation across the
workforce. To be representative, the committee should have a balance
between management and employees.
The functions of a committee meeting might include: Study accident / ill health
/ near miss reports, examine health and safety audit and inspection reports,
consider reports from enforcing authorities, monitor and review the
effectiveness of health and safety training and communication, new legislation,
new processes or equipment, changes in H&S documentation, training
requirements, communications.
To be effective, there should be: terms of references / objectives, backing of
the board, regular meetings, nominated chairperson, agenda set out in
advance.
Organisation Safety Representatives
The number of employee representatives that an employer has depends on a number of
factors:
Size of the workplace and number of locations.
Total number of employees.
Type of work and risks involved.
Variety of occupations at the workplace.
Operation of shift patterns.
Areas which might not be covered by Trade Union (TU) Consultation.
Consultation should happen when measures are introduced affecting employee health and
safety. It is expected that employees should be made aware of:
Any arrangements / measures at the workplace which may substantially affect their health
and safety.
Information from risk assessments and / or control measures.
Arrangements for appointing a competent person to assist in complying with health and
safety arrangements.
Introduction of new technology / materials.
The employer does not have to disclose information if: it violates a legal prohibition,
endanger national security, individual who has not given consent, could commercially
damage the business, obtained in connection with legal proceedings.
Organisation Importance of Developing Emergency Procedures
Regulations 8 & 9 of the MHSWR require the employer to make suitable
arrangements for emergency situations (Serious & Imminent Danger and Contact
with Emergency Services).
Appropriate plans should be in place for:
Major Accidents / Dangerous Occurrences
Gas / Dust Explosion
Chemical release or spills
Security / intruder alert / terrorism
Bomb / explosive device.
Flood
Vehicle crash
Disease / epidemic outbreak
Environmental damage
Severe weather conditions (e.g. floods).
Emergency procedures ensure that businesses have continuity in the event of an
incident, and ensure legal compliance. There must also be plans in place to
summon emergency assistance and it must be communicated to the workforce.

Health & Safety Management
System
Organisation Safety
Representatives
Health & Safety Management
System
Organisation Importance of
Developing Emergency Procedures
Health & Safety Management
System
Organisation Health and Safety
(Consultation with Employees)
Regulation 1996
Health & Safety Management
System
Organising Safety Committees
Contd

Organisation First Aid Arrangements
The two main functions of first aid are: the preservation of life and /
or minimising the effects of the injury until help arrives, and
treatment of minor injuries that would not receive or do not need
medical attention.
According to the Health & Safety (First Aid) Regulations 1981, an
employer must make an assessment of first aid provision to ensure
they have adequate facilities, equipment and personnel.
The arrangements for first aid must be communicated to employees.
Consideration must be given to: hazards associated with the work,
level of risk, accident stats, number of employees, vulnerable groups
such as young people or disabled, geographic spread of the
workforce, shifts and work patterns, distance to services, remote,
lone or travelling employees, employees at other sites and members
of the public.
Organisation First Aid Arrangements Contd
The requirement for first aid provision is a legal requirement, but the scope of
provision is not as each workplace is different. The facilities may also depend
but should include where appropriate:
First aid room, suitable lighting, heating and ventilation, chair or bed, sink, soap
and drying facilities, clinical waste bin, accident book, phone, and signage.
First aid kits have minimum requirements for their contents, and should include
plasters, eyes pads, triangular bandages, large and medium dressings, safety
pins, wipes, shears, gloves, eye wash and advice leaflet.
Appointed Person this person must take charge of health & safety
arrangements, look after equipment / facilities and call the emergency services
when required, and may provide emergency cover when first aiders are absent
due to unforeseen circumstances and do not have to be trained.
First Aider is someone who has undertaken training and has an approved
qualification in either; First aid At Work, or Emergency First Aid at Work. There
should be at least one first aider per 50 employees, depending on the risk.
Planning Setting Objectives
Effective planning is concerned with prevention of accidents and ill health through
identifying, eliminating and controlling hazards and risks. When planning for health and
safety there are three key questions that need to be addressed:
Where are we now?
Where do we want to be?
How do we get there?
Targets should be set to demonstrate management commitment and to prioritise health &
safety issues. Targets can also motivate staff and encourage ownership giving them
something to aim for. Any objectives should be SMART objectives which stands for:
Specific
Measureable
Achievable
Reasonable / Realistic
Time Bound
Objectives need to be smart. E.g. reducing manual handling injuries by 50% over 3 years is
SMART. Setting zero accidents is not.
Planning Risk Assessment
There is a legal requirement for organisation to complete risk assessments.
Regulation 3 of the MHSWR places this requirement on employers. It states:
There is a legal duty on employers to carry out risk assessments
A written record must be maintained if there are 5 or more employees
There must be a regular review.
Risk Assessments must be suitable and sufficient.
The objectives of a risk assessment are two-fold:
To identify hazards faced by an organisation and evaluate how risk each hazard is.
To decide if enough is being done about the hazards or if further action is
necessary.
Morally it is not acceptable for an organisation to expect their workforce to risk life
and limb in the pursuit of profit. This can cause bad publicity, accidents, loss of
orders, difficulty if recruiting, or even prosecution ,
From an economical point of view, it is bad business to have accidents with costs of
down time, loss of earnings, replacement labour, investigations, defences against
prosecutions, person injury claims and impact on insurances.

