RRC Diploma A1

NEBOSH International Diploma Unit IA International Management of Health and Safety Elements IA1-IA4

The Course Team Dr Terry Robson, Bsc (Hons), PhD, CFIOSH, MRSC, CChem Acknowledgments Contains public sector information published by the Health and Safety Executive and licensed under the Open Government Licence v1.0 (http://www.nationalarchives.gov.uk/ doc/open-government-licence/). RRC acknowledges with thanks permission from NEBOSH to reproduce questions from past examination papers. Every effort has been made to trace copyright material and obtain permission to reproduce it. If there are any errors or omissions, RRC would welcome notification so that corrections may be incorporated in future reprints or editions of this material. RRC Module No: NIDA1.2 Autumn 2012 edition © RRC Training All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form, or by any means, electronic, electrostatic, mechanical, photocopied or otherwise, without the express permission in writing from RRC Training.

User Guide Before you begin studying, take a moment to read this User Guide. Your course materials have been carefully designed to give you the best possible chance of success. They follow the structure and content of the relevant syllabus and have been divided into units and elements, each of which deals with a general theme. At the start of each element you will find a Contents table and a list of Learning Outcomes. These are important because they give you an idea of the different topics you will be studying and what you are aiming to achieve. Key Information • Each main section of material starts with a Key Information box. This box presents an overview of the important facts, ideas and principles dealt with under the section heading. There is no depth or detail here, just the basics. After the Key Information box comes the main content. More... The main content has been designed to explain and describe the topics specified in the relevant section of More... boxes contain sources of further the syllabus to the expected level. Wherever possible the information. Although the course materials content has been subdivided to give structure. Examples themselves include everything you need to pass have been given to illustrate various ideas and principles the exam, it is worth looking at these additional in a variety of different workplaces. sources if you can. This will give you a broader and deeper understanding. Topic Focus Topic Focus boxes contain depth and detail and concentrate on a very specific topic area. Revision Questions Jargon Buster At the end of each section you will find Revision Questions. These are not past exam questions, Jargon Buster boxes contain descriptions but should be useful for self-assessment. You can or definitions of words or phrases that are mark your answers against the suggested answers referenced in the main content. provided. Hints and Tips Summary Hints and Tips boxes contain simple ideas that Each element finishes with a Summary. This presents a can help you as you work through the materials very concise reflection of the key ideas and principles and prepare for the end of course exam. contained in the element. When you have finished studying an element you might use the summary to test your recall of the detailed information contained within the element. When you have studied all of the elements in a unit you should move on to look at the Revision and Examination Guide and complete your Tutor-Assessed Assignment. Exam Skills After each element you will find a short Exam Skills section containing a past exam question (or two) for you to practise answering. Guidance on how to answer is provided, together with a Suggested Answer for you to compare with your own.



Unit IA: International Management of Health and Safety 1-1 1-3 Contents 1-5 Element IA1: Principles of Health and Safety Management 1-16 Reasons for ManagingHealth and Safety 1-20 Moral Legal Economic Societal Factors Which Influence Health and Safety Standards and Priorities Significant Factors Effective Health and Safety Management Systems Definitions Legal Requirements Relating to Health and Safety Policies and Arrangements Key Elements of an Effective Health and Safety Management System Health and Safety Management Models Quality and Environmental Management Systems Integrated Management Systems Influence of the Financial Reporting Council Guidance on Internal Control HSE/Institute of Directors’ Guidelines “Leading Health and Safety at Work” Role and Responsibilities of the Health and Safety Practitioner Influence on Health and Safety Management Systems Health and Safety Ownership and Conduct Competence and the Requirements for Continuing Professional Development Responsibility to Evaluate and Develop Their Own Practice Ethics and the Application of Ethical Principles Dealing with Conflicts of Interest Summary

Unit IA: International Management of Health and Safety 2-1 Element IA2: Loss Causation and Incident Investigation 2-8 Theories of Loss Causation 2-15 Accident/Incident Ratio Studies 2-27 Domino and Multi-Causality Theories Immediate, Underlying and Root Causes 2-34 Reason’s Model of Accident Causation 3-1 3-6 Quantitative Analysis of Accident and Ill-Health Data Calculating Loss Rates from Raw Data 3-9 Statistical and Epidemiological Analyses in the Identification of Patterns and Trends 3 Presenting and Interpreting Loss Event Data Principles of Statistical Variability, Validity and the Use of Distributions 3-15 3-17 Reporting and Recording of Loss Events (Injuries, Ill-Health, Dangerous Occurrences) and Near-Misses Reporting Requirements and Procedures Internal Reporting and Recording Loss and Near Miss Investigations Purposes of Accident Investigation Investigation Procedures and Methodologies Communications Focusing on Remedial Actions and Lessons Learnt Use of Failure Tracing Methods as Investigative Tools Summary Element IA3: Measuring and Reviewing Health and Safety Performance Purpose of Performance Measurement Assessment of the Health and Safety Objectives and Arrangements Review of Current Management Systems Monitoring Systems Need for Active and Reactive Measures Objectives of Monitoring Limitations of Accident and Ill-Health Data as a Performance Measure Distinctions Between, and Applicability of, Performance Measures Monitoring and Measurement Techniques Range of Measures Available to Evaluate an Organisation’s Performance Measurement Techniques Key Elements and Features of Measurement Techniques In-House and Proprietary Audit Systems Use of Computer Technology to Assist with Data Storage and Analysis and Production of Reports Comparisons of Performance Data Use of Benchmarking Reviewing Health and Safety Performance Formal and Informal Reviews of Performance Review Process Summary

Unit IA: International Management of Health and Safety 4-1 4-4 Element IA4: Identifying Hazards, Assessing and Evaluating Risks 4-7 Sources of Information to Support Hazard Identification and Risk Assessment 4-15 Accident/Incident and Ill-Health Data and Rates 4-28 External Information Sources Internal Information Sources Uses and Limitations of Information Sources Hazard Identification Techniques Hazard Detection Techniques Importance of Worker Input Assessment and Evaluation of Risk Key Steps in a Risk Assessment Temporary Situations Types of Risk Assessment Organisational Arrangements for an Effective Risk Assessment Programme Acceptability/Tolerability of Risk Failure Tracing Methodologies A Guide to Basic Probability Principles and Techniques of Failure Tracing Methods in the Assessment of Risk Summary Suggested Answers to Revision Questions



NEBOSH International Diploma Unit IA Element IA1: Principles of Health and Safety Management

© RRC Training All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form, or by any means, electronic, electrostatic, mechanical, photocopied or otherwise, without the express permission in writing from RRC Training.

Element IA1: Principles of Health and Safety Management 1-1 Contents 1-1 1-1 Reasons for Managing Health and Safety 1-2 1-2 Moral Legal 1-3 Economic Revision Question 1-3 1-4 Societal Factors Which Influence Health and Safety Standards and Priorities 1-4 Significant Factors 1-5 Principle of Corporate Social Responsibility Revision Question 1-6 1-6 Introduction to Management Systems 1-6 1-7 Definitions 1-10 Key Elements of an Effective Health and Safety Management System 1-11 Principles and Benefits of Risk Management on a Global Perspective 1-12 Organisational Models for Health and Safety Management 1-14 Benefits and Limitations of Integrated Management Systems 1-14 Key Typical Components of OHS Management Systems 1-15 Quality and Environmental Management Systems 1-16 Arguments For and Against Integration of Management Systems 1-16 Reasons for the Introduction of Formal Health and Safety Management Systems 1-16 Role of the Health and Safety Policy 1-17 Requirements for a Written Health and Safety Policy and for Recording Arrangements 1-17 General Principles and Objectives of a Health and Safety Policy Document 1-19 Common Health and Safety Management Systems in Global Organisations Influence of Corporate Responsibility and Business Ethics 1-20 Role of Health and Safety in Global Corporate Social Responsibility (CSR) Guidelines and Standards Revision Questions 1-20 1-21 Role and Responsibilities of the Health and Safety Practitioner 1-21 1-21 Influence on Health and Safety Management Systems 1-22 Health and Safety Involvement and Conduct 1-23 Competence and the Requirements for Continuing Professional Development 1-23 Responsibility to Evaluate and Develop Their Own Practice Ethics and the Application of Ethical Principles 1-24 Dealing with Conflicts of Interest Revision Questions Summary Exam Skills © RRC Training

Element IA1: Principles of Health and Safety Management Learning Outcomes On completion of this element, you should be able to demonstrate understanding of the content through the application of knowledge to familiar and unfamiliar situations and the critical analysis and evaluation of information presented in both quantitative and qualitative forms. In particular you should be able to: ‹ Explain the moral, legal and economic reasons for a health and safety management system. ‹ Outline the societal factors which influence health and safety standards and priorities. ‹ Explain the principles and content of effective health and safety, quality, environmental, and integrated management systems with reference to recognised models and standards. ‹ Outline the role and responsibilities of the health and safety practitioner. Get a copy of the course syllabus and mark off each topic as you study it. You might find it helpful to use a scale so you can distinguish between reading the material, understanding it and being confident to answer questions on it in the exam. You will find other helpful Hints and Tips at the start of each element of this Unit – it’s well worth looking through these now, before you start work on this element, as you might find some valuable advice! © RRC Training

