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📘 About the Book – NEBOSH IGC Notes

Title: NEBOSH IGC Notes​
Subtitle: Complete IGC 1 Study Material​
Author: Rizwan Khan​
Publisher: hsesafetyofficer.com​
Format: Digital eBook (PDF)​
Language: English​
Category: Health & Safety | NEBOSH | Education

✨ Description
"NEBOSH IGC Notes" is a comprehensive, easy-to-understand study guide designed for
learners preparing for the NEBOSH International General Certificate (IG1). Whether you're a
first-time candidate or reviewing key concepts before the exam, this guide simplifies every
element of the syllabus—from moral and legal responsibilities to risk assessment,
culture, and auditing.

Built on real exam requirements, workplace scenarios, and official NEBOSH guidance, this
book offers:

✅ Bullet-point summaries of each element

✅ Real-world examples and case-based insights
●​

✅ Clear definitions, diagrams, and step-wise explanations

●​

✅ IG1-aligned question & answer format

●​
●​

This is not just another textbook—it's your personal revision companion.

🔎 Why This Book?

✍️ Written by a practitioner, not just a trainer
📚 Updated content that reflects current NEBOSH exam structure
●​

🎓 Focused on what examiners actually look for

●​

💻 Printable and mobile-friendly PDF for on-the-go study

●​
●​

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Nebosh IG 1 Notes
Index

Sr. No. Content Page Number

Element 1.1 Morals and Money 4

Element 1.2 Regulating Health and Safety 10

Element 1.3 Who Does What in 15

Organisations

Element 2.1 Occupational Health and 20

Safety Management Systems

Element 2.2 Making the Management 24

System Work – The Health and
Safety Policy

Element 3.1 Health and Safety Culture 30

Element 3.2 Improving Health and Safety 33

Culture

Element 3.3 Human Factors which 42

Influence Safety-Related
Behaviour

Element 3.4 Risk Assessment 44

Element 3.5 The Management of Change 56

Element 3.6 Safe Systems of Work 57

Element 3.7 Permit-to-Work Systems 60

Element 3.8 Emergency Procedures and 61

First Aid

Element 4.1 Active and Reactive Monitoring 65

Element 4.2 Investigating, Recording and 70

Reporting Incidents

Element 4.3 Health and Safety Auditing 79

Element 4.4 Reviewing Health and Safety 84

Performance

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Element – 1.1 (Morals and

Money)

Introduction to Key Terms

●​ Health – absence of disease or ill health.
●​ Safety – absence of risk of serious personal injury.
●​ Welfare – access to basic facilities.

Group Exercise
Why might the management of an organization not consider health and safety
to be a priority?

Group Syndicate Exercise – Answers

Key points include:

●​ Competes with other business aims:

○​ Requires time and resources.
●​ Seen as a “cost” to business:
○​ Ignorance of true costs of injury/illness.
●​ Ignorance of legal duties.
●​ Ignorance of hazards.

Barriers to Good Standards

●​ Complexity of the workplace.

●​ Conflicting demands:
○​ Timescales.
○​ Standards.
○​ Budgets.

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●​ Behavioral issues:
○​ People failing to act as desired, or making mistakes.

Why Manage Health and Safety?

●​ Moral reasons
●​ Financial (or Economic) reasons
●​ Legal (or social) reasons

The Moral Reason for Managing

Health and Safety
Global statistics from the International
Labor Organization (ILO) Safe Work
Programme:
●​ Over 350,000 work-related fatal accidents each year.
●​ 2.75 million work-related fatalities each year.
●​ 2.4 million fatalities from occupational diseases.
●​ 270 million accidents and 160 million diseases a year due to
work.
●​ 4% of global GDP is lost.

Group Exercise
An employee at your workplace has been seriously injured in a
workplace accident.​
In groups, list the possible effects and implications of this accident on the:

●​ Injured employee.
●​ Company.
●​ Line manager.

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Group Syndicate Exercise – Answers

Effect on Injured Employee:

●​ Pain and suffering

●​ Lost time/wages
●​ Impact on family
●​ On-going impact on work

Effect on the company:

●​ Payment of sick pay

●​ Overtime cover for employee
●​ Recruitment costs for replacement
●​ Insurance claims / Excess
●​ Fines/prosecutions
●​ Increased insurance premiums.

Effect on the line manager:

●​ Loss of skills from team
●​ Time and cost of retraining replacement
●​ Effect of overtime cover on shifts
●​ Reputation of line manager

The Financial Reason for Managing

Health and Safety
●​ Personal Injury accidents, worker ill health and property damage
cost money.
●​ Costs may be:
○​ Direct – measurable costs arising directly from
accidents.

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○​ Indirect – arise as a consequence of the event but

may not directly involve money. Often difficult to
quantify.

H&S failure can affect the broader economy, as well as individual

companies.

Group Discussion
●​ An employee has been injured at work.
●​ Identify potential:
○​ Direct costs of the accident.
○​ Indirect costs of the accident.

Direct Cost
●​ First-aid treatment.
●​ Worker sick pay.
●​ Compensation payable to the victim.
●​ Repairs to, or replacement of, damaged equipment and
buildings.
●​ Lost or damaged product.
●​ Lost production time whilst dealing with the injury.
●​ Overtime to make up for lost time.
●​ Fines in the criminal courts.
●​ Costs associated with the rehabilitation of the injured worker.

Indirect Cost
●​ Loss of staff from productive duties in order to investigate the
incident, prepare reports, undertake hospital visits, deal with
relatives, attend court proceedings.
●​ Loss of staff morale.
●​ Cost of remedial action following an investigation.
●​ Compliance with any enforcement notice served.

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●​ Cost of recruiting and training temporary or replacement labour.

●​ General difficulties in recruiting and retaining staff as an indirect
result of the accident.
●​ Loss of goodwill of customers.
●​ Damage to public image and business reputation.

Insured and Uninsured Costs

Insured Costs
●​ Fire.
●​ Worker injury/death.
●​ Medical costs.

Uninsured Costs
●​ Loss of raw materials due to accidents.
●​ Sick pay.
●​ Overtime.
●​ Equipment repairs.
●​ Lost materials.

(Image illustration: £1 visible insured cost vs £8–£36 hidden uninsured costs,

like an iceberg.)

Employers’ Responsibilities

Everybody is responsible for health and safety – but most of the

responsibility lies with the employer to provide:

●​ Safe place of work.

●​ Safe plant and equipment.
●​ Safe systems of work.
●​ Training, supervision and competency of staff.

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(Safety sign: SAFETY FIRST)

End of Section 1.1 Exercise

1. What are the three main reasons for managing health and safety ?

Answer:

●​ Moral – To prevent harm and protect people.

●​ Legal – To comply with laws and regulations.
●​ Financial – To avoid the high costs of accidents and ill health.

2. What should an employer provide to ensure health and safety?

Answer:

●​ Safe place of work

●​ Safe plant and equipment
●​ Safe systems of work
●​ Training, supervision and competency of staff

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Element – 1.2 (Regulating

Health and Safety)

Legal Reasons for Managing

Workplace Health and Safety
●​ Most countries have health and safety laws.
●​ Failure to achieve legal minimum standards can lead to
prosecution.