Health & Safety Management
System
Planning Setting Objectives
Health & Safety Management
System
Planning Risk Assessment -
Objectives
Health & Safety Management
System
Organisation First Aid
Arrangements
Health & Safety Management
System
Organising First Aid
Arrangements Contd
 Planning Birds Triangle
Planning - Risk Assessment Hazard and Risk
Organisations should consider many different types of incident when assessing the risks
posed by known hazards. Specific attention should be paid to more minor incidents and near
Definition of Hazard is A hazard is something that has the potential to misses as they alert the organisation to the potential of more serious injury or harm.
cause harm
Typical examples of hazards include:
Physical noise, vibration, electricity.
Chemical asbestos, toxins, carcinogens
Biological hepatitis, HIV, leptospirosis (also known as Weils disease)
Psychological stress, verbal abuse

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

Risk = Probability x Severity

Planning Risk Assessors / Risk Assessments

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

Planning Risk Assessment Identifying the Hazards

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

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

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

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

The hierarchy of control must be considered:

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

Planning Risk Assessment Scoring a Risk Assessment

Planning Risk Assessments Recording Significant Findings
When a scoring system is used to calculate a risk in a risk assessment, this is
referred to as a semi-quantitative RA. This is often done as a five by five If an organisation employs more than 5 people, the record of significant
calculation. findings of the RA must legally be in writing.
This includes the hazards present and the conclusions which details the
Likelihood: required controls and how the hazard are to be mitigated. Organisations
1 Almost Impossible need to show that these have been communicated to employees, proper
2 Unlikely checks have been made and that those who might be affected were
3 Possible
consulted. The RA should also show that any significant hazards have been
4 Likely
controlled and in conjunction with how many are affected. They should
5 Almost Certain
indicate the controls are reasonable and that any remaining risk (residual
Severity risk) is low or as low as reasonable practicable.
1 Insignificant (no injury) The term low as reasonably practicable should encourage you to consider
2 Minor (injuries requiring first aid only) the benefits of reducing a risk again the costs involved (time, money and
3 Over 7 days absence effort). It must demonstrate the cost involved in reducing the risk further is
4 Major (more than 7 days absence) appropriate to the benefits gained.
5 - Fatality