Element IA1: Principles of Health and Safety Management Reasons for Managing Health and Safety • There are three fundamental reasons for organisations to manage health and safety risk: • Moral – as human beings we should feel obliged to look after each other’s safety. • Legal – there are strict legal obligations imposed on employers and employees relating to the safety of employees and others affected by the business. • Economic – businesses that address health and safety risk are invariably more successful than those that do not. Loss events such as accidents or ill-health lead to significant direct and indirect costs. Moral Over the years many moral obligations have been turned into health and safety law. For example, the International It is widely accepted that moral reasons should be the Labour Organisation’s (ILO) Occupational Safety prime motivator for managing risk, although whether and Health Convention 1981, C155, identifies some this is actually the case is open to debate in some cases. basic general legal duties of employers towards their employees in Article 16: There is a need to maintain a moral code within our society. Without it, employers may be tempted to treat “1. Employers shall be required to ensure that, so the health and safety of the workforce as being of less far as is reasonably practicable, the workplaces, importance than financial profit. machinery, equipment and processes under their control are safe and without risk to health. Moral reasons are based on the concept of an employer owing a duty of reasonable care to his employees. A 2. Employers shall be required to ensure that, person does not expect to risk life and limb, or physical so far as is reasonably practicable, the chemical, health, as a condition of employment. physical and biological substances and agents under their control are without risk to health when the Society expects every employer to demonstrate a appropriate measures of protection are taken. correct attitude to health and safety to his workforce. It is unacceptable to place employees in situations where 3. Employers shall be required to provide, where their health and safety is at risk. Statistics relating to necessary, adequate protective clothing and accidents/incidents and ill-health help to reinforce the protective equipment to prevent, so far is reasonably message that health and safety should be effectively practicable, risk of accidents or of adverse effects on managed. These statistics also demonstrate that health.” proportionately those who work for small businesses are at significantly greater risk than those who work for large There are strong legal reasons for employers to manage organisations. This is clearly morally wrong. risk: In addition to the obvious duties owed by an employer • Preventive - enforcement notices (improvement to his workers, he also has a moral obligation to protect or prohibition) can be issued by enforcement other people whose health and safety may be affected inspectors. by his undertaking, e.g. contractors or members of the public. • Punitive - where the criminal courts impose fines and imprisonment for breaches of legal duties. These Legal punishments can be given to the company or to individuals within the company. In an ideal world organisations would all “self regulate” or “self police”, so that organisations identified and • Compensatory - where employees are able to sue in enforced the most appropriate health and safety the civil courts for compensation. standards for their activities. This has several advantages, two of which are that each business is in the best position to regulate its own activities and it would also avoid the need to have a separate (and costly) regulator. Unfortunately not all organisations are sufficiently motivated or enlightened. © RRC Training Unit IA – Element IA1 | 1-1

Element IA1: Principles of Health and Safety Management Economic of more subtle items such as loss of morale (leading to lower productivity) and loss of goodwill/public image Accidents and ill-health are costly. These costs may be (resulting in lower sales) may be next to impossible. calculable arising directly from the accident, such as sick There are clearly financial benefits to be gained from pay, repairs to damaged equipment, fines and legal fees, positive health and safety management. Employers with or more difficult to assign a monetary value to such good health and safety management systems in place are as lost orders and business interruption. In practice, likely to save substantial sums on the costs of accidents the costs that are more difficult to calculate are often that would otherwise have happened. substantially more than those that are easier to assess. Revision Question All employers are required to have certain types of insurance against accidents, ill-health or other problems, 1. Identify five costs of accidents that insurance such as: will not cover. • Employers’ liability insurance. (Suggested Answers are at the end of the Unit IA.) • Public liability insurance. • Motor vehicle insurance. These insurances will cover some of the costs of accidents and ill-health, e.g. compensation claims from employees and damage to motor vehicles. However, many of the costs cannot be insured against, such as: • Product and material damage. • Lost production time. • Legal costs in defending civil claims, prosecutions or enforcement action. • Overtime and other temporary labour costs to replace the injured worker. • Time spent investigating the accident and other administration costs (including supervisor's time). • Fines from criminal prosecutions. • Loss of highly trained and/or experienced staff. • Effects on employee morale and the resulting reduction in productivity. • Bad publicity leading to loss of contracts and/or orders. In a study by the UK’s Health and Safety Executive it was shown that uninsured (hidden) costs can be eight to 36 times the known insured costs. This was illustrated as an “iceberg” model – where much of the costs (the uninsured ones) lay hidden beneath the water. Some of these costs are of indeterminate value. This underlines the difficulty an organisation may have in attempting to find out the true cost of accidents to the business. The company may not have enough people with the correct level of expertise and time to perform the analysis. They may not even appreciate that some costs exist and so miss them entirely. The culture of the organisation might mean that many incidents are never reported and so never find their way into statistics used as a basis for costing. Some costs may not be known accurately for a long time, e.g. where a civil case is on-going and there may be a substantial compensation award. Obtaining realistic cost estimates of the impact Unit IA – Element IA1 | 1-2 © RRC Training

Element IA1: Principles of Health and Safety Management Societal Factors Which Influence Health and Safety Standards and Priorities • Economic climate - wealthy countries can afford to give occupational health and safety a higher priority than the developing nations. • Government policy - those who work tend to be healthier than those who are unemployed; improving workers’ health will help keep people at work, and they can then contribute financially to society. • Risk profile - higher risk activities demand greater standards than those for lower risk activities. • Globalisation - businesses that operate across the world may adopt different standards depending on the requirements of the host countries. • Migrant workers - in recent years immigration policies have increased the proportion of migrant workers. • Societal expectations of equality - health and safety standards and priorities may include the requirement to make adjustments to the workplace to accommodate workers with disabilities. • Corporate social responsibility - the voluntary actions that businesses undertake to address not only their own needs but also those of the wider society. Significant Factors Level of Sickness Absence Economic Climate In the UK sickness absence is generally lower than it was in the 1990s, but is still substantial with 175 million days The wealthiest countries of the world, where individuals lost to sickness absence each year. Incapacity benefits have access to the basic necessities for life such as food, are paid to those who are unable to work because of ill- clean water and shelter, have the funding to create and health or disability. enforce good occupational health and safety (OHS) standards. In countries where individuals do not have Societal Expectations of Equality these resources it is inevitable that OHS is given a relatively lower priority. Health and safety standards and priorities can be determined by changes in societies’ expectations of Government Policy and Initiatives equality. The government has a major influence on OHS policy In the UK the Equality Act 2010 aims to protect through its ability to create legislation. In 2008 the UK disabled people and prevent disability discrimination. government published a document entitled Working for The Equality Act provides legal rights for disabled a Healthier Tomorrow which made the following points: people in the area of employment, requiring employers to make reasonable adjustments to the workplace to • Life expectancy in the UK is higher than ever, yet accommodate workers with disabilities. Consequently millions of working days are lost to work-related acceptable access and egress to a workplace may need illness. to include provision of ramps and lifts in order to comply with these expectations of equality and the legal • Evidence suggests that the working population is obligations associated with them. healthier than those who do not work. Families without a working member are likely to suffer Industry/Business Risk Profile persistent low income and poverty. Not surprisingly, higher risk work activities require higher • Improving the health of the working age population standards of control than those that create lower risks. is critically important for everyone to secure higher For example, nuclear power stations each operate under economic growth and its associated benefits. a site licence and demand very rigorous OHS standards. © RRC Training Unit IA – Element IA1 | 1-3

Element IA1: Principles of Health and Safety Management Globalisation of Business Many businesses of all sizes operate both nationally and internationally and resolving differences in culture and communication may create different expectations and standards. Migrant Workers As a result of more flexible immigration policies the proportion of migrant workers in workforces is generally increasing and cultural and communication issues may influence OHS standards. Principle of Corporate Social Responsibility Corporate social responsibility is the term used to describe the voluntary actions that business can take, over and above compliance with minimum legal requirements, to address both its own competitive interests and the interests of the wider society. Businesses should take account of their economic, social and environmental impacts, and act to address the key sustainable development challenges based on their core competencies wherever they operate – locally, regionally and internationally. Unit IA – Element IA1 | 1-4 Revision Question 2. Explain what is meant by the term ‘corporate social responsibility’. (Suggested Answers are at the end of Unit IA.) © RRC Training

