IG1 Element 3.pptx .

© RRC International
Element 3: Managing Risk – Understanding
People and Processes
NEBOSH International General Certificate
in Occupational Safety and Health
IGC1

Learning Objectives
• Describe the concept of health and safety culture and how it
influences performance.
• Summarise how health and safety culture at work can be
improved.
• Summarise the human factors which positively or negatively
influence behaviour at work in a way that can affect health and
safety.
• Explain the principles of the risk assessment process.
• Discuss typical workplace changes that have significant health and
safety impacts and ways to minimise those impacts.

Learning Objectives
• Describe what to consider when developing and implementing
a safe system of work for general activities.
• Explain the role, function and operation of a permit-to-work
system.
• Discuss typical emergency procedures (including training and
testing) and how to decide what level of first aid is needed in
the workplace.

Health and Safety Culture
Element 3.1

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.
• All workers are negatively
influenced by this peer-thinking
and behaviour.

Influence of Peers
Put people together in groups
1. Interaction occurs.
2. Influence is exerted.
3. A hierarchy forms:
‒ known as ‘pecking order’.
4. ‘Norms’ of behaviour are established.
5. Peer group pressure is exerted.
• Good indicator of H&S culture.
• Peer group pressure can be harnessed to encourage good safety-
related 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.

What factors could result in the deterioration of
an organisation’s health and safety culture and
hence safety performance?
Group Exercise

Improving Health and Safety Culture
Element 3.2

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,
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.
What are the merits and limitations of each method?

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.
• 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.
• 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
• Notice boards.
• Posters and Videos.
• Digital Media.
• Toolbox talks. (TBT)
• Memos and E-mails.
• Worker handbooks.

What are the merits and
limitations of using
safety posters as a form
of Propaganda?
Group Exercise

Consulting:
Two-way exchange of information and opinion between the
employer and employee.
Informing:
One-way flow of information to the employee.
Co-operation and Consultation

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.
• Or Members may have rights in law.

Group Exercise
What makes an effective committee?

Health and Safety Committee/Forum
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:
• 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.
• 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.

Human Factors Which Influence
Safety-Related Behaviour
Element 3.3

Human Factors Influencing 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.

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.
• Involvement.

Risk Perception
Perception: the way a person’s brain interprets
information sent to it by their senses:
• Sight. (Eye)
• Hearing.
• Smell.
• Taste.
• Touch.

Group Exercise
You will be shown the following slide for
20 seconds.
You are asked to count the numbers of what you
saw.!

FINISHED FILES ARE THE RESULT
OF YEARS OF SCIENTIFIC STUDY
COMBINED WITH THE
EXPERIENCE OF MANY YEARS
Group Exercise

Risk Perception
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.

Risk Assessment
Element 3.4

Key Words and Phrases
Hazard:
Something with the
potential to cause harm:
• Physical.
• Chemical.
• Biological.
• Ergonomic.
• Psychological.
Risk:
The likelihood of harm
occurring in
combination with the
severity of the
foreseeable harm.

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.

To prevent:
• Death and personal injury.
• Other types of loss incident.
• Breaches of statute law.
• The costs of loss.
Purpose of Risk Assessment
The aim of the Risk Assessment process is to
evaluate hazards, then remove that hazard or
minimize the level of its risk by adding control
measures, as necessary”

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
It helps you understand your investment orientation
before you “build your investment plan” thereby
increasing the likelihood of your sticking to the plan
over the long term.

Risk Profiling
The Risk Profiling Process:
• 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.

A ‘Suitable and Sufficient’ Assessment
• 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 can be:
• internal, or
• external
to the organisation.
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.

The Five Steps to Risk Assessment
As defined by the HSE:
and implement

Safety:
Capable of causing physical
injury:
• Work at height.
• Falling objects.
• Moving vehicles.
• Machinery.
• Electricity.
• Chemicals.
• Low oxygen concentration.
• Deep water.
• Fire/explosion.
• Animals.
• Violence.
Step 1: Identify the Hazards
Health:
Capable of causing
occupational disease or ill
health:
• Physical.
• Chemical.
• Biological.
• Ergonomic.
• Psychological.

• Task analysis:
‒ Analyses job components before the job starts.
• Legislation:
‒ Standards, guidance documents.
• Manufacturers’ information:
‒ Operating handbooks, chemical safety data sheets.
• Incident data:
‒ Accidents, near misses, ill health.
Hazard Identification Methods

Task analysis:
is the process of learning about
ordinary users by observing them in
action to understand in detail how they
perform their tasks and achieve their
intended goals.

• Workers/operators:
‒ Maintenance staff.
‒ Cleaners.
• Contractors.
• Visitors.
• Members of the public - even
trespassers.
Step 2: Identify the People at Risk

Vulnerable groups or individuals:
• Young people.
• New or expectant mothers.
• Disabled workers.
• Lone workers.
Step 2: Identify the People at Risk

Is the level of risk acceptable or does it need to be reduced?
Step 3: Evaluating the Risk and Deciding on Precautions
Risk = likelihood × severity
Likelihood Severity
1 = Extremely unlikely 1 = Very minor injury
2 = Unlikely 2 = First-aid injury
3 = Possible 3 = Lost time injury
4 = Likely 4 = Hospital treatment
5 = Very probably 5 = Disabling injury

Risk = likelihood × severity
Step 3: Evaluating the Risk and Deciding on Precautions

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.