Health & Safety Management
System
Planning Risk Assessment Risk
Assessment Grid
Health & Safety Management
System
Planning Risk Assessment
Recording Significant Findings
Health & Safety Management
System
Planning Risk Assessment
Evaluating Risks and Adequacy of
Controls
Health & Safety Management
System
Planning Risk Assessment
Scoring a Risk Assessment
Planning - Risk Assessment - Review
It is good practice to review risk assessments after a period of time, to ensure they
remain up to date and that the control measures in place are effective. This may be a
yearly review but there may be other reasons which trigger a review:
Accident / Near Miss / Ill Health It is common after an incident to review the RAs
relating to the task or activity.
Enforcement action This maybe the HSE or LA ad may identify RAs do not comply
with legislative requirements.
Change to process, work methods or materials When the process, work methods or
materials change significantly, the risk assessment associated should be reviewed.
New Technology / plant changes Keeping up with technological advances is good.
New technology should always be considered and invested in and should indicate a RA
review.
Changes in legislation Any changes to legislation should trigger a review of RAs.
Complaints by employees involving the workforce in RAs is critical. Any complaints
should prompt a review.
Change in personnel Introduction of new / vulnerable employees will trigger a
review. Additional RAs may be needed for young people, new or expectant mothers
etc.
Planning Risk Assessment Specific and Special Case Risk
Assessments
Risk Assessments that will require special consideration include:
Fire
Manual Handling
Display Screen Equipment
Harmful Chemicals.
There should also be specific risk assessments for:
Young Persons
New and expectant mothers, which includes nursing mothers.
Planning Risk Assessment Young Persons
In the MHSWR, it states:
In reviewing or making the assessment, an employer who employs or is to employ a
young person must take account of:
Inexperience, lack of awareness of risks and immaturity of young people.
The fitting out and layout of the workplace and the workstation.
The nature, degree and duration of exposure to physical, biological and chemical
agents.
The form, range, and use of work equipment and the way it is handled.
The organisation of processes and activities.
The extent of the H&S training provided or to be provided.
Risks from agents, processes and work listed in the ANNEX to Council Directive
94/33/EC on the protection of young persons.
It is also important to recognise that young people should not be employed if the work
is:
Beyond physical or psychological capabilities.
Involves harmful exposure to radiation.
Involves exposure to agents that are toxic, carcinogenic, cause heritable damage.
Involves extreme heat, cold, noise or vibration.
Young persons should also have a details induction and be mentored and supervised.
Planning Risk Assessments New and Expectant Mothers
Regulation 16 of the MHSWR state:
Where, the persons working in an undertaking include women of child-bearing
age and; the work is of a kind that could invoke risk, by reason of her condition,
to the health and safety of a new or expectant mother, or to that of her baby,
from any processes or working conditions, or physical, biological, or chemical
agents, including those specified in Annexes I and II of council directive
92/85/EC, on the introduction of measures to encourage improvements in the
safety and health at work of pregnant workers and worker who have recently
given birth or breastfeeding.
Regulation 18 is concerned with actions that must be taken when employers
are notified in writing.
Risks can include Physical risks (posture, long periods standing or sitting,
manual handling, vibration, radiation, temperature), Biological (HIV, Rubella),
Chemical (Toxic, mutagens, carbon monoxide, lead), Working Conditions
(fatigue, stress, passive smoking, heights, violence).
 Health & Safety Management
System
Planning Risk Assessment Risk
Young Persons
Health & Safety Management
System
Planning Risk Assessment New
and Expectant Mothers
Health & Safety Management
System
Planning Risk Assessment
Review
Health & Safety Management
System
Planning Risk Assessment
Specific and Special Case RAs
Planning - Principles of Prevention
Planning Health and Safety (Safety Signs) Regulations.
There are some general principles or common rules that assist the safety practitioner,
and these combine three types of control. These are Technical, Behavioural, and
There are four main types of standardised safety signs. These are:
Procedural.
When controlling risks, the following principles should apply:
Avoiding Risks Where possible, design the risks out, or eliminate. Some risks cannot
be avoided but should be where possible.
Evaluating Unavoidable Risks If a risk cannot be avoided there needs to be careful
consideration about the hazards involved, use the hierarchy of control and find the best
way to mitigate the risks AFARP.
Controlling the hazards at source You should seek to see where the hazard stems
from and mitigate it at this point. E.g. if a level of noise is being produced that is high,
then focus on reducing the risk at source rather than issuing hearing protection.
Adapting to the Individual Give employees a degree of control taking into account
their physical and mental capabilities. Planning work around them.
Adapting to Technical Progress.
Replacing the Dangerous with the non or less dangerous.
Developing a coherent policy Where risks cannot be avoided or changed, prevention
policies can be used. SSOW, communication, training, information, instruction, and
supervision.
Collective preventative measures should always be given priority over individual ones.