Element IA1: Principles of Health and Safety Management Introduction to Management Systems • Risk management is useful to organisations and enables them to consider potential business impacts of fore- seeable events, formulate and carry out risk elimination/control, improve corporate governance, achieve business objectives in a more targeted/efficient way, and retain/improve shareholder confidence. • Most organisations have management systems for one or more aspects of management and two important models are: – ILO-OSH-2001 Guidelines on Occupational Health and Safety Management Systems (ILO, 2001). – OHSAS 18001 Occupational Health and Management Systems: Specification (British Standards Institution, 2007). • The key components in an effective health and safety management system are: – Management commitment. – Policy. – Organising. – Planning and implementing. – Performance review. – Audit. – Continual improvement. • Total quality management and environmental management systems are detailed in: – ISO 9000 series. – ISO 14000 series. • For organisations wishing to have control over safety, environment and quality, it may be possible to implement an integrated management system (IMS) rather than individual systems, but there are arguments for and against integration. • The management system models offer a framework against which to allocate resources and responsibilities, set and monitor performance standards and establish systems for feedback and implementation of corrective action in order to minimise loss. • The health and safety policy sets the whole framework of the safety management system and is an important vehicle for the communication of health and safety information. • A health and safety policy may be a requirement of national legislation in some regions. • The health and safety policy usually comprises a statement of intent, an organisational structure and the systems and procedures in place to manage risks and should include objectives that will contribute to busi-ness performance. • The introduction of common health and safety management principles, standards and systems in organisations operating on a worldwide basis has both benefits and limitations. • Corporate responsibility, where businesses take account of their social, economic and environmental impacts, and business ethics should have a positive effect on health and safety management. © RRC Training Unit IA – Element IA1 | 1-5

Element IA1: Principles of Health and Safety Management Definitions Key Elements of an Effective Health and Safety Management System Hazard A hazard is something (an object or situation) with All management systems, whether they are the potential to cause harm. designed to manage health and safety or any other function, have the same common It can sometimes be helpful to categorise hazards into elements: types such as: • Plan - implies having a considered policy. • Physical, e.g. rotating blade of a circular saw. • Do - concerns the arrangements for putting • Chemical, e.g. strong acids and alkalis. • Biological, e.g. contagious disease. the plan into practice. • Psychosocial, e.g. excessive workload. • Check – means it is necessary to assess or monitor performance. • Act – means performance should be reviewed leading to continuous improvement in the management system. Notice how each of these elements is described in the models we now look at. Risk Principles and Benefits of Risk Risk is the likelihood that a specified harm from a Management on a Global Perspective particular hazard is realised. “Risk management” has been defined as: “the culture, Risk is a computation of the likelihood of harm being processes and structures that are directed towards real- done and the severity of that harm. The term ‘risk’ ising potential opportunities whilst managing adverse carries the idea of ‘chance taking’. Risk may be taken effects” (from the AS/NZ 4360 Risk Management Stan- after careful consideration of the consequences or dard). Everything we do in life involves some element of just out of ignorance. The result of risk-taking can be risk. Good businesses take calculated risks all the time. fortunate or disastrous, or anything in between. They seek to maximise their opportunities and minimise the adverse effects. Danger Danger is a liability or exposure to harm; a thing that The following figure shows the place of health and causes peril. safety risks in business (based on that in the Institute of Oc-cupational Safety and Health (IOSH) document on The term ‘danger’ is a general word, but carries the idea Business Risk Management, available from: of harm to a person. www.iosh.org.uk). Unit IA – Element IA1 | 1-6 Health and Safety Risks in Business © RRC Training

Element IA1: Principles of Health and Safety Management Health and safety management should not be seen as Organisational Models for Health and something separate from business. For example, poor Safety Management health and safety management can have a severe impact on brand/image/reputation, insurance premiums, etc. Most organisations have management systems for one Health and safety is largely concerned with pure risks or more aspects of management. Two models are out- (i.e. where there is only loss – such as disease, damage, lined below. injury). OHSAS 18001 Occupational Health and Loss control is also concerned with pure risks but is Management Systems: Specification. British wider in scope, additionally encompassing fire, security, Standards Institution, 2007 environment and business recovery considerations. OHSAS 18001 is a certifiable health and safety management system standard that was introduced Risk management is wider still and is concerned with in 1999 and revised in 2007. Its purpose is to help speculative risks (i.e. where there could be loss or gain). organisations create management systems that their It involves additional consideration of finance, insurance, stakeholders can see have required characteristics. brand/reputation, business continuity, etc. Although published in the UK by BSI, OHSAS 18001 was also subject to separate international negotiation Corporate governance is even wider and is concerned and agreement. Compliance with certifiable standards is with holistic risk (i.e. looking at risks as a whole, taking demonstrated through audit by a certifying body, which account of the interaction/impact of different risks itself should be accredited by the UK Accreditation on the business). It adds to risk management by using Service (UKAS). management systems and incorporates such things as corporate social responsibility (CSR) and socially Certification responsible investing (SRI). The process by which a company wishing to Risk management involves the following distinct move to, say, a safety management system based activities: on OHSAS 18001 gets certified, registered or approved to that standard. • Risk identification: by using inspections/checklists, task analysis, SWOT (strengths, weaknesses, Certification body opportunities, threats), etc. An organisation such as BSI or LRQA (Lloyd’s • Risk evaluation: based on economic, social, legal Register Quality Assurance) which carries out the considerations with data on frequency of occurrence, certifica-tion process. severity of business consequences, etc. Accreditation • Risk elimination and control: avoidance, transfer, retention, reduction. The process by which certification bodies have their processes assessed to see if they meet the • Monitoring. Regulatory Authority’s (or Accreditation Body’s) standards (in the UK, this is the United Kingdom • Audit. Accreditation Service (UKAS)). • Review. So, an individual organisation gets certification to a standard like OHSAS 18001; the certifying body Monitoring/audit and review are common to many that awards that standard (e.g. LRQA) can do so management models. because it has accreditation from UKAS. Risk management is useful to organisations. Amongst other things, it enables them to: • Look at potential business impacts of foreseeable events. • Respond to changes in risk perception. • Formulate and carry out risk elimination/control. • Improve corporate governance (by incorporating risk elimination/control strategies into the organisation’s general processes). • Achieve business objectives in a more targeted/ efficient way, e.g. working towards regulatory compliance. • Retain/improve shareholder confidence. © RRC Training Unit IA – Element IA1 | 1-7

Element IA1: Principles of Health and Safety Management The following figure is based on that included in the Planning OHSAS 18001 standard. This is needed for the effective identification of hazards Occupational Health and Safety Assessment Series 18001 (OHSAS and assessment and control of risks. This means that 18001): Health and Safety Management Model the organisation needs procedures to cover risks in all activities, and for identifying any applicable law. The or- This model is based on ISO 14001 and HSG65 (a health ganisation should establish health and safety objectives and safety management system favoured by the UK HSE) consistent with the health and safety policy and establish and requires an organisation to determine its existing a management programme to achieve those objectives. health and safety activities, and to develop programmes The management programme will include designation of and systems that focus on the elimination of risk to staff roles/responsibilities, timescales, etc. and other parties. These processes are then developed into a management system that aims to ensure that Implementation and Operation health and safety performance is continuously monitored and improved. The necessary organisational structure and resources Companies cannot simply claim that they have a need to be put in place to implement the plans, though standard that meets the requirements of OHSAS top management retain ultimate responsibility. People 18001 – they have to go through a certification process, should be competent to perform their designated roles overseen by an independent external certification body and this may involve training and maintaining awareness. such as BSI or LRQA, which sends an auditor to verify The organisation requires systems in place to make sure that the company’s system meets the OHSAS 18001 that health and safety information is communicated to/ standard. This is a major difference when compared with from employees. Employees should also be consulted ILO-OSH-2001 (see below), which does not require such on health and safety matters and involved in the external certi-fication. development and review of policies and procedures. OH&S Policy It is important to document the systems and exercise This should state the overall health and safety objectives control over those documents (so that they are of the organisation and express commitment to im- accessible, periodically reviewed, kept up to date (version proving health and safety performance. To demonstrate control), retained (e.g. legal requirements for document that commitment, the policy should be authorised reten-tion)). There should be documented procedures by top management. The policy should commit the where necessary to control risks arising from the range organisation to continual improvement and compliance of op-erations within the organisation. In particular, with legislation. It should be communicated to all there should be plans and procedures (which should be employees and other interested parties and kept up to regularly tested) to cover potential emergencies. date by pe-riodic review. It should also be documented. Checking and Corrective Action The organisation needs procedures to ensure that it regularly measures and monitors health and safety per- formance (proactive, reactive, qualitative, quantitative). Procedures should also be in place to record and inves- tigate accidents/non-conformances and to make sure that remedial actions are implemented and that such ac-tions have been effective. Occupational health and safety data (including audit and review results) should be recorded. There should be an audit programme to identify whether the occupational health and safety man- agement system is operating as planned and is effective. Company employees can conduct audits. These are known as internal audits and are a method of self- regulation, which enable the company to assess its own performance against the standard. External audits are conducted by people from outside the company and give a valuable third-party viewpoint, which many people see as being more impartial. The certification body will be one such external organisation and will conduct audits when certification to a particular standard is about to expire. Unit IA – Element IA1 | 1-8 © RRC Training