International Labour Organization

(ILO)

●​ Agency of the United Nations.

●​ Most countries are members.
●​ Sets international standards for H&S by publishing:
○​ Conventions.
○​ Recommendations.

Regulations Adopted by the ILO

Occupational Safety and Health Convention (C155)

●​ a goal-setting policy for companies and nations.

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Occupational Safety and Health Recommendation 1981 (R164)

●​ supplements C155 and gives more guidance on how to comply

with its policies.

Employers’ Responsibilities

Article 16 of C155 identifies obligations placed on employers to:

●​ Ensure that workplaces, machinery, equipment and work

processes are safe and without risks to health.
●​ Ensure that chemical, physical and biological substances and
agents are without risk to health when protective measures have
been taken.
●​ Provide adequate protective clothing and equipment to prevent
risks of accidents or adverse health effects.

Workers’ Responsibilities and

Rights

Article 19 of C155 also places obligations on workers, expanded in R164

as follows:

●​ Take reasonable care of their own safety and that of other

people.
●​ Comply with safety instructions and procedures.
●​ Use all safety equipment properly.
●​ Report any situation that they believe could be a hazard and
which they cannot themselves correct.
●​ Report any work-related accident/ill health.

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Workers’ Responsibilities and

Rights

Article 19 of C155 states that every worker must be:

●​ Given adequate information on actions the employer has taken to

ensure safety and health.
●​ Given the right to the necessary training in safety and health.
●​ Consulted by the employer on all matters of safety and health
relating to their work.
●​ Given the right to leave a workplace that he has reason to think
presents an imminent and serious danger to his life or health,
and not be compelled to return until it is safe.

The Role of Enforcement Agencies

●​ No harmonised global standard.

●​ Country-specific agencies may include:
○​ H&S Enforcement Agency.
○​ Fire authority.
○​ Insurance companies.
●​ Police may be involved in enforcing H&S law in some countries.

Consequences of Non-Compliance

Breach of H&S legislation is usually a criminal offence, leading to:

●​ Enforcement action:

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○​ Improvement.
○​ Prohibition.
●​ Prosecution:
○​ Organisation may be fined.
○​ Individuals may be fined or imprisoned.

Other International Standards

International Organization for Standardization (ISO)

●​ World’s largest developer of management standards, e.g.:

○​ ISO 9001 – Quality Management
○​ ISO 14001 – Environmental Management
○​ ISO 12100 – Safety of Machinery
●​ These standards are not ‘law’, they’re good management
practice.
●​ They lead to a worldwide common approach to good
management.

Other International Standards

Internationally recognised standard for occupational health and safety is

currently ISO 45001.

Compatible with ISO 9001 and ISO 14001.

Sources of Information

Health and Safety Executive (UK)

●​ www.hse.gov.uk

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Occupational Safety and Health Administration (USA)

●​ www.osha.gov

European Agency for Safety and Health at Work (EU)

●​ https://osha.europa.eu/en

WorkSafe (Western Australia)

●​ www.commerce.wa.gov.au/WorkSafe

End of Module 1.2 Exercise

1.​ What are the two main standards that the ILO has produced for
health and safety? What do countries do with these standards?
2.​ What are employers’ responsibilities under R164?
3.​ What are employees’ responsibilities under R164?
4.​ What action could be taken against organisations breaking health
and safety law?

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Element – 1.3 (Who Does What in

Organisations)
The Employer
The employer – a person or organisation that employs people.

The employer in this context is normally an organisation, such as a company,

and is sometimes referred to as the ‘corporate body’. They are a legal person.

The Employer

Responsibility for ensuring that the workplace is safe and free of health risk
rests with the employer.

As we noted earlier, this responsibility is made clear in:

●​ ILO Convention C155

●​ ILO Recommendation R164

Directors and Senior Managers

●​ Give an organisation its direction.
●​ Set its priorities.
●​ Allocate resources and appoint competent persons.
●​ Allocate responsibilities.
●​ Are responsible for ensuring that all of the legal requirements are
met.

Diagram (bottom part of the slide):​

Top tier management

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●​ Managing Director
●​ Directors

Directors and Senior Managers

●​ Directors and senior managers can have enormous influence

over their organisation and its priorities.
●​ The way they are perceived by those lower in the management
hierarchy is very important; they must demonstrate clear
commitment and leadership with regard to health and safety.

Middle Managers and Supervisors

●​ Middle managers and supervisors are involved in the day-to-day
operational running of the organisation so are responsible for the
health and safety standards within the operations under their
control.

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The Shared Responsibilities of Joint Occupiers of Premises

●​ ILO Convention C155 – Article 17

●​ ILO Recommendation R164 – Recommendation 11
●​ Employers in shared facilities should communicate to develop
appropriate health and safety standards and appropriate policies
and procedures.
●​ This may include:
○​ Sharing of procedures, e.g. fire and emergency
response.
○​ Sharing of risk assessments.
○​ Joint management-committee meetings.

Contractor Management
If a client can be held responsible for an injury caused by a contractor working
for the client, then it must be in the client’s own best interests to ensure that
contractors do not endanger workers or others.

Contractor Management

The way that a client manages contractors can be broken down into three key
areas:

●​ Selection of contractors.
●​ Planning and coordinating the work.
●​ Monitoring and managing the work.

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Selection of Contractors
Things you should check:

●​ Health and safety policy.

●​ Risk assessments.
●​ Qualifications and training records.
●​ Membership of a professional organisation.
●​ Maintenance and equipment testing.
●​ Previous or current clients.
●​ Accident records.
●​ Enforcement action.
●​ Adequate resources.

Planning and Co-ordination of the

Work
Information to be shared between client and contractor:

●​ Hazards posed by the site and work carried out.

●​ Hazards posed by the contractor’s activities.
●​ Risk assessments.
●​ Method statements.

Planning and Co-ordination of the Work

Arrangements between the client and contractor include:

●​ Ensuring activities don’t conflict.

●​ Permit-to-work system to control activities.

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Monitor and Managing the Work

Clients must:

●​ Monitor the work to ensure safety.

The client can:

●​ Stop the work if it involves unsafe practices.

Auditing against agreed method statements is a good technique.

End of Module 1.3 Exercise

1.​ To whom does an employer owe a duty with regard to health and
safety?
2.​ How can directors influence health and safety?
3.​ What are the key worker responsibilities?
4.​ What would you look for/check when selecting a contractor?

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Element 2.1 (OHSMS)

Introduction to OHSMS
The PDCA cycle:

●​ Plan: what you’re going to do.

●​ Do: it!
●​ Check: that what you’re doing is working.
●​ Act: if what you’re doing could be improved.

ILO-OSH 2001: The ILO OHSMS

Policy

●​ Clear statement of commitment to health and safety.

Organising:

●​ Roles and responsibilities for health and safety.

●​ At all levels in the organisation.

Planning and implementing:

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●​ Detailed arrangements to manage H&S.

●​ Risk assessments!

Evaluation:

●​ Methods to monitor and review the effectiveness of the

arrangements.

Audit:

●​ Independent, critical and systematic review of the management

system.

Action for improvement:

●​ Steps to correct issues found in the review.