Planning Collective / Individual Protective Measures Planning General Hierarchy of Control

Collective Measures - This is the concept of creating a safe place. This is the
focus on ensuring everyone is protected rather than just the individual.
Collective safety should always take priority over individual safety.
Collective measures include avoidance of risk, controlling at source, replacing
the dangerous with the non or less dangerous etc are all collective measures.
Individual Measures The most obvious example is issuing PPE, so that the
individual is protected but does not directly reduce the hazard. An example of
this is falls from height. The collective measure is the use of scaffold to prevent
a fall, but an individual measure would be to wear a harness.
This should be with always providing the appropriate information, instruction,
training and supervision, including the use of signage to reinforce the
communication.
This is defined as A list of risk control measures, which are considered in order
of importance, effectiveness and priority.
The following is another example of a hierarchy of control for health and
safety:
Elimination
Substitution
Engineering Controls isolated, guarding, barriers, local exhaust ventilation
Administrative Controls signs, training, SSOW, job rotation, supervision,
changing tasks regularly.
PPE.
Then there are welfare facilities such as first aid, washing facilities, provision of
barrier cream or storage for PPE, and then monitoring and supervision to
ensure tasks are carried out as per instructions and training.
 Health & Safety Management
System
Planning Risk Assessment Risk
Young Persons
Health & Safety Management
System
Planning General Hierarchy of
Control
Health & Safety Management
System
Planning Principles of Prevention
Health & Safety Management
System
Planning Collective / Individual
Measures