Element IA1: Principles of Health and Safety Management Management Review Organising This is the job of top management. The whole system should be periodically reviewed to make sure it continues Whilst the employer retains overall responsibility for to be effective. This relies on results gathered during health and safety, specific roles should be delegated/ the “checking and corrective action” stage. The review allocated throughout the organisation, including may, in turn, lead to changes in the policy, objectives and delegation of responsibility, accountability and authority. other elements of the management system. It should, The structure and processes need to be in place to, like everything else, be documented. amongst other things: ILO-OSH-2001 Guidelines on Occupational • Actively promote co-operation and effective two- Health and Safety Management Systems. ILO, way communication in order to implement the 2001 safety management system. The figure below illustrates the elements of this system and is reproduced by kind permission of the • Establish arrangements to identify and control International Labour Organisation (ILO). Note that workplace risks. the basic elements are very similar to OHSAS 18001 in concept. It is intended that the safety management • Provide supervision. system should be compatible with, or integrated into, other management systems within the organisation. • Provide adequate resources, etc. Model Health and Safety Management System (ILO-OSH-2001) Particularly recommended is the appointment of a senior individual to oversee the development and maintenance Policy of the occupational health and safety management Developed in consultation with workers, this should system elements as a whole, promoting participation and be signed by a senior member of the organisation. It periodic performance reporting. should commit the organisation to protecting the health and safety of employees, compliance with applicable Competence and training are stressed as key elements laws and guidance, consultation with employees and needed to implement such a programme. Occupational their participation, and continuous improvement. The health and safety management system documentation guidance stresses forcefully the importance of employee (policy, objectives, key roles/responsibilities, significant consultation and participation in all elements of the hazards and methods of prevention/control, procedures, safety management system for it to be effective. As etc.) should be created and maintained. Additionally, such the ILO-OSH guidelines strongly recommend the records should be kept, e.g. accident data, health es-tablishment of a health and safety committee and the surveillance and other monitoring data. recognition of safety representatives. Planning and Implementation This should start with an initial review to understand the organisation’s current position. It should: identify applicable laws, standards, guidelines; assess health and safety risks to the organisation; determine if existing (or planned) controls are adequate; analyse health surveillance data, etc. This initial review provides the baseline for future continuous improvement. The next stage is the planning, development and implementation of the safety management system (based on the results of initial or subsequent reviews). This should involve the setting of realistic, achievable objectives and the creation of a plan to meet those objectives, as well as selecting appropriate measurement criteria which will later be used to see if the objectives have been met and for the allocation of resources. Preventive and protective measures should be planned and implemented to eliminate and/or control risks to health and safety. These should follow the general hierarchy of control: eliminate; control at source (using engineering and organisational measures); minimise (safe systems of work, including administrative controls); and PPE if risks cannot be adequately controlled by collective measures. © RRC Training Unit IA – Element IA1 | 1-9

Element IA1: Principles of Health and Safety Management Management of change is also important. Changes Like audits conducted under OHSAS 18001, audits may occur internally (new processes, staff, etc.) as well under ILO-OSH-2001 can be internal or external as externally (legal changes, mergers, etc.) and it is although, unlike OHSAS 18001, external audits are not important to manage those changes in a systematic way. mandatory. In the case of ILO-OSH-2001, external audits Risk assessment is a key part of that, as well as ensuring are not conducted by a certification body, since there that people are consulted and that any proposed is no certification requirement. Instead, if the company changes are properly communicated to those likely to be wants one, independent auditors who are specifically affected. commissioned for the task can carry them out. The audit should ultimately make conclusions about the Plans should also cover foreseeable emergencies effectiveness of the occupational health and safety (prevention, preparedness and response aspects) such as management system. fire and first-aid. A management review should evaluate the overall Procurement procedures should make sure that health occupational health and safety management system and and safety requirements (national and organisational) are progress towards the organisation’s goals. It will use data an integral part of purchasing and leasing specifications. from monitoring, measuring and auditing of the sys- tem as well as take account of other factors (including You should also ensure that the organisation’s health and organisational changes) that may influence the system in safety requirements are applied to contractors (including the future. It will establish if changes are needed to the contractor selection and their work on site (hazard system (or components of it). The results need to be awareness, training, co-ordination and communication, recorded and communicated. accident reporting, site rules, compliance monitoring, etc.)). Action for Improvement Evaluation Occupational health and safety management system performance monitoring, audits and management Procedures need to be in place to monitor, measure and reviews will necessarily create a list of corrective record the performance of the health and safety system. actions. You must ensure that, firstly, you establish the You should use a mixture of qualitative and quantitative root causes of the problems requiring correction and, and active and reactive performance measures, and secondly, there is a system in place for making sure not just rely on accident rate data! Active monitoring that actions are carried out (and checks made on their includes things such as inspections, surveillance, effectiveness). compliance with laws, achievement of plans, etc. Reactive monitoring includes reporting and investigation Continual Improvement of accidents/ill-health and occupational health and safety system failures. Accidents, etc. should be properly The organisation should strive to continually improve. It investigated to determine the root cause failures in the should compare itself with other similar organisations. system. Investigations should be properly documented and remedial action implemented to prevent recurrence. Benefits and Limitations of Integrated Management Systems The organisation should have an audit policy (scope, competency, frequency, methodology, etc.). Audits seek For organisations wishing to have control over more than to evaluate the performance of the occupational health one aspect of risk management, e.g. safety, environment and safety management system elements (or a sub-set) and quality, it may be possible to implement an and should at least cover: policy; worker participation; integrated management system (IMS) rather than responsibility/accountability; competence and training; individual systems. Though it may make sense in theory, documentation; communication; planning, development, implementing an IMS is not an easy task, and there are a implementation; preventive and control measures; variety of factors to be taken into account. management of change; emergency preparedness; procurement; contracting; performance monitor- ing/measurement; accident investigations; audits; management review; preventive and corrective action; and continuous improvement. Unit IA – Element IA1 | 1-10 © RRC Training

Element IA1: Principles of Health and Safety Management Arguments for integration: • A well-planned IMS is likely to operate more cost-effectively than separate systems, and facilitate decision- making that best reflects the overall needs of the organisation. • An IMS offers the prospect of more rewarding career opportunities for specialists in each discipline. • The objectives and processes of management systems are essentially the same. • Integration should lead to the avoidance of duplication, e.g. in personnel, meetings, electronic record-keeping, software, audits and paperwork. • Integration should reduce the possibility of resolving problems in one area at the expense of creating new difficulties in other disciplines. • An IMS should involve timely overall system reviews where momentum in one element of an IMS may drive forward other elements that might otherwise stagnate. In contrast, independent systems could develop without regard to other management system elements, leading to increased incompatibility. • A positive culture in one discipline may be carried over to others. Arguments against integration: • Existing systems may work well already. Integration may threaten the coherence and consistency of current arrangements that have the support of everyone involved. • Relevant specialists may continue to concentrate on the area of their core expertise and further specialist training may not be needed. • Uncertainties regarding key terms – already a problem in health and safety – would be exacerbated in an IMS. • System requirements may vary across topics covered, e.g. an organisation may require a simple quality system, but a more complex health and safety or environmental performance system. An IMS could introduce unreasonable bureaucracy into, in this case, quality management. • Health, safety and environmental performance are underpinned by legislation and standards, but quality management system requirements are largely determined by customer specification. • Regulators and single-topic auditors may have difficulty evaluating their part of the IMS when it is interwoven with other parts of no concern to the evaluator. • A powerful, integrated team may reduce the ownership of the topics by line management. • A negative culture in one topic may unwittingly be carried over to others. Key Typical Components of OHS Planning and Implementing Management Systems For OHSAS “Planning” is broken out as a separate step but “Implementing” is covered under “Implementation Management Commitment and Operation”. Without commitment from the top, the management system will not be effective. This is usually described in Performance Review sections on “Policy” and “Organising” in management ILO-OSH covers this under “Evaluation”. OHSAS covers system models. this under “Checking and Corrective Action” and “Man- agement Review”. Policy This is the same for OHSAS 18001 and ILO-OSH. Audit This is part of ILO-OSH and OHSAS and is usually Organising discussed in the section on reviewing/evaluating For OHSAS this is part of the “Implementation and performance of the system as a whole. Operation” step. © RRC Training Unit IA – Element IA1 | 1-11