●​ Continual improvement
●​ The SMS will develop over time.

ISO 45001: The OHSMS Standard

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Clauses of ISO 45001:

1.​ Scope
2.​ Normative references
3.​ Terms and definitions
4.​ Context of the organisation
5.​ Leadership
6.​ Planning
7.​ Support
8.​ Operation
9.​ Performance evaluation
10.​ Improvement

(Diagram on the left showing the interaction of clauses in a PDCA cycle:

●​ P: Planning (6)
●​ D: Support (7) & Operation (8)
●​ C: Performance Evaluation (9)
●​ A: Improvement (10)
●​ Center: Leadership & Worker Participation

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●​ Inputs: External & Internal Issues (4.1), Needs & Expectations of

workers & other interested parties (4.2)
●​ Scope of OH&SMS (4.3, 4.4))

End of Module 2.1 Exercise

●​ What are the key elements of the ILO-OSH health and safety
management system?
●​ Consultation with workers.
●​ Developing safe systems of work.
●​ Welfare and first-aid provision.
●​ Fire safety and prevention.
●​ Emergency procedures.
●​ Compliance monitoring, including auditing

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Element 2.2 (Making the

Management System Work
The Health and Safety Policy)
Making the Management System Work​
The Health and Safety Policy

Introduction to Health and Safety Policies

An important document:

●​ The foundation stone for good health and safety management in

an organisation.
●​ Sets out the organisation’s aims.
●​ Identifies who is responsible for achieving these aims.
●​ States how the aims are to be achieved.
●​ Specific to each organisation’s requirements.

(Not to be confused with ‘Policy’ in the H&S management system model.)

Group Discussion Point

●​ Why might the health and safety policy of two organisations be
different?
●​ Why isn’t there a prescribed, ‘one size fits all’ approach to
developing a policy?
●​ Why is an organisation’s health and safety policy so important?
●​ Why might two organisations doing similar work have different
policies?

Standards and Guidance

Article 14​
ILO Recommendation R164

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Requires employers to set down in writing, policy and arrangements for health
and safety management:

●​ Where circumstances warrant it.

●​ In a readily-understood language or medium.

The Three Parts of a H&S Policy

1.​ Statement of Intent​

What is going to be done.

2.​ Organisation​

Who is going to do it.

3.​ Arrangements​

How they’re going to do it.

General Statement of Intent

●​ Setting overall aims and objectives.
●​ Complying with law.
●​ Achieving standards.
●​ Reminds workers at all levels of their responsibilities.
●​ Signed and dated by the most senior person.
●​ Regular review.

Learning outcomes

At the end of this course, you will be able to:

●​ Explain the moral, legal and financial reasons for managing

health and safety in the workplace

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●​ Explain how health and safety is regulated and the

consequences of non-compliance
●​ Summarise the main health and safety duties of different people
at work
●​ Explain how contractors should be selected, monitored and
managed
●​ Explain how accidents are caused and how to prevent them
●​ Recognise the key elements of a health and safety management
system
●​ Explain why and how health and safety policies and procedures
are implemented
●​ Explain how to check and improve health and safety
performance

Setting SMART Objective

●​ Specific: clearly defined, precise.
●​ Measurable: Towards a target, quantified.
●​ Achievable: It can be done.
●​ Reasonable: Within timescale, and resources.
●​ Time-bound: Deadline, timescale.

Example: Review all 48 risk assessments within a 12-month period.

Setting SMART Objectives

It will be important to consider:

●​ Who is going to set the objectives.

●​ How objectives will be set at each functional level.
●​ Legal and other requirements.
●​ Hazards and risks.
●​ Technological options.
●​ Financial, operational and business requirements.
●​ Views of interested parties.

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Group Exercise

●​ Targets may be included in the statement of intent to show

commitment to improvement.
●​ What targets could be included? (General examples only
needed.)

Organisational Roles and Responsibilities

●​ Outlines the chain of command for health and safety
management.
●​ Identifies the roles and responsibilities of staff.
●​ Usually includes an organisational chart relating to health and
safety.
●​ Shows lines of communication and feedback.

Organisational Roles and Responsibilities

Defines responsibilities for:

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●​ The CEO or MD – ultimately responsible and accountable.

●​ Management – responsible for day-to-day management.
●​ All employees – responsible for acting safely.
●​ Competent persons – first aiders, fire marshals, etc.
●​ Specialist health and safety practitioners – responsible for
providing advice to support management and employees.

Arrangements
●​ Describes how things are done.
●​ Detailed description of policies and procedures.
●​ Usually a long document.
●​ Often separate from the policy document.
●​ Unique to each organisation

Arrangements
General topics:
●​ Carrying out risk assessments.
●​ Information, instruction and training.
●​ Accident and near-miss reporting, recording and investigation.
●​ Consultation with workers.
●​ Developing safe systems of work.
●​ Welfare and first-aid provision.
●​ Fire safety and prevention.
●​ Emergency procedures.
●​ Compliance monitoring, including auditing.

Individual Activity
Can you think of any other specific health and safety hazards?

Write down as many as you can think of, which you believe should be included
in the Arrangements Section of a Health and Safety Policy.

Arrangements
Specific Risks and Problems

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●​ Lone working.
●​ Noise-exposure control.
●​ Vibration-exposure control.
●​ Control of exposure to toxic materials.
●​ Control of crowds.
●​ Control of transport risks.
●​ Specific health surveillance requirements.
●​ Waste disposal.

Health and Safety Policies

●​ How can a policy be effectively communicated?
●​ When should it be reviewed?

Reviewing Policy
Changes in:

●​ Key personnel.
●​ Management structure.
●​ Processes.
●​ Technology.
●​ Legislation.
●​ Following an incident.
●​ As a result of enforcement action.
●​ After an audit.
●​ After worker consultation.
●​ Passage of time (Annually).

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Element 3.1 (Health and Safety

Culture)
Definition

The safety culture of an organisation is the​

shared attitudes, values, beliefs and behaviours​
relating to health and safety. (It will be positive or Negative)

The Relationship between Culture and

Performance

Positive Culture:

●​ People think that safety is important.

●​ Safety is considered in all management decision-making.
●​ People work safely because they want to, not because they are
told to.
●​ All workers are positively influenced by this peer-thinking and
behaviour.

Negative Culture:

●​ Lots of people think safety is of low priority.

●​ Safety is not considered in decision-making at any level.
●​ People will only work safely if they are told to and think that they
will be caught and punished if they don’t.

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●​ All workers are negatively influenced by this peer-thinking and

behaviour.

Indicators Used to Assess Culture

●​ Accidents, and the standard of investigation.

●​ Sickness rates.
●​ Absenteeism.
●​ Staff turnover.
●​ Compliance with safety rules.
●​ Worker complaints about conditions.

Influence of Peers​
Put people together in groups

●​ Interaction occurs.
●​ Influence is exerted.
●​ A hierarchy forms:
○​ Known as ‘pecking order’.
●​ ‘Norms’ of behaviour are established.
●​ Peer group pressure is exerted.
○​ Good indicator of H&S culture.
○​ This can be harnessed to encourage good
safety-related behaviour.