Planning - Sources of H&S information
Internal Sources These include, accident and ill health data, near miss reports,
absence reports (reactive data), and inspections, maintenance reports are
proactive data sources. Audits and staff complaints can also be used and this data
can be collated and compared with other companies in similar industries.
External sources These include, legislation, HSE guidance, EU publications.
Manufacturers data, British, European and International standards provide further
information and compliance requirements. Trade associations, International Labour
Organisation.
Other Sources Risk Assessments, employee / safety reps, task analysis, accident
and absence analysis, training records, results of surveys, specialists (Occy health),
can all be used to help measure performance.
Planning Safe Systems of Work
The duty to provide a safe system of work comes from the HSWA Section 2(2) to:
Provide and maintain a plant and safe systems of work that AFARP without risk to
health.
A definition of a safe system of work is A formal procedure, which results from
systematic examination of a task in order to identify all of the hazards. It defines
safe methods to ensure that hazards are eliminated or risks reduced.
When developing a safe system of work, the 5 steps of assessment should be
applied.
Assess the Task
Identify hazards
Define safe methods
Implement system
Monitor system
Planning Safe System of Work (2)
Analysing Tasks, identifying hazards and assessing risks.
It is vital to consider all aspects of the task, not just the physical but the potential health
problems too. You could ask: what is used, who does what, where is the task carried out,
how is the task going to be done. Then you need to identify and evaluate the hazards and
risks.
Implementing the System.
The SSOW must be communicated properly so it is understood by those who need to use it.
Adequate training needs to be provided, and make provision for stoppages if an issue arises.
If there are works that require specialist knowledge, competent people can be used to
advise on the SSOW.
Monitoring the System.
Systems should be checked to ensure that:
Employees continue to find the system workable.
Procedures laid down are being carried out and are effective.
Any changes in circumstances which require alterations to the system of work are taken
into account.
Written Procedures
A written procedure should include: an unambiguous description of the way each step of the
job is done, an emphasis on the dos and donts. This should include enforcement of the
rules.
Planning Confined Spaces
A defined space is any space of an enclosed nature where there is a risk of death
or serious injury from a specific risk.
Examples include: storage tanks, silos, enclosed drains, sewers, chambers, vats,
ductwork, and unventilated rooms.
Hazards to consider are: lack of oxygen, poisonous gas, fumes or vapour, ingress of
liquids from free flowing solids, fire and explosion, residues, dust, hot conditions.
Confined spaces are covered in specific legislation Confined Space Regulations
1997.
This places the following requirements on this type of work:
Avoid entry to confined spaces
If entry is unavoidable, follow a SSOW
Put in place adequate emergency arrangements before work starts.
The SSOW is likely to include:
Issuing of a permit to work, provision that the person must be medically fit and
suitably trained, incoming services are isolated (e.g. gas), adequate ventilation, air
tests are conducted during work, tools and lighting are suitable, suitable PPE is
provided, emergency arrangements are in place, monitoring and supervision are in
place, with provision for communication (e.g. radio).
 Health & Safety Management
System
Planning Safe Systems of Work
(2)
Health & Safety Management
System
Planning Confined Spaces
Health & Safety Management
System
Planning Sources of Health &
Safety information
Health & Safety Management
System
Planning Safety System of Work
(1)
Planning - Lone Working
Lone working can include one person working alone, or people working on the
same site, but far away from each other. This can also be people working outside of
normal hours, or remote workers.
A safe system of work for lone workers is likely to include:
Training and competent staff ideally avoiding new recruits or recent trained
people, or vulnerable (young persons or expectant mothers).
Adequate supervision regular contact, regular visits where possible.
Regular contact Where physical visits are not possible. Helps make the person
feel safe and sense of belonging.
Automatic Warning Devices Man down alarms, sensors (such as fire sensor or
gas).
Personal Alarms to summon help is the person cannot do this themselves.
Diary System Helps to identify the tasks and location of worker.
First aid provision and training - providing adequate training and first aid supplies.
Emergency Procedures / Contact details being aware of arrangements.
A second person to assist when needed providing help is required.
Planning Permit to work system
A permit to work system is a formal written system that is used to control certain
types of high hazard work. It specifies the work to be done, and the precautions to
be taken. This includes ensuring control measures are recorded and signed
authority is given.
Operation and Application
The types of work that warrant a permit to work are:
Hot Work (grinding, welding)
Confined Space Entry
Maintenance Work
Live Electrical work.
Excavations
Works at height
Generally it should include: Permit title and reference number, job location and
plant identification, date, time, duration of permit, description of work tasks,
hazard identification, necessary precautions, PPE required, authorisation,
acceptance, handover or extension procedure, cancellation.
Measuring, Audit and Review
There are a number of reasons why we would want to monitor health & safety performance:
Determine whether or not health and safety plans have been implemented and objectives
achieved.
Check that adequate risk controls are in place.
Learn from health & safety failures (including management failures)
Provide information that can be used to review and improve aspects of the health and
safety management system.
Organisations are required by law to have arrangements for effective monitoring and
review. This is covered under regulation 5 of the MHSWR. It requires the organisation to
have in place arrangements for effective: planning, organisation, control, monitoring and
review.
This is based on the Plan-Do-Check-Act theory of continuous improvement.
Plan Establish the objectives and processes necessary to deliver results in accordance with
the expected output.
Do Implement the new processes.
Check Measure the new processes and compare the results against the expected results.
Act Analyse the differences to determine where to apply changes that will include
improvement. You cannot manage, what you cannot measure.
Measuring Performance
The measures used to monitor H&S performance must be appropriate to the size
and complexity of the risks to the business. They should cover workplace
precautions, risk control systems and management arrangements that take into
account the health & safety culture.
Incident reporting data is a measurement of failure within an organisation because
its use as a measure is reliant upon the workforce logging occurrences.
There is no ideal measure of performance as each measure has its own advantages
and disadvantages.
Monitoring is only a means to an end; effective monitoring combines both
proactive and reactive methods. It identifies areas for improvement, but the results
must be acted upon for the monitoring to have any benefit.
Monitoring health and safety performance is an on-going activity. Measurement
should be both efficient and effective and needs to be planned appropriately.
Health & Safety Management
System
Measuring, Audit and Review -
General
Health & Safety Management
System
Measuring Performance
Health & Safety Management
System
Planning Lone working
Health & Safety Management
System
Planning Permit to Work
 Accident Calculations
Active Monitoring

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

Reactive Monitoring Health and Safety Auditing.