Element IA1: Principles of Health and Safety Management Continual Improvement The standard consists of five main clauses which are The processes involved in effective health and safety inter-related: management systems should lead to the continuous monitoring and improvement of health and safety • Quality Management System (QMS) performance. Establish, document, implement, maintain and continually improve a QMS. Have in place the Quality and Environmental Management relevant documentation (quality policy, objectives, Systems manual, procedures, records) and processes to control those documents and records (i.e. version BS EN ISO 9001:2008 - Quality Management control). Systems ISO 9001 specifies requirements for a quality • Management Responsibility management system where an organisation has to This covers: commitment, customer focus, demonstrate its ability to consistently provide a product quality policy, planning, responsibility, authority, or service that meets customer and applicable regulatory communication, and management Review. requirements. Just like OHSAS 18001, organisations can be audited against this standard and their compliance • Resource Management certified accordingly. Provision of: resources, competence/training/ awareness, infrastructure, work environment. ISO 9001 is part of a family of standards in the same series. In particular it is based upon, and needs to be • Product Realisation understood in the context of, the eight quality principles This is everything from inception to delivery of the outlined in ISO 9000 and ISO 9004: product, so covers: planning of processes, customer/ product requirements, customer communication, 1. Customer Focus – understand customer needs design/development, purchasing, production/ (current and future), meet customer requirements, service provision, monitoring/measuring equipment. exceed customer expectations (customer satisfaction). • Measurement, Analysis and Improvement Customer satisfaction, internal auditing, monitoring 2. Leadership – create and maintain internal and measurement of processes and product, control environment which encourages involvement. of non-conforming product, analysis of data, improvement (continual improvement, corrective 3. Involvement of people – full involvement/ actions, preventive action). contributions by everyone. ISO 9001 promotes the adoption of a process approach 4. Process approach – it is more efficient to manage that may be used to identify and manage numerous activities and resources as a process (inputs-process- linked activities. outputs). Processes should at least cover the following areas: management responsibility, resource Jargon Buster management, product realisation, measurement, analysis and improvement. Process approach 5. Systems approach to management – it is more This is where individual activities and their effective and efficient to manage interrelated related resources are identified and managed as processes as a system. a process (each with their inputs and outputs). An organisation can be viewed as a system 6. Continual Improvement – of the overall performance comprising a network of these interrelated should be a permanent objective. processes (where outputs of one process can be the inputs for others). 7. Factual approach to decision-making – decisions are more effective if based on analysis of data/ An advantage of the process approach is the on-going information. control it provides over the linkage between the individual processes, as well as over their combination 8. Mutually beneficial supplier relationships – the and interaction. You can see the process approach interdependency of client and supplier. outlined in the following: Unit IA – Element IA1 | 1-12 © RRC Training

Element IA1: Principles of Health and Safety Management Model of a Process-Based Quality Management System This model shows that customers play a major role in BS EN ISO 14001: 2004 – Environmental defining requirements as inputs and the monitoring Management Systems – Requirements with of customers’ satisfaction requires the evaluation of Guidance for Use information relating to customer perception. BS EN ISO 14001 is a stand-alone, auditable One major insurance company has made the point that environmental management system standard for ISO 9001 is a good way of involving top management in certification. Study the next figure carefully. The steps safety matters. Senior management usually complain represent the stages in the process. Once again, a that safety is beyond their sphere of experience, yet general management framework approach is applied, they are familiar with the approach of ISO 9001 from and there are clear similarities with ISO 9001 and OHSAS a quality control viewpoint. Therefore, if the provision 18001 (the latter in part being based on ISO 14001 in of a “safe system of work” is discussed from the ISO any case). 9001 stance, senior managers are already familiar with the terminology adopted and are more likely to become involved. In this way, safety is integrated into the total performance of the company and not treated as a separate issue. The similarity and compatibility of the safety management systems and the quality management systems mean that management committed to quality systems have few problems in widening the scope to include safety and health. © RRC Training Unit IA – Element IA1 | 1-13

Element IA1: Principles of Health and Safety Management The ISO 14001 Model Arguments For and Against Integration of Management Systems 1. Environmental Policy This obviously needs very careful consideration. Set We discussed these earlier when we considered the policy and have effective means of measuring the the benefits and limitations of integrated quality, performance. environmental, and health and safety management systems. 2. Planning Detailed consideration of how the policy is to be Reasons for the Introduction of Formal carried out. The planning must include forward Health and Safety Management Systems planning, and plans for continual improvement. The management system models we have discussed offer 3. Implementation and Operation a framework for management to focus on in order to A vital point in implementation is the total manage health and safety – policy, organising, planning commitment of all managers to the full and implementing, measuring performance, reviewing implementation of Total Quality Management. performance, auditing the system. 4. Checking Management involves: As with all management systems there will need to be periodic checks. These must be clearly spelt out, • Policy-making. stating what is checked, how, and who takes action. • Setting objectives and performance standards. 5. Management Review This is the main review of efficiency and • Providing resources. effectiveness. Management action and changes may need to be implemented. • Making judgments - considering alternatives. 6. Continual Improvement • Coming to decisions. The circle has to be closed. If changes need to be made then these will involve the policy, the planning • Taking action. and the implementation stages • Accountability. • Monitoring and control. Safety legislation places on management the major responsibility for the health and safety of workers and others on a company's premises. While most of these duties cannot be delegated, the day-to-day activities clearly are. In this section, we examine some practical management issues in more detail. Appropriate Allocation of Resources The provision of both financial (for equipment, training, consultancy, etc.) and manpower (enough and with the right skills) resources is essential in the management of health and safety. Risk assessment is a powerful tool for identifying priorities for which resources need to be allocated. However, management expects that the benefits will outweigh the costs because accidents and compensation for occupational illness can be very expensive items. Costs of accident and ill-health prevention need to be carefully controlled and effective. An important factor in this equation is that the costs of accident prevention have a 'lead time'. Money has to be spent in advance of the benefits being felt. Safety training, which is also a requirement of legislation, shows results some time after the expenditure has been incurred. Unit IA – Element IA1 | 1-14 © RRC Training

Element IA1: Principles of Health and Safety Management The safety practitioner needs to think very carefully Responsibilities should be linked to specific outputs. about ways of calculating the cost of accidents and Good performance standards should identify: ill-health, so that there are definite figures available to demonstrate the benefits of any accident reduction • Who is responsible - either by name or position. which has been achieved. We look at cost/benefit Those given responsibilities should be competent to analysis in a later element. carry out the tasks. Appropriate Allocation of Responsibilities • What they are responsible for - what needs to be Part of management control is making sure that done and how it is to be done. responsibilities for specific tasks and roles are allocated to individuals within the organisation. • When the work should be done - is it a regular occurrence, such as a monthly inspection, or irregular Responsibilities must: and only when certain tasks are carried out? • Be clear (especially important when third parties • What the expected result is - do any legal are involved) – people should know what they are requirements have to be satisfied, such as attaining a responsible for. certain level of noise? The result may, alternatively, be the achievement of a specified organisational • Be allocated to individuals who have the necessary output, such as training. competence. To ensure that the standards are being achieved, • Be supported with necessary resources. it is important to monitor them. This will allow shortcomings to be identified and action taken to correct • Go hand in hand with accountability. them. Monitoring should be seen as an integral part of the management system and not as 'checking up' on Everyone will have responsibility for health and safety individuals. to some extent but some will have specific additional responsibilities, such as: Feedback and Implementation of Corrective Action • Preparing plans to implement the health and safety policy. For any system to be effective, it is necessary to have a complete loop that allows for action to be taken where • Carrying out risk assessments in accordance with discrepancies are identified. By feeding back, to the specific regulations. appropriate people within the organisation, information obtained during monitoring and audit processes, suitable • Periodic monitoring of health and safety corrective action can be implemented. Without this performance. important function, the whole management system will fail to develop and become a paper exercise with no • Providing training. discernible improvement in safety. • Checking contractors' health and safety performance Role of the Health and Safety Policy before awarding contracts. In Relation to a Health and Safety Management • Providing first-aid after an accident. System Setting and Monitoring Performance Standards The policy sets the whole framework of the safety In order to determine how well an organisation is management system (SMS). From an SMS point of view, performing in any function it is necessary to have the policy is just a statement of intent – a demonstration something to measure. It is important to ensure of commitment. It frames the company vision on that everybody knows what is expected of them in health and safety. The policy should state the overall controlling risks within the organisation. Performance health and safety objectives of the organisation and standards should ensure that the intentions of the safety express commitment to improving health and safety policy are transferred into action. Standards should be performance; to demonstrate that commitment, it measurable, achievable and realistic. should be author-ised by top management. It should commit the organisation to continual improvement Standards should: and compliance with leg-islation, and should be communicated to all employees and other interested • Set out clearly what people need to do to contribute parties and kept up to date by peri-odic review. to an environment which is free of injuries, ill-health and loss. • Help identify the competencies which individuals need to fulfil their responsibilities. • Form the basis for measuring individual, group and organisational performance. © RRC Training Unit IA – Element IA1 | 1-15