The Influence of Peers

In groups, a hierarchy naturally forms:

●​ Pressure is exerted from the top down.

●​ Can happen in informal groups, or formal team.

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Peer-group pressure can result in:

●​ “Good people” breaking rules to fit in.

●​ “Bad people” coming into line and working safely!

Key is to get the influential people on board:

●​ E.g., through training.

Key performance indicators of Safety Culture:

1.​ Reporting culture:​

Are near-misses and unsafe acts reported?
2.​ Learning culture:​
Are lessons learned from incidents and near-misses shared?
3.​ Just culture:​
Is there a fair system in place for identifying blame vs. system
failure?
4.​ Flexible culture:​
Can procedures and teams adapt quickly to new safety
challenges?
5.​ Informed culture:​
Are employees aware of hazards and how they are controlled?

Factors Promoting a Negative Culture

●​ Lack of leadership from management.

●​ Presence of a blame culture.
●​ Lack of management commitment to safety.
●​ Health and safety a lower priority than other issues.
●​ Organisational changes.
●​ High staff turnover rates.
●​ Lack of resources, e.g., too few workers, low investment.

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●​ Lack of worker consultation.

●​ Interpersonal issues, e.g., peer-group pressure, bullying.
●​ Poor management systems and procedures.
●​ External influences, e.g., economic climate.

Element 3.2 (Improving Health

and Safety Culture)

Management Commitment and Leadership

●​ Senior management set policy.

●​ They also set priorities and targets.
●​ They must inspire and motivate.
●​ Their leadership cascades through the organisation.
●​ Visible leadership:
○​ Behaving safely.
○​ Involvement in, e.g., safety meetings.
○​ Doing safety tours and audits.
○​ Promoting changes to improve safety.
○​ Enforcing rules through use of discipline.

Competent Workers

A competent person is someone who has sufficient:

●​ Training,
●​ Skills,
●​ Experience, and
●​ Knowledge,

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and perhaps other attributes such as attitude or physical ability to be able to

carry out their job safely.

Group Exercise

Identify a few examples of workplace communication from the following

categories:

●​ Verbal communication.
●​ Written communication.
●​ Graphic communication.

Verbal Communication

Benefits:

●​ Personal.
●​ Quick.
●​ Direct.
●​ Check understanding.
●​ Feedback.
●​ Share views.
●​ Additional information (body language).

Limitations:

●​ Language barrier.
●​ Jargon.
●​ Strong accent/dialect.
●​ Background noise.
●​ Poor hearing.
●​ Ambiguity.
●​ Missing information.
●​ Forgetting information.
●​ No record.

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●​ Poor quality (telephone or PA).

Written Communication

Benefits:

●​ Permanent record.
●​ Reference.
●​ Can be written carefully for clarity.
●​ Wide distribution relatively cheaply.

Limitations:

●​ Indirect.
●​ Time.
●​ Jargon/abbreviations.
●​ Impersonal.
●​ Ambiguous.
●​ May not be read.
●​ Language barriers.
●​ Recipient may not be able to read.
●​ No immediate feedback.
●​ Cannot question.
●​ Impaired vision.

Graphic Communication

Benefits:

●​ Eye-catching.
●​ Visual.
●​ Quick to interpret.
●​ No language barrier.

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●​ Jargon-free.
●​ Conveys a message to a wide audience.

Limitations:

●​ Simple messages.
●​ Expensive.
●​ May not be looked at.
●​ Symbols or pictograms may be unknown.
●​ Feedback.
●​ No questions.
●​ Impaired vision.

Broadcasting Methods

●​ Noticeboards.
●​ Posters and videos.
●​ Digital media.
●​ Toolbox talks.
●​ Memos and e-mails.
●​ Worker handbooks.

Group Exercise

What are the merits and limitations of using safety posters as a form of
propaganda?

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Just For Recording

Benefits:

●​ Eye-catching.
●​ Visual.
●​ Quick to interpret.
●​ No language barrier.
●​ Jargon-free.
●​ Conveys a message to a wide audience.

Limitations:

●​ Simple messages.
●​ Expensive.
●​ May not be looked at.
●​ Symbols or pictograms may be unknown.
●​ Feedback.
●​ No questions.
●​ Impaired vision.

Co-operation and Consultation

What is the difference between consulting and informing workers?

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Consulting:​
Two-way exchange of information and opinion between the employer and
employee.

Informing:​
One-way flow of information to the employee.

Typical Issues to Consult On

●​ Introduction of new measures affecting health and safety.

●​ Appointment of new advisers.
●​ Health and safety training plans.
●​ Introduction of new technology.

Methods of Consultation

Direct consultation:

●​ Employer talks to each worker and resolves issues.

Through worker representatives:

●​ Committee is formed to represent workers.

●​ Regular meetings to discuss and resolve issues.
●​ Members may have rights in law.

Group Exercise

What makes an effective committee?

Health and Safety Committee/Forum

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Effective committees will depend on:

●​ Who is on the committee.

●​ How often the committee meets.
●​ Who will act as chairperson.
●​ What authority the committee will have.
●​ What will be discussed.
●​ How the discussions will be recorded.
●​ How issues will be followed up.

Health and Safety Committee/Forum

Issues that may be considered:

●​ Study of accident and disease statistics.

●​ Review of reports from active monitoring.
●​ Examination of safety audit reports.
●​ Consideration of reports and information from HSE.
●​ Consideration of reports submitted by safety reps.
●​ Provide assistance in development of procedures and policy.
●​ Monitor the effectiveness of training.
●​ Monitor and improve safety communications.

Training

H&S training is the planned, formal process of acquiring and practising

knowledge and skills in a relatively safe environment.

Training has a dramatic effect on safety-related behaviour.

Without training, workers try to do their jobs by:

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●​ Copying others.
●​ Doing the job, the way they think is best.

Training

Training helps workers to understand:

●​ Hazards and risks.

●​ Rules and precautions.
●​ Emergency procedures.
●​ Who to contact with concerns.
●​ Limitations and restrictions.
●​ Personal safety responsibilities.
●​ Consequences of breaking rules including disciplinary
procedures.

Training Opportunities

●​ Induction training – New employees

●​ Job change – New hazards following a change in job
●​ Process change – New hazards associated with new ways of
working
●​ New technology – New hazards associated with plant and
machinery
●​ New legislation – Implications of new legislation

Induction Training

●​ Health and safety policy.

●​ Emergency procedures.
●​ First aid.
●​ Specific site hazards and controls.

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●​ Welfare facilities.
●​ Safe movement.
●​ Accident and incident reporting.
●​ Consultation arrangements.
●​ Safety rules.
●​ Personal protective equipment.
●​ Safe working and permits.
●​ Risk assessment.
●​ Responsibilities of individuals.
●​ Disciplinary procedures.

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Element 3.3 (Human Factors Which

Influence Safety-Related Behaviour)

Organisational Factors

●​ Safety culture.
●​ Commitment and leadership.
●​ Resources available.
●​ Work patterns.
●​ Communication.
●​ Levels of supervision.
●​ Peer group pressure.
●​ Consultation and worker involvement.
●​ Training.

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Job Factors

●​ Task.
●​ Workload.
●​ Environment.
●​ Displays and controls.
●​ Procedures.