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

Accidents and Incidents

Advantages / Disadvantages of Auditing
Injury - Injury describes the types of incident that result in harm.
The advantages of health & safety auditing are:
Ill-Health Refers to an illness that has developed as a result of exposure to
Measures performance against pre-set standard
something within the workforce. E.g. asbestosis.
Easy to identify levels of improvement or deterioration from previous audits.
Dangerous Occurrence are events that if the inputs had been different, could
Numerical / ranking systems (quantitative) can be used.
have resulted in a major incident.
Issues involved are directly under control of managers
Damage Only Where no-one is injured but there may have been damage to the
Check management arrangements against actual performance
building, plant equipment or materials.
Organisations are familiar with the audit as a management tool.
Accident An unplanned and undesired event which results in harm to a person or
damage to property.
Disadvantages are:
Near Miss An planned, undesired event, which, under slightly different
Can only be infrequent or they will lose effectiveness.
circumstances could have resulted in harm to a person or damage to property.
Audit fatigue lots of audits for finance, quality, environmental etc
Accident Causation - Identification of causes of an accident is a critical step in the
Usually a long list of corrective actions
investigation process. It can be chain of failures and errors that lead to the cause,
Different systems use different scoring so can be hard to compare.
often known as the domino effect. Causes of accidents include the immediate
Much depends on the individual auditor.
cause (unsafe acts and conditions) and root causes or the underlying causes
Off the shelf systems can be too general.
(management system failures).
 Health & Safety Management
System
Pre-Audit Preparations
Health & Safety Management
System
Planning Accidents and Incidents
Health & Safety Management
System
Audit and Inspection Differences
Health & Safety Management
System
Advantages / Disadvantages of
Auditing
RIDDOR Reporting
The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations
1995 state that certain types of event must be reported to the relevant
authority by the responsible person. These events include:
Death
Major injury
Dangerous occurrence
Diseases
Any worker incapacitated for more than 7 days as a result of an accident at
work.
Immediate hospitalization of a non worker.
RIDDOR places specific duties on the reporting of certain accidents. The
requirements to report are based upon the severity of the injuries. These
include major accident, certain diseases and certain dangerous occurrences.
RIDDOR Reportable Examples
Statutory Requirements for Recording and Reporting Incidents
An organisation is duty bound to report major injuries, fatalities, dangerous
occurrences and hospitalisation.
In the event of any of these occurring, the responsible person must report
by the quickest practicable means. In case of a fatality or major injury this
will be by telephone. This will need to be followed by form F2508 within 10
days.
Over 7 days injuries must also be reported within 15 days. These days are
even if they include the weekend or days when the employee was not due
to be at work.
Most of these reports are now made to the HSE via the Incident Contact
Centre.
Accident Reporting and Investigation
In addition to the enforcing authority, there are other parties who may need to be
informed of accidents depending on the severity. Examples are:
Senior Management
Safety Representatives
Health & Safety Advisor / Manager
Next of Kin
First Aider or Emergency Services
Police and coroner (if a fatality)
Insurance company
In the event of an incident, the investigation should follow these basic steps.
Ensure the wellbeing of the injured person.
Preserve the scene.
Report the incident / accident
Assemble the investigation team This is likely to include: someone familiar with
the work location, person(s) involved, supervisor, line manager, director, H&S
professional, other experts, Safety representative.
 Health & Safety Management
Health & Safety Management
System
System
Statutory Requirements for
RIDDOR Reporting
Recording and Reporting Incidents
Health & Safety Management
Health & Safety Management
System
System
Accident Reporting and
RIDDOR Reportable Examples
Investigation
Investigation Approach

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

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

Remedial Actions

The significant findings must be communicated effectively, if improvements and

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

Action Plan and Implementation

Provide an action plan with SMART objectives.

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