Element IA1: Principles of Health and Safety Management As a Vehicle for the Communication of Health • Recognising that the development of a culture and Safety Information supportive of health and safety is necessary to A health and safety policy: achieve ade-quate control over risks. • Tells people about a company’s approach to • Ensuring a systematic approach to the identification managing health and safety. of risks and the allocation of resources to control them. • Communicates the organisation’s commitment to health and safety to existing employees (preferably • Supporting quality initiatives aimed at continuous by means of their own copy). improvement. • Can be used: Common Health and Safety Management Systems in Global – In the induction of new employees (to stress the Organisations importance of safety). Simplistically, implementation steps must include: – To involve workforce representatives in writing and amending the policy, when necessary. • Choose a safety management system – what might influence your choice? – At regular briefing sessions to communicate information relating to different sections of the • Initial status review (gap analysis). policy. • Make it happen – harder than it sounds! Requirements for a Written Health and Safety Policy and for Recording The gap analysis will need a number of inputs, such as: Arrangements • Information relating to risk assessment. A health and safety policy may be a requirement of national legislation in some regions. Even if it is not a • Review of occupational safety and health legal requirement, it is required by ILO-OSH 2001 (which performance (accident statistics, etc.). supports ILO conventions) and OHSAS 18001. • Information on current occupational safety and The policy should be documented (paper or electronic) health management arrangements and procedures. and authorised by top management (e.g. chief executive officer). The policy is meaningless on its own; it • Competence and training needs. needs to be implemented through “organisation” and “arrangements” within a safety management system. • Worker participation. General Principles and Objectives of a • Standards (legal, guidance on best practice, codes of Health and Safety Policy Document practice). The health and safety policy is usually made up of: This is then used to formulate an occupational safety and health management plan to cover: • A statement of intent that sets out the aims and objectives of the organisation regarding health and • Policy. safety. • Risk assessment. • An organisational structure that details the people with health and safety responsibilities and their • Management arrangements for occupational safety duties. and health. • The systems and procedures in place to manage risks. • Competence and training needs. Effective health and safety policies contribute to business Most safety management systems come with extensive performance by: practical guidance in subsidiary documents, which tell you how to get started and continue the process. It • Supporting human resource development. takes time, resources and commitment to achieve the perfect system and then implement it. Accept that your • Minimising the financial losses which arise from initial system will not be perfect and use the in-built avoidable unplanned events. mechanisms of audit, performance measurement, review, etc. to continually improve the system. Fundamental to • Recognising that accidents, ill health and incidents this process is the safety culture within the organisation result from failings in management control and are (see later elements). not necessarily the fault of individual employees. Unit IA – Element IA1 | 1-16 © RRC Training

Element IA1: Principles of Health and Safety Management Some of the drivers, benefits and limitations of Role of Health and Safety in Global implementing common systems, principles and standards Corporate Social Responsibility (CSR) within a global organisation include: Guidelines and Standards • A formal occupational health and safety management UN Global Compact system approach is increasingly favoured by regulators throughout the world, and may be legally The Global Compact is a CSR initiative. The ultimate required in some regions. vision is a more sustainable and inclusive global economy. The principles are based on a number of well known • Modern goal-setting legislation implies the need agreements: for an occupational health and safety management system as a form of “self-regulation”. • Universal Declaration of Human Rights. • Multi-national organisations favour a consistent, • International Labour Organisation's Declaration on standardised approach throughout the organisation Fundamental Principles and Rights at Work. – just like the business management system (“globalisation”). • The Rio Declaration on Environment and Development. • Possible cultural/social and legal barriers. • United Nations Convention Against Corruption. • Possible resistance to change (adequacy of existing systems, bureaucracy, cost). The fundamental “ten universal principles” of the Global Compact (subscription to which is voluntary) are de- Influence of Corporate Responsibility scribed below (with some examples of possible health and Business Ethics and safety management system contributions). “Corporate responsibility” (also called corporate social Human Rights responsibility) is difficult to define and is used to cover Principle 1: Businesses should support and respect the a wide range of issues. Essentially it is where businesses protection of internationally proclaimed human rights; take account of their social, economic and environmental and impacts (all of which can affect their reputation and profitability). Some impacts of corporate responsibility (e.g. Health and safety management systems can help on safety management include: ensure legal compliance and consistent application of standards in different parts of the world (even where • Greater board-level leadership (directors). they have lower national standards). Investing in a positive health and safety culture can help retain staff, • Public reporting of health and safety performance too.) (annual reports to shareholders). Principle 2: make sure that they are not complicit in • Improved management control systems – (health human rights abuses. and safety risks seen within the overall business risk management framework). Labour Standards Principle 3: Businesses should uphold the freedom of In practice it means a whole range of initiatives, because association and the effective recognition of the right to it goes beyond mere basic compliance with legal collective bargaining; requirements and concentration on short-term costs/ benefits. Corporate responsibility invests in the long- (e.g. Good health and safety management encourages term benefits of more socially positive projects, e.g. consultation and participation at every level.) work-life balance. We will consider some of these issues again when we look at organisational factors. Principle 4: the elimination of all forms of forced and compulsory labour; Principle 5: the effective abolition of child labour; and Principle 6: the elimination of discrimination in respect of employment and occupation. (e.g. This could potentially occur in an occupational health and safety context – so the safety management system should help ensure that selection of an individual for a task is based on such things as suitability, competence and risk, rather than gender, age or physical capability. The safety management system should help adapt procedures, tasks and equipment to the individual by making reasonable adjustments.) © RRC Training Unit IA – Element IA1 | 1-17

Element IA1: Principles of Health and Safety Management Environment 4. Freedom of Association and Right to Collective Bargaining: Respect the right to form and join trade Principle 7: Businesses should support a precautionary unions and bargain collectively; where law prohibits approach to environmental challenges; these freedoms, facilitate parallel means of association and bar-gaining. Principle 8: undertake initiatives to promote greater environmental responsibility; and 5. Discrimination: No discrimination based on race, caste, origin, religion, disability, gender, sexual (e.g. Even without specific environmental management orientation, union or political affiliation, or age; no systems, a safety management system will necessarily sexual harassment. have an impact on some environmental issues. For example, the identification and prevention/control of 6. Disciplinary Practices: No corporal punishment, potential chemical spillage scenarios will have a positive mental or physical coercion or verbal abuse. benefit for the environment.) 7. Working Hours: Comply with the applicable law but, Principle 9: encourage the development and diffusion of in any event, no more than 48 hours per week with at environmentally friendly technologies. least one day off for every seven day period; voluntary overtime paid at a premium rate and not to exceed 12 Anti-Corruption hours per week on a regular basis; overtime may be mandatory if part of a collective bargaining agreement. Principle 10: Businesses should work against corruption in all its forms, including extortion and bribery. 8. Remuneration: Wages paid for a standard work week must meet the legal and industry standards and be (e.g. A documented SMS should make the processes suf-ficient to meet the basic need of workers and their transparent and some forms of corruption easier to families; no disciplinary deductions. detect.) 9. Management Systems: Facilities seeking to gain and The idea is that these principles should be embedded maintain certification must go beyond simple compliance in all the activities of a business so that the organisation to integrate the standard into their management systems behaves with a social conscience. Businesses are and practices. encouraged to sign up to the principles and report their progress annually in a “Communication on Progress“ Global Reporting Initiative (GRI) report. See if you can think of how your organisation might implement these basic principles in the health and The stated vision of the GRI is to make reporting on safety context. economic, social and environmental performance as routine as financial reporting. The GRI is therefore a Social Accountability 8000 standard framework for reporting, and contains some specific oc-cupational health and safety Reporting This is an auditable standard and shares a number of Performance Indicators (RPI). principles with the UN Global Compact because it is based on some similar global conventions. However, it is The GRI reporting can be used to produce the UN wider in scope – it requires compliance with a wide range Global Compact’s annual “Communication on Progress” of ILO conventions, as well as the Universal Declaration report. Companies routinely report finances. Company of Human Rights and the UN Convention on the Rights finances are, of course, part of economics but economics of the Child. The standard can be downloaded (in is wider than that. In this context, we are interested several different languages) from www.sa-intl.org/. in the impact of the business on the wider economic system as a whole, as well as social and environmental Whilst the standard is freely available, specific impacts/performance. You can download a full copy of implementation guidance is not. The basic principles the reporting guidelines from www.globalreporting.org. (reproduced from the Social Accountability International website) are: Health and safety has a clear role in supporting the GRI, which in turn supports the Global Compact, and so 1. Child Labour: No workers under the age of 15; corporate social responsibility. In terms of health and remediation of any child found to be working; support to safety (which is considered part of the “social” reporting en-able attendance at school. category), there are some specific items of note for disclosure in reporting: 2. Forced and Compulsory Labour: No forced labour; no lodging of deposits or identity papers by employers; • Management approach to occupational health and personnel free to terminate employment. safety. 3. Health and Safety: Provide a safe and healthy work • Goals and performance. environment; take steps to prevent injuries; regular health and safety worker training; system to detect • Organisation responsibility (i.e. the organisational threats to health and safety; access to bathrooms and roles/structure assigned to dealing with it). potable water. Unit IA – Element IA1 | 1-18 © RRC Training