• Elimination.
• Substitution.
• Engineering controls.
• Administrative controls.
• PPE.
General Hierarchy of Control

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.
Step 4: Record Significant Findings and Implementing

• Significant change in:
• If it is no longer valid:
• Periodically.
Step 5: Review
‒ Process.
‒ Substances.
‒ Equipment.
‒ Workplace
environment.
‒ Personnel.
‒ Accident.
‒ Near miss.
‒ Ill health.
‒ Change to legal
standards.

Safety Signs
Prohibition Mandatory
Warning
Safe Condition Fire Equipment

Personal Protective Equipment Regulations 1992 (as amended)
• Supply suitable PPE:
‒ Appropriate for risk.
‒ Ergonomically adjustable
‒ 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.
Personal Protective Equipment (PPE)

Discuss the benefits and limitations of PPE as a risk control
method.
Group Exercise

Personal Protective Equipment (PPE)
Merits Limitations
•Can be used as an interim control whilst more
expensive or difficult controls are put in place.
•It only protects one person – the wearer.
•In some situations, it may be the only control
option available.
•It may not protect adequately if it is not fitted
correctly.
•It may be needed as a back up for
emergencies when other controls have failed.
•It may not be comfortable and may interfere
with the wearer’s ability to do the job.
•It is usually cheap. •It may increase overall risk by impairing the
senses (e.g. goggles that mist up).
•It gives immediate protection. •It may not be compatible with other items that
have to be worn or used.
•People do not like wearing PPE.
•If it fails, it fails to danger (the worker is
exposed to risk).

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.
• Ionising radiation.
• Stress.
• Violence.

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?

Lone Workers
Workers especially vulnerable
and more at risk:
• Of violence:
‒ E.g. prison officer, mental health nurse.
• If they are injured or ill:
‒ E.g. confined space entry.

The Management of Change
Element 3.6

The Impact of Change
Change includes changes to work processes, equipment,
practices and construction work (temporary works).
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.

Safe Systems of Work
Element 3.7

Formal
Recorded
Introduction to Safe Systems of Work
Systematic
Examination of work
Hazards
Identified
Safe methods
Defined

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.

• 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.

Developing a Safe System of Work

Worked Example
The Steps In Changing a Wheel:
Step 1 - park the car in a safe location.
Step 2 - remove equipment from boot.
Step 3 - loosen wheel nuts.
Step 4 - jack up car.
Step 5 - remove wheel nuts.
Step 6 - replace wheel and wheel nuts.
Step 7 - lower car, remove jack.
Step 8 - tighten wheel nuts.
Step 9 - replace equipment in boot.

Identifying Controls
For each step:
• First identify the hazards.
• Then identify the controls.
So, Step 1 (changing wheel) might have:
• Hazards - traffic, risk of violence.
• Controls - select location off-road if possible, use hazard
lights, if you feel area is unsafe/at night or if vulnerable
group, call recovery service and stay in car.

Group Exercise
Suggest hazards and controls for each step of the
worked example ‘changing a wheel’.

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!

Group Exercise
Using SREDIM, develop a simple safe system of
work for the task allocated to your group:
• Making a cup of tea.
• Making a batch of cement with a cement-mixer.
• Painting a ceiling (emulsion).

Permit-to-Work Systems
Element 3.8

A formal, documented safety procedure, forming part
of a safe system of work:
• Hot work.
• High-voltage electrical systems.
• Confined space entry.
• Operational pipelines.
• Excavation near buried services.
• Complex machinery.
Definition

• 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.
• Cancellation: permit signed to accept area back under
normal operation.
• Extension: if necessary.
Operation and Application

Emergency Procedures and First Aid
Element 3.9

Group Exercise
What emergencies could occur other than fire?

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.
• 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.
• Personnel:
‒ Trained staff.

First-Aid Facilities and Equipment
Equipment:
• First-aid kits.
• Eye-wash stations.
• Emergency showers.
• Blankets.
• Splints.
• Resuscitation equipment.
• Stretchers.
• Wheelchairs.
• Other equipment as
required.
First-Aid Facilities:
• Centrally located; accessible
by emergency services.
• Clean and adequately
heated, ventilated and lit.
• Hand-wash facilities, chair,
clinical waste bin, etc.

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.
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.

First-Aid Personnel
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?

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.

In this element, we have:
• Described the concept of health and safety culture and its
significance in the management of health and safety in an
organisation.
• Outlined how health and safety culture at work can be improved.
• Identified the human factors which positively or negatively
influence behaviour at work in a way that can affect health and
safety.
• Explained the principles of the five steps to risk assessment and
the general hierarchy of control.
• Examined the general principles of prevention.
Summary

• Identified the control measures associated with management of
change in the workplace.
• Described what may be considered when developing and
implementing a safe system of work for general activities.
• Explained the role and function of a permit-to-work system.
• Outlined the need for emergency procedures and the
arrangements for contacting emergency services.
• Understood what is required for the effective provision of first aid
in the workplace.
Summary

IG1 Element 3.pptx .

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