Individual Factors

●​ Competence
○​ Knowledge.
○​ Ability.
○​ Training.
○​ Experience.
●​ Skills
●​ Personality
●​ Attitude
●​ Motivation: the thing that is making a person do what they do:
○​ Rewards/incentives.
○​ Positive or negative.

Attitude

A person’s point of view or way of looking at something; how they think and
feel about it.

Can be changed by:

●​ Education and training.

●​ High-impact interventions.
●​ Enforcement.
●​ Consultation.

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●​ Involvement.

Risk Perception

Perception: the way a person’s brain interprets information sent to it by their

senses:

●​ Sight.
●​ Hearing.
●​ Smell.
●​ Taste.
●​ Touch.

Organisational Factors

Factors that can distort a person’s perception of hazard and risk include:

●​ Illness.
●​ Stress.
●​ Fatigue.
●​ Drugs and alcohol.
●​ Previous experiences.
●​ Training and education.
●​ Use of PPE.
●​ Workplace conditions, e.g., high noise levels.

Element – 3.4 (Risk

Assessment)

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The Five Steps of Risk Assessment

As defined by hse :-

Key Words and Phrases

Risk Profiling:

The process of identifying and assessing the range of risks that threaten an
organisation along with recognition of their likelihood and probable impacts,
the current risk management controls in place and the identification and
prioritisation of further control measures.

Key Words and Phrases

Risk Profiling:

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The process of identifying and assessing the range of risks that threaten an
organisation along with recognition of their likelihood and probable impacts,
the current risk management controls in place and the identification and
prioritisation of further control measures.

Key Words and Phrases​

Risk Assessment:

The formal process of identifying preventive and protective measures by

evaluating the risks arising from a hazards, taking into account the adequacy
of any existing controls, and deciding whether or not the risk is acceptable.

Risk Profiling

Each organisation will have its own risk profile.​

A risk profile examines:

●​ The nature and level of the threats faced by the organisation.

●​ The likelihood of those adverse effects occurring.
●​ The level of disruption and costs associated with each type of
risk.
●​ The effectiveness of controls in place to manage those risks.

Risk Profiling

The outcome of risk profiling will be that the right risks have been identified
and prioritised for action, the right control measure have been identified and
implemented and minor risks have not been given a disproportionate priority.

Risk Profiling

The Risk Profiling Process:

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●​ Identify the risk that threaten the organisation.

●​ Identify the health and safety impacts and the business impacts
associated with each threat.
●​ Identify how well each threat is controlled.
●​ Identify the likelihood of each threat happening.
●​ Prioritise the threats.

Purpose of Risk Assessment

To prevent:

●​ Death and personal injury.

●​ Other types of loss incident.
●​ Breaches of statute law.
●​ The costs of loss.

A ‘Suitable and Sufficient’ Assessment

●​ Death Identify significant risks.

●​ Enable employer to identify and prioritise control measures.
●​ Appropriate to the nature of the work:​
• Proportionate to the risks.
●​ Valid for a reasonable time

Group Exercise

●​ Sources of information can be:​

• Internal to the organisation​
• external to the organisation

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List all the internal and external sources you can think of and discuss
them.

Internal and External Information Sources

Internal:

●​ Accident records.
●​ Ill-health data/absence reports.
●​ Medical records.
●​ Risk assessments.
●​ Maintenance reports.
●​ Safety inspections.
●​ Audit and investigation reports.
●​ Safety committee minutes.

External:

●​ National legislation.
●​ Approved Codes of Practice.
●​ Standards e.g. BSI, ISO.
●​ Manufacturers’ information.
●​ Trade associations.
●​ Safety publications.
●​ International bodies.
●​ Trade unions, charities, etc

Hazard Identification Methods

●​ Task analysis:​
– Analyses job components before the job starts.
●​ Legislation:​
– Standards, guidance documents.
●​ Manufacturers’ information:​
– Operating handbooks, chemical safety data sheets.

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●​ Incident data:​
– Accidents, near misses, ill health.

Hazard Identification Methods

Task analysis:

S – Select the task.​

R – Record the stages of the task.​
E – Evaluate risks associated with each stage.​
D – Develop the safe working method.​
I – Implement the safe working method.​
M – Monitor to ensure effectiveness.

Step 2: Identify the People at Risk

●​ Workers/operators:​
– Maintenance staff.​
– Cleaners.
●​ Contractors.
●​ Visitors.
●​ Members of the public – even trespassers.

Vulnerable groups or individuals:

●​ Young people.
●​ New or expectant mothers.
●​ Disabled workers.
●​ Lone workers.

Step 3: Evaluating the Risk and Deciding on Precautions

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Is the level of risk acceptable or does it need to be reduced?

Risk = likelihood × severity

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General Hierarchy of Control

●​ Elimination.
●​ Substitution.
●​ Engineering controls.
●​ Administrative controls.
●​ PPE.

General Hierarchy of Control

●​ Elimination.
●​ Substitution.
●​ Engineering controls:
○​ Isolation, total enclosure.
○​ Separation, segregation.
○​ Partial enclosure.
○​ Safety devices.
●​ Administrative controls:
○​ Safe systems of work.
○​ Reduced exposure.
○​ Reduced time of exposure, dose.
○​ Information, instruction, training and supervision.
●​ PPE.

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Safety Sign

Personal Protective Equipment (PPE)

Personal Protective Equipment Regulations 1992 (as amended)

●​ Supply suitable PPE:​

• Appropriate for risk.​
• Ergonomic.​
• Fits.​
• Doesn’t increase overall risk.
●​ Complies with standards.
●​ Ensure compatibility of items.
●​ Suitable storage.
●​ Information, instruction and training.
●​ Enforce use of PPE.
●​ Replace or repair damaged or lost items.

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Personal Protective Equipment (PPE)

Merits Limitations

1. Can be used as an interim control 1. It only protects one person – the

whilst more expensive or difficult wearer.
controls are put in place.

2. In some situations, it may be the 2. It may not protect adequately if it

only control option available. is not fitted correctly.

3. It may be needed as a back-up 3. It may not be comfortable and

for emergencies when other controls may interfere with the wearer’s
have failed. ability to do the job.

4. It is usually cheap. 4. It may increase overall risk by

impairing the senses (e.g. goggles
that mist up).

5. It gives immediate protection. 5. It may not be compatible with

other items that have to be worn or
used.

6. People do not like wearing PPE.

7. If it fails, it fails to danger (the

worker is exposed to risk).

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Use of Guidance and Legal Standards

●​ Use of a risk matrix can help provide clarity:​

– Can set internal risk levels that require action within set timescales.
●​ Legal requirements override the findings of a risk assessment:​
– Even if the risk is low, if the law requires it then it must be done.​
– Applies also to semi-legal codes of practice.​
– Guidance can also assist.

Residual, Acceptable and Tolerable Risk

●​ Residual Risk​
– The risk level we are left with after controls have been
implemented.
●​ Acceptable Risk​
– Risk has been reduced to an adequate level.
●​ Tolerable Risk​
– Not acceptable but can live with it for a short period of time with
interim controls.
●​ Unacceptable Risk​
– Risk is too high.