Element IA1: Principles of Health and Safety Management • Training and awareness aspects. • Monitoring and follow-up (corrective actions, etc.). RPIs identified for disclosure on occupational health and safety include: • LA6 - Percentage of total workforce represented in formal joint management-worker health and safety committees that help monitor and advise on occupational health and safety programs. • LA7 - Rates of injury, occupational diseases, lost days, and absenteeism, and total number of work-related fatalities by region and by gender. • LA8 - Education, training, counseling, prevention, and risk-control programs in place to assist workforce members, their families, or community members regarding serious diseases. • LA9 - Health and safety topics covered in formal agreements with trade unions. A full copy of the reporting guidelines can be downloaded from: http://www.globalreporting.org © RRC Training Revision Questions 3. List the elements in the following safety management systems: (a) ILO-OSH-2001 Guidelines on Occupational Health and Safety Management Systems. ILO, 2001. (b) OHSAS 18001 Occupational Health and Management Systems: Specification. British Standards Institution, 2007. 4. Describe the general principles and objectives of a health and safety policy document. 5. Outline the arguments for and against integration of management systems. (Suggested Answers are at the end of Unit IA.) Unit IA – Element IA1 | 1-19

Element IA1: Principles of Health and Safety Management Role and Responsibilities of the Health and Safety Practitioner • Health and safety practitioners develop policy, promote a positive culture, plan to meet objectives, implement and monitor the policy, and review and audit the whole system. • Health and safety practitioners require good person management and influencing skills. • It is important that health and safety practitioners maintain and develop their individual competencies. • The Institution of Occupational Safety and Health (IOSH) and the International Institute of Risk and Safety Management (IIRSM) have codes of conduct which members are expected to comply with. Influence on Health and Safety • Be involved in establishing organisational Management Systems arrangements, systems and risk control standards relating to hardware and human performance, by Health and safety practitioners are those likely to be advising line management on matters such as legal appointed by employers to help them in managing and technical standards. health and safety in the organisation. Health and safety practitioners need to have the status and competence • Establish and maintain procedures for reporting, to advise management and employees or their investigating, recording and analysing accidents and representatives with authority and independence. They incidents. are well placed to advise on many aspects of the safety management system, such as: • Establish and maintain procedures, including monitoring and other means such as review and • Formulating and developing health and safety auditing, to ensure senior managers get a true picture policies, not just for existing activities but also with of how well health and safety is being managed respect to new acquisitions or processes. (where a benchmarking role may be especially valuable). • How organisations can promote a positive health and safety culture and secure the effective • Present their advice independently and effectively. implementation of their health and safety policy. In terms of organisational structure/relationships, health • Planning for health and safety including the setting and safety specialists must: of realistic short- and long-term objectives, deciding priorities and establishing adequate systems and • Support the provision of authoritative and performance standards. independent advice. • Day-to-day implementation and monitoring of • Have a direct reporting line to directors on matters policy and plans including accident and incident of policy, and the authority to stop work if it investigation, reporting and analysis. contravenes agreed standards and puts people at risk of injury. • Review of performance and audit of the whole health and safety management system. • Have responsibility for professional standards and systems. On large sites or in a group of companies, To do this properly, health and safety practitioners need they may also have line management responsibility to: for other health and safety specialists. • Be properly trained and suitably qualified. As far as relationships outside the company go, they must liaise with a wide range of bodies, including: • Maintain adequate information systems on topics including law, health and safety management, and • Local officials. technical advances. • Consultants/contractors. • Interpret the law in the context of their own organisation. • Fire service. • Insurance companies. • Enforcing authorities Unit IA – Element IA1 | 1-20 © RRC Training

Element IA1: Principles of Health and Safety Management Health and Safety Involvement and • Adapt their own practice in the light of changes in Conduct professional practice. Health and safety practitioners need to be able to Consequently, in order to achieve this, practitioners need effectively influence the decision-makers, namely the to: senior management of the organisation, and also have the confidence and respect of all workers. It is therefore • Identify goals and targets which could be set in a essential for them to have good influencing and person number of ways, e.g. from national standards; from management skills which achieve the desired objectives assessment of current competency; from anticipated without creating conflict, resentment or animosity. future demands; from personal aspirations; or to meet organisational needs. Competence and the Requirements for Continuing Professional Development • Review their own performance, which might involve evaluating work results, undergoing appraisals or Meaning of ‘Competence’ formative assessments, or seeking the views of A competent health and safety adviser can be considered colleagues and clients. as having “sufficient training and experience or knowledge and other qualities to enable him to properly • Develop their personal action plans and monitor discharge his professional responsibilities”. their achievements. Accordingly the term reflects a combination of • Develop and change their own practice, and evaluate knowledge and relevant experience, although these the effectiveness of the developments. terms are not mutually exclusive. • Anticipate and identify change, and respond Continuing Professional Development (CPD) appropriately. This could arise from changes in CPD is a feature required by most professional bodies professional practice, from national and local and is undertaken when the practitioner is considered systems or from changes to organisational policy and competent and satisfies the requirements for full procedures. membership of the professional body. It serves the following purposes: These requirements can be divided into two principal components: evaluation, and identification of self- • Demonstrating competence and credibility. development needs. • Developing an individual’s career and helping with Evaluating Own Practice appraisal. Performance Criteria • Coping with change by updating skills. The practitioner should be able to: • Thinking about competence and identifying gaps in knowledge and experience. • Evaluate their own practice against set targets and goals. Responsibility to Evaluate and Develop Their Own Practice • Use a range of valid and reliable evidence to assess their own work, which includes an assessment of As well as requiring competency in practical risk behaviour and values by others. management, the standards in occupational health and safety practice, which this NEBOSH International • Involve others in the interpretation of evidence. Diploma course is designed to meet, also require the practitioner to be able to evaluate and develop • Use evidence to reflect on their own practice and his/her own practice. This is in line with the IOSH professional issues. requirement for continuous professional development, and ensures that the practitioner maintains and develops • Accept criticism in a positive manner, and assess its competency, keeps up to date and remains effective. validity and importance. The broad requirements are that practitioners should: • Revise goals and targets in the light of their reviewing evidence and performance. • Reflect on their own practice. • Review their practice against appropriate goals. • Set and prioritise goals and targets for self- improvement. © RRC Training Unit IA – Element IA1 | 1-21

Element IA1: Principles of Health and Safety Management Identifying Self-Development Needs • Not use their membership or position within the organisation or Institution improperly for commercial Performance Criteria or personal gain. The practitioner should be able to: • Avoid conflicts of interest. • Not disclose information improperly. • Set and prioritise clear and realistic goals and targets • Ensure information which they hold necessary to for their own development. safeguard the health and safety of others is made • Base goals and targets on the accurate assessment available on request. of all the relevant information relating to their own • Comply with data protection principles and relevant work and achievements, including developments in legislation. professional practice and related areas. • Maintain financial propriety with clients and employers and where appropriate be covered by • Devise a personal action plan and review it regularly. professional indemnity insurance. • Act within the law and notify the Institution if • Try out developments in their own practice in a way convicted of a criminal offence. which does not cause problems for others. You can find out more about the Institution • Evaluate developments in their own practice and of Occupational Safety and Health Code of ensure continued self-development. Conduct at: An essential ingredient of competence is recognising its http://www.iosh.co.uk/about_us/regulating_ limits - when you begin to get involved in an area which our_profession.aspx is beyond your competence and you need to either call in external expertise or upgrade your skills. Similarly the IIRSM has a Code of Ethics which requires members to: Ethics and the Application of Ethical • Only advise on or undertake tasks where they are Principles competent to do so. At the beginning of this element we discussed the • Ensure professional competence is maintained and moral reasons for managing health and safety. Ethics is concerned with moral issues, i.e. the judgments we make developed. and our resulting conduct. Just because an action we • Avoid conflicts of interest. might take is legal does not necessarily mean it is ethical. • Inform the appropriate authority of any illegal or This is best explained by identifying the ethical principles we would expect practitioners to adopt, such as: unethical safety-related behaviour. • Conduct themselves with fairness when dealing with • Honesty in dealings with clients, etc. others and not engage in discrimination. • Respecting others. • Act as the faithful agent of their clients or employers • Professional integrity, etc. and accept responsibility for their own work. • Assist colleagues in their professional development The IOSH has a Code of Conduct which all members are expected to follow. This requires members to: and support them in following the Code. • Not bring the Institute into disrepute. • Owe a loyalty to the workforce, the community they serve and the environment they affect. You will find more information on the International Institute of Risk and Safety • Abide by relevant legal requirements. Management Code of Eth-ics at: http://www. iirsm.org/about_us/company_profile • Give honest opinions. • Maintain their competence. • Undertake only those tasks they believe themselves to be competent to deal with. • Accept professional responsibility for their work. • Make those who ignore their professional advice aware of the consequences. • Not bring the professional body into disrepute. • Not recklessly or maliciously injure the professional reputation or business of others. • Not behave in a way which may be considered inappropriate. Unit IA – Element IA1 | 1-22 © RRC Training