Step 5: Review

Typical content:

●​ Activity/area assessed and hazards.

●​ Groups at risk.
●​ Risks and adequacy of existing control measures.
●​ Further precautions needed.
●​ Date and name of competent person.
●​ Review date.
●​ Significant change in:​
– Process.​
– Substances.​

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– Equipment.​
– Workplace environment.​
– Personnel.
●​ If it is no longer valid:​
– Accident.​
– Near miss.​
– Ill health.​
– Change to legal standards.
●​ Periodically.

Special Cases and Vulnerable Workers

Young Persons

●​ Under 18.
●​ Lack of experience.
●​ Physical and mental maturity.
●​ Poor risk perception.
●​ Influenced by peer group.
●​ Eager.
●​ Control measures:​
– Prohibit certain high-risk activities, e.g. high-risk machinery.​
– Restrict work patterns and hours, e.g. no overtime.​
– Train and supervise.

Special Cases and Vulnerable Workers

New and Expectant Mothers

●​ Certain chemicals, e.g. lead.

●​ Certain biological agents, e.g. rubella virus.
●​ Manual handling.
●​ Temperature extremes.
●​ Whole-body vibration.
●​ Ionizing radiation.

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●​ Night shifts.
●​ Stress.
●​ Violence.

Special Cases and Vulnerable Workers

Disabled Workers

●​ Identify, Health and fitness criteria for some jobs:

○​ E.g., eyesight requirements to drive forklift trucks.
●​ Workers with known disabilities:
○​ What are the implications of their disability?

Special Cases and Vulnerable Workers

Disabled Workers

●​ Identify, Health and fitness criteria for some jobs:

○​ E.g., eyesight requirements to drive forklift trucks.
●​ Workers with known disabilities:
○​ What are the implications of their disability?

Element 3.5 (The Management

of Change)
The Impact of Change

Change includes changes to work processes, equipment, practices and

construction work (temporary works).

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Temporary works include:

●​ Short-term building projects.

●​ Building maintenance.
●​ Renovation work.
●​ Demolition.
●​ Excavations.

Mitigating the Impact of Change

Key management principles:

●​ Risk assessment – of the work itself and its impact on the

workplace.
●​ Communication and co-operation – between all affected
parties.
●​ Competence – of workers and managers.
●​ Segregation – of the work area.
●​ Emergency procedures – and the impact of the works on
existing emergency arrangements.
●​ Welfare provision – for all workers involved.

Element 3.6 (Safe System of

Work)
Introduction to Safe Systems of Work

●​ Formal Recorded
●​ Systematic Examination of work
●​ Safe methods Defined
●​ Hazards Identified

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Introduction to Safe Systems of Work

To be effective, the SSW must bring together…

●​ People:
○​ Who is the SSW for?
○​ What level of competence or technical ability should
they have?
●​ Equipment:
○​ What equipment will be used?
○​ What safety equipment will be required?
●​ Materials:
○​ What materials will be used or handled during the
work?
●​ Environment:
○​ Where will the work take place? E.g. space, light and
temperature?

…in such a way as to create a safe work method.

Introduction to Safe Systems of Work

●​ Linked to risk assessments:

○​ Hazards identified and controls recorded.
●​ Documented so the standard is clear.
●​ Developed by a competent person:
○​ With assistance from workers.
●​ Legally required in many circumstances:
○​ Employers responsibility to prepare them.
○​ Workers responsibility to follow them.

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Developing a Safe System of Work

SREDIM

●​ S – Select task
●​ R – Record steps or stages of the task
●​ E – Evaluate risks associated with each step
●​ D – Develop safe working method
●​ I – Implement safe working method
●​ M – Monitor to ensure it is effective

Introducing Controls and Formulating Procedures

●​ Often most difficult stage!

●​ Consultation and engagement helps gain buy-in from workers.
●​ Allow concerns to be raised and addressed during development.

Instruction and Training

Information, Instruction, Training and Supervision (IITS).

May need detailed training in the SSW.

Monitoring the System

Must monitor to ensure:

●​ SSW is being applied correctly.

●​ SSW is as safe as was intended!

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Element 3.7 (Permit to Work

System)
Definition

Work permit is a documented piece of paper formulating safety procedures,

and it is a part of safe system of work. Work permit also authorize a person or
a group to perform maintenance, inspection or construction work.

It is an essential document that categorically spells out task, equipment

involved, time limitation, precautionary measures to be taken together with
likely hazards to be encountered

●​ Hot work.
●​ High-voltage electrical systems.
●​ Confined space entry.
●​ Operational pipelines.
●​ Excavation near buried services.
●​ Complex machinery.

Operation and Application

●​ Issue: details of the work; location; date; time/duration; hazards;

isolations/controls; PPE.
●​ Name and signature of authorised person issuing permit
●​ Receipt: name and signature of person receiving permit.

—— Work can start ——

●​ Clearance/return to service: permit signed back to confirm

workers are finished.

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●​ Cancellation: permit signed to accept area back under normal

operation.
●​ Extension: if necessary

Element 3.8 (Emergency

Procedures and First Aid)
The Need for Emergency Procedures

Why do we need them?​

Because despite all the precautions you take, things can still go wrong.

What incidents?

●​ Fires.
●​ Bomb threats.
●​ Spillage of a hazardous chemicals.
●​ Release of a toxic gas.
●​ Severe weather.
●​ Multiple casualty accidents.
●​ Terrorist/security incident.

Emergency Procedure Arrangements

●​ The foreseeable emergencies.

●​ Procedures for raising the alarm.
●​ Procedures to be followed.
●​ Suitable emergency equipment.
●​ Responsible staff.
●​ Dealing with the media.

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●​ Contacting emergency services.

Emergency Procedure Arrangements

The organisation needs to arrange:

●​ Communication equipment:
○​ Landline/mobiles, etc.
●​ Contact details:
○​ National and local numbers.
●​ Responsible individuals:
○​ With necessary information.

Training and Testing

Additional training for nominated individuals on:

●​ Their roles in the emergency.

●​ Safe handling of any equipment.

Emergency procedures should be practised through drills and exercises.

First-Aid Requirements

Requires appropriate first-aid provision:

●​ Facilities:​
– An appropriate location where first-aid treatment can be given.
●​ Equipment:​
– Suitably stocked first-aid kits and other equipment.

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●​ Personnel:​
– Trained staff.

First-Aid Facilities and Equipment

First-Aid Facilities:

●​ Centrally located; accessible by emergency services.

●​ Clean and adequately heated, ventilated and lit.
●​ Hand-wash facilities, chair, clinical waste bin, etc.

Equipment:

●​ First-aid kits.
●​ Eye-wash stations.
●​ Emergency showers.
●​ Blankets.
●​ Splints.
●​ Resuscitation equipment.
●​ Stretchers.
●​ Wheelchairs.
●​ Other equipment as required.

First-Aid Personnel

The basic principle of first aid is to keep the injured person alive until
professional medical assistance arrives.

The ‘3 Ps’:​
Preserve life.​
Prevent deterioration.​
Promote recovery.

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And to treat minor ailments that require no further medical help.

Group Exercise

Discuss the issues that you would need to consider to decide the level
of first-aid cover in your workplace.

Extracted Text

First-Aid Personnel​
NEBOSH-IGC​
International General Certificate

Trained personnel:

●​ Appointed person – no or basic training only.

●​ Emergency first aiders and first aiders – full EFW or FW training.

Coverage will depend on:

●​ The general risk level of the workplace.

●​ The hazards present in the workplace.
●​ Accident history.
●​ Vulnerable persons.
●​ The number of workers.
●​ Work patterns and shift systems.
●​ Workplace location.
●​ Size and spread of the workplace.

Group Exercise

What factors would you consider when selecting individuals to be first

aiders?

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Selecting Staff to be First Aiders

●​ Reliable, calm, good communication skills.

●​ Aware of own limitations and of the training.
●​ Ability to absorb new knowledge and learn.
●​ Ability to cope with stressful situations.
●​ Able to accept responsibility.
●​ Physically fit enough.
●​ Consideration of the need for first aiders considering gender,
ethnicity and religious convictions.
●​ Must be able to be released from normal duties to attend an
incident.

Element 4.1 (Active and

Reactive Monitoring)
Introduction to Active and Reactive Monitoring

Active​
Looking at control measures to see if they are correct and being used before
accidents, etc. are caused.

Reactive​
Using accident, incident and ill-health data to highlight areas of concern.

Active Monitoring

Measure conformance/non-conformance with standards, e.g.

●​ Number and quality of risk assessments against plan.

●​ Health and safety training to schedule.

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●​ Consultative committee meetings to schedule.

●​ Workplace inspections to schedule.

Active Monitoring

Safety Inspection

●​ Examination of workplace, statutory inspection, plant &

machinery, pre-use checks.
●​ Usually done by one line manager or a competent person.

Safety Sampling

●​ Representative sample to judge compliance.

●​ Less time-consuming.

Safety Tour

●​ A high-profile walk-around inspection in a workplace carried out

by a group including senior managers.
●​ The intention is to interact and be highly visible.

Systematic Inspection:

Category Inspection Focus

Plant – Machinery

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– Vehicles

Premises – Workplace

– Environment

People – Working methods

– Behaviour

Procedures – Safe systems

– Permits to work

Arrangements for Active Monitoring

Factors to consider when planning the introduction of active monitoring:

●​ Type of monitoring required.

●​ Frequency.
●​ Allocation of responsibilities.
●​ Competence of the inspector.
●​ Use of checklists.
●​ Action planning for problems found.

Example Inspection System

Bank head office:

●​ Purpose – monitor H&S standards.

●​ Frequency – monthly.
●​ Competence – one-day course.

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●​ Persons responsible – managers at different levels.

●​ Inspection checklist – general checklist, tailored if required.
●​ Follow-up arrangements – an action plan.

Group Exercise

In groups, list the topic headings that should be included on an

inspection checklist for use in your workplace.

Arrangements for Workplace Inspections

Typical topics in a generic inspection checklist:

●​ Fire safety.
●​ Housekeeping.
●​ Environment issues.
●​ Traffic routes.
●​ Chemical safety.
●​ Machinery safety.
●​ Electrical safety.
●​ Welfare facilities.

Reactive Monitoring

Accidents, incidents, ill health, other unwanted events and situations:

●​ Highlights areas of concern.

●​ Things that have already gone wrong.
●​ Measures failure.

Two methods:

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●​ Lessons from one specific event, e.g., an accident.

●​ Data collected over a period.

Reactive Monitoring

Data collected about:

●​ Accidents.
●​ Dangerous occurrences.
●​ Near misses.
●​ Ill-health cases.
●​ Worker complaints.
●​ Enforcement action.

Assist in analysing:

●​ Trends – events over a period of time.

●​ Patterns – hot spots of certain types e.g., injury.

Reactive Monitoring

●​ Lost-time Accident Frequency Rate

●​ Lost-time accidents per 100,000 hours worked.

Formula:​
Number of lost-time accidents during a specific time period​
÷​
Number of hours worked over the same period​
× 100,000

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Element 4.2 (Investigating, Recording

and Reporting Incidents)
Reasons for Investigations

Reasons to carry out investigations:

●​ Identify the immediate and root causes.

●​ Prevent recurrence.
●​ Collect and record evidence.
●​ Legal reasons.
●​ Insurance purposes.
●​ Staff morale.
●​ Disciplinary purposes.
●​ Data-gathering.

Types of Incident

●​ Accident.
●​ Near miss.
●​ Dangerous occurrence.
●​ Work-related ill health.

Types of Incident

Accident:

An unplanned, unwanted event which leads to injury, damage or loss.

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●​ Injury accident – where the unplanned, unwanted event leads to

some sort of personal injury, e.g., a cut hand.
●​ Damage-only accident – where the unplanned, unwanted event
leads to equipment or property damage but not personal injury,
e.g., a wall is demolished.

Near Miss

An unplanned, unwanted event that had the potential to lead to injury, damage
or loss but did not, in fact, do so.

Dangerous Occurrence

A specified event that has to be reported to the relevant authority by statute

law, e.g., a major gas leak.

Work-Related Ill Health

A disease or medical condition that is directly attributable to work, e.g.,

dermatitis as a result of exposure to skin irritants.

Level of Investigation

●​ Minimal – immediate line manager and not excessive time or

effort.
●​ Low – line manager perhaps with some support and more time
and effort involved.
●​ Medium – middle manager with support and significant time and
effort.

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●​ High – senior management oversight with team-based approach

and significant time and effort.

Group Exercise

Discuss the first thing you should do when arriving at an accident scene and
then the later steps.

Consider what type of equipment you may need to assist you.

Basic Investigation Procedures

Safety of the scene:

●​ Is the area safe to approach?

●​ Is immediate action needed to eliminate danger before casualties
are approached?

Casualty care:

●​ First-aid treatment.
●​ Hospitalization.
●​ Also consider bystanders who may be in shock.

Basic Investigation Procedures

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Step Action

Step 1 Gather factual information

Step 2 Analyse the information and draw

conclusions

Step 3 Identify suitable control measures

Step 4 Plan the remedial actions

Step 1: Gathering Information

●​ Secure the scene.

●​ Identify witnesses.
●​ Collect factual information.
●​ Interview witnesses.
●​ Examine documents.

Witness Interview Technique

●​ Quiet room, no distractions.

●​ Establish a rapport.
●​ Explain the purpose, not about blame.
●​ Use open questions, e.g. Who? What? Where? When? Why?
How?
●​ Keep an open mind.
●​ Take notes.
●​ Ask for a written statement.
●​ Thank the witness.

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Document Examination

●​ Company policy.
●​ Risk assessments.
●​ Training records.
●​ Safe systems of work.
●​ Permits to work.
●​ Maintenance records.
●​ Previous accident reports.
●​ Sickness and absence records.

Step 2: Analysing Information

Immediate causes:

●​ Unsafe acts.
●​ Unsafe conditions.

Underlying/root causes:

●​ Reasons behind the immediate causes.

●​ Often failures in the management system:
○​ No supervision.
○​ No PPE provided.
○​ No training.
○​ No maintenance.
○​ No checking or inspections.
○​ Inadequate or no risk assessments.

Group Exercise​
A worker is struck by a load being carried on a pallet by a forklift truck.​
Outline possible immediate and underlying causes of the accident.

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Forklift Truck Accident

Possible immediate causes:
●​ Failure to secure the pallet.
●​ Poor positioning of the truck close to the pedestrian exit.
●​ Aggressive braking by the driver.
●​ Inattentive pedestrian steps into the path of the forklift truck.

Possible underlying/root causes:

●​ No training for the driver.
●​ Lack of segregation of vehicles and pedestrians.
●​ Poor driver induction.
●​ Poor truck maintenance.
●​ No refresher Training

Step 3: Identifying Suitable Control Measures

For immediate causes:

●​ Clean up the spill.

●​ Replace the missing guard.
●​ Relocate the trailing cable.

For underlying/root causes:

●​ More difficult.
●​ Need to make changes in management system.

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Step 4: Planning the Remedial Actions

●​ Dangerous conditions must be dealt with immediately.

●​ Interim actions may be possible.
●​ Underlying causes will require more complex actions:
○​ Will take time, effort, disruption, money.
○​ Need for Prioritization.

Table:

Recommended Priority Timescale Responsible

action person

Introduce Medium 1 month Warehouse

induction manager
training for all
new drivers

Recording and Reporting Requirements

●​ Reporting is the process of informing people that an incident has

occurred:​
– can be internally within the organisation, or​
– externally to enforcing authorities or insurers.
●​ Recording is the process of documenting the event.

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Internal Incident Reporting

Will depend on the severity:

Table:

Internal External

– Directors. – Family of the casualty.

– Senior managers. – External authorities.

– Human resources managers. – Insurance companies.

– Health, safety and environmental – Public relations advisers.

advisers.

– Worker representatives.

Group Exercise

What sort of things are likely to hinder good accident and near-miss
reporting?

What can an organisation do to make it more likely that incidents will be

reported?

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Internal Incident Reporting Systems

Barriers to reporting:
●​ Unclear organisational policy.
●​ No reporting system in place.
●​ Overly complicated reporting procedures.
●​ Excessive paperwork.
●​ Takes too much time.
●​ Blame culture.
●​ Apathy.
●​ Lack of training on policy and procedures.

Incident Recording and the Accident Book

Minimum standard is the ‘Accident Book’:

●​ Name and address of casualty.
●​ Date and time of accident.
●​ Location of accident.
●​ Details of injury.
●​ Details of treatment given.
●​ Description of event causing injury.
●​ Details of any equipment or substances involved.
●​ Witnesses’ names and contact details.
●​ Details of person completing the record.
●​ Signatures.

Externally-Reportable Events

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Some incidents need to be reported to regulator by law, for example:

●​ Fatality.
●​ Major injury.
●​ Dangerous occurrence.
●​ Disease.
●​ Lost-time injuries.

Element 4.3 (Health and Safety

Auditing)
Definition, Scope and Purpose of Auditing

Auditing is the:

●​ systematic,
●​ objective, and
●​ critical evaluation of an organisation’s health and safety
management system.

Group Exercise

What is the difference between an audit and an inspection?

The Distinction Between Audits and Inspections

Inspection:

●​ Checks the workplace.

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●​ Checks records.
●​ Usually, quick.
●​ Lower cost.
●​ May only require basic competence.
●​ Part of an audit.

Looks at the physical reality of the workplace.

Audit:

●​ Examines documents.
●​ Examines procedures.
●​ Interviews workers.
●​ Verifies standards.
●​ Checks the workplace.
●​ Can be a long process.
●​ Usually, expensive.
●​ Requires a high level of competence.

Looks at the management system that lies behind this.

Pre-Audit Preparations

The following should be defined:

●​ Timescales.
●​ Scope of the audit.
●​ Area and extent of the audit.
●​ Who will be required.
●​ What documentation will be required.

During the Audit

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Auditors use three methods to gather information:

●​ Paperwork – documents and records.

●​ Interviews – managers and workers.
●​ Observation – workplace, equipment, activities and behaviour.

During the Audit

Typical records/documents examined during an audit:

●​ Health and safety policy.

●​ Risk assessments and safe systems of work.
●​ Training records.
●​ Minutes of safety committee meetings.
●​ Maintenance records and details of failures.
●​ Records of health and safety monitoring activities (e.g. tours,
inspections, surveys).
●​ Accident investigation reports and data, including near-miss
information.
●​ Emergency arrangements.
●​ Inspection reports from insurance companies.
●​ Output from regulator visits (e.g. visit reports, enforcement
actions).
●​ Records of worker complaints.

At the End of the Audit

●​ Usual to hold a close-out meeting.

●​ Followed with a written report.

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●​ It is the responsibility of management at all levels to ensure

recommendations for improvement are communicated and
implemented.
●​ Audit may be necessary for certification, e.g. to ISO 45001.

Group Exercise

Discuss the advantages and disadvantages of an external and an internal

audit

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NEBOSH notes:

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External and Internal Audit

External Audits
Advantages

●​ Independent of any internal influence.

●​ Fresh pair of eyes.
●​ May have wider experience of different types of workplace.
●​ Recommendations often carry more weight.

Disadvantages

●​ Expensive.
●​ Time-consuming.

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●​ May not understand the business so make impractical

suggestions.
●​ May intimidate workers so get incomplete evidence.

Internal Audits
Advantages:

●​ Less expensive.
●​ Auditors already know the business so know what can be
realistically achieved.
●​ Improves ownership of issues found.
●​ Builds competence internally.

Disadvantages:

●​ Auditors may not notice certain issues.

●​ Auditors may not have good knowledge of industry or legal
standards.
●​ Auditors may not possess auditing skills so may need training.
●​ Auditors are not independent so may be subject to internal
influence.

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Element 4.4 (Reviewing Health

and Safety Performance)

Purpose of Regular Reviews

●​ Full management system review:

○​ By the board, e.g. annually.
●​ Management team review:
○​ E.g., every quarter, feeds to full review.
●​ Departmental review:
○​ E.g., monthly, by line manager to ensure on track.
○​ Assessing opportunities for improvement and the need
for change.

Purpose of Regular Reviews

Reviewing performance is an essential part of any health and safety

management system:

●​ Are we on target?
●​ If not, why not?
●​ What do we have to change?

E.g., aim: to reduce lost time accidents by 5%:

●​ Target has been met.

●​ Set a new target of another 5% for next year.

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Group Exercise

What active and reactive measurements of health and safety

performance would need to be reviewed annually?

Issues to be Considered in Reviews

●​ Legal compliance.
●​ Accident and incident data.
●​ Inspections, surveys, tours and sampling.
●​ Absence and sickness data.
●​ Audit reports.
●​ Achievement of objectives.
●​ Enforcement action.
●​ Previous management reviews.
●​ Legal and best practice developments.

Outputs from Reviews

Records of the reviews should be retained:

●​ Demonstrate compliance with MHSWR.

●​ Results may have to be reported to shareholders.

The aim is continual improvement

●​ Senior managers review performance and set targets for the

organisation.
●​ Middle managers review performance and set targets for their
departments.
●​ Junior managers review local performance and set targets for
their local area.

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