Element IA1: Principles of Health and Safety Management Dealing with Conflicts of Interest A conflict of interest arises when an individual has to make a decision at work that may affect his or her private interests. For example, the safety manager of a large organisation has the task of appointing a new safety adviser. One of the candidates for the post is a good friend of the manager, who expects favourable treatment even though he may not be the best qualified and experienced candidate. The conflict of interest dilemma the manager has is whether to let a personal interest interfere with his professional judgment. What should you do when a conflict of interest arises? There are two aspects to dealing with conflicts of interest: • Identifying and disclosing the conflict of interest, which is primarily the responsibility of the individual who is subject to the conflict. It is clearly better to err on the side of openness even when the situation is not clear-cut, particularly in the long term when the conflict may become more widely known and more difficult to resolve, leading to the possible accusation of bias or even dishonesty. • Deciding what action (if any) is necessary to avoid or mitigate any consequences, usually the responsibility of the manager or department in which the conflict has arisen. This may range from taking no action at all to, in extreme circumstances, the resignation or dismissal of the individual concerned. In the example above, the likely outcome if the conflict of interest was declared before the appointment was made would be for the manager not to sit on the appointment panel. If, however, the possible conflict was concealed and later became known, then the manager could be accused of unprofessional conduct. © RRC Training Revision Questions 6. Identify five external bodies or individuals that a safety professional may be expected to liaise with in the course of their work. 7. Identify five examples of how a safety practitioner would be expected to adhere to ethical principles. (Suggested Answers are at the end of Unit IA.) Unit IA – Element IA1 | 1-23

Element IA1: Principles of Health and Safety Management Summary Reasons for Managing Health and Safety This element has introduced you to the general principles of health and safety management. We have looked at the reasons for managing risk and seen that they fall into three categories - moral, legal and economic. Societal Factors Which Influence Health and Safety Standards and Priorities We have identified: • Economic climate. • Government policy and initiatives. • Sickness absence and incapacity. • Industry/business risk profile. • Globalisation. • Migrant workers. • Societal expectations of equality. • Corporate social responsibility. Introduction to Management Systems We have: • Considered the meaning of the terms: – Hazard -something with the potential to cause harm. – Risk - expresses the likelihood that the harm from a particular hazard is realised. – Danger - a liability or exposure to harm; a thing that causes peril. • Examined the principles and benefits of risk management on a global perspective. • Looked at two specific safety management system models which are conceptually very similar: – ILO-OSH-2001. – OHSAS 18001. • Considered the benefits and limitations of integrated management systems. • Identified the following key components of an effective health and safety management system: – Management commitment. – Policy. – Organising. – Planning and implementing. – Performance review. – Audit. – Continual improvement. • Examined the total quality management and environmental management systems: – ISO 9000 series. – ISO 14000 series. • Discussed the reasons for the introduction of formal health and safety management systems such as: – Appropriate allocation of resources and responsibilities. – Setting and monitoring performance standards. – Establishment of systems for feedback and implementation of corrective action in order to mini-mise loss. • Explained the role of the health and safety policy in relation to a health and safety management system and as a vehicle for the communication of health and safety information. Unit IA – Element IA1 | 1-24 © RRC Training

Element IA1: Principles of Health and Safety Management • Examined the requirements for a written health and safety policy and for recording arrangements. • Described the general principles and objectives of a health and safety policy document. • Discussed the implementation, benefits and limitations of the introduction of common health and safety management principles, standards and systems in organisations operating on a world-wide basis. • Explained the influence of corporate responsibility and business ethics on health and safety management. • Examined the role of health and safety in global corporate social responsibility (CSR) guidelines and standards (United Nations Global Compact; SA8000; Global Reporting Initiative). Role and Responsibilities of the Health and Safety Practitioner We have established that: • Health and safety practitioners should: • Be able to advise, develop and influence the decision-makers. • Be able to advise management and employees on various aspects of health and safety. • Be suitably trained and qualified, and able to perform necessary functions. • Establish suitable relationships both within their own organisations and with outside bodies and individuals. • Evaluate and develop their own practice, e.g. continuing professional development. • Adhere to the ethical policy of their professional body. © RRC Training Unit IA – Element IA1 | 1-25



Exam Skills ELEMENT IA1 PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT It should go without saying that to achieve the NEBOSH International Diploma you will need to work carefully through your course materials; but you also need to perform when it really matters - in the exam. As you work through this course I’m going to help you build up your confidence in preparation for the exam day. Before we go any further, let’s just look at some basic information about the exam itself: • You have three hours, plus 10 minutes reading time. • There are two sections: – Section A: six compulsory questions (10 marks each). – Section B: you can choose to answer three questions from five (20 marks per question). • So 120 marks are available in total. The exam questions require you to demonstrate your knowledge and understanding of the elements you have studied as part of your course – and to show that you can apply your knowledge and understanding to both familiar and unfamiliar situations. That might sound daunting, but basic exam technique is really quite simple (as long as you know the required information, of course!). Essentially, what you need to do is: Step 1: Read the question carefully. Step 2: Review the marks available (consider how long you should spend on the question and how many points of information you need to include). Step 3: Highlight the key action words. Step 4: Read the question again. Step 5: Plan your answer (using mind maps, bullet points, etc.) so that you have a structure to work to. Step 6: Answer the question in full, keeping a close eye on the time (allow 15 minutes for a Section A, 10 mark question, and 30 minutes for a Section B, 20 mark question). You will find more guidance as you work through the course along with plenty of sample/practice questions. It’s really important that you complete these and get in touch with your tutor if you have any queries or there is anything you are struggling with. Taking into account what we have just covered on exam technique, look at the following past question:

Exam Skills ELEMENT IA1 PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT Question An organisation is proposing to move from a health and safety management system based on the International Labour Organisation ILO-OSH-2001 model to one that aligns itself with BS OHSAS 18001. Outline the possible advantages AND disadvantages of such a change. (10) (Unit IA July 2009) Approaching the Question Now think about the steps you would take to answer this question: Step 1: Read the question carefully. Step 2: Next, consider the marks available. This question is worth 10 marks so you are expected to provide around ten/twelve different points of information; the question should take around 15 minutes to answer. Step 3: Now highlight the key words. In this case the question might look like this: An organisation is proposing to move from a health and safety management system based on the International Labour Organisation ILO-OSH-2001 model to one that aligns itself with BS OHSAS 18001. Outline the possible advantages AND disadvantages of such a change. (10) Step 4: Read the question again to make sure you understand it and have a clear understanding of the two management systems it is asking about. (Re-read your notes if you need to.) Step 5: The next stage is to develop a plan – there are various ways to do this. A common approach is to outline the advantages and disadvantages between the two health and safety management systems. Remember that your answer must be based on the key words you have highlighted. Step 6: Now you are in a position to have a go at answering the question. Provide your answer in table form only at this stage, bullet points and an explanation of each point. Hint – integration of systems is an important factor! When you have finished have a look at the following comments and guidance. The following is an answer that a student might have produced in the examination room. Possible Answer by Exam Candidate IILO-OSH-2001 follows a tried and tested approach, which has been used by quality organisations for a number of years and has been championed by the regulators. It is used by companies of all types as a ‘starting point’ for building a safety management system because it has the advantage of being relatively simple and straightforward and does not require the approval of an external body in the same way as other systems such as OHSAS 18001 do. In essence, a company can simply set up its systems using the framework provided by ILO-OSH-2001 without the need to go through potentially costly and time-consuming certification processes. ILO-OSH-2001 may be perfectly satisfactory for a small business that does not need to go to the expense and trouble of developing a more sophisticated system like OHSAS 18001. However, as the business grows, its management systems inevitably become more complex and so it may consider moving to OHSAS 18001, which offers an integrated solution. A move from ILO-OSH-2001 to BS OHSAS 18001 means that the company would need to bring in an external organisation to certify the system. This will entail initial and on-going costs, including extra paperwork and activities to source information, procedures, etc. However, this could potentially strengthen the organisation’s image, as this is done by an outside agency, rather than being done in-house, and would be seen as more independent. By achieving the OHSAS 18001 standard, the company would be able to promote its business within the local community and secure orders/work with organisations that require an externally certificated standard. If the organisation already has other certificated systems such as BS EN ISO 14001:2004 or BS EN ISO 9001:2008, they may be able to integrate the systems to save money, as well as helping to embed H&S into the organisation. Other benefits from moving to a system based on OHSAS 18001 include the opportunity to undertake an initial review and measure the organisation’s current practices to establish where improvements can and/or should be made. The process allows a company to actually measure the improvements it has made. The final thing to consider with the new system would be that 18001 looks at ‘continuous improvement’ as one of its central themes, so the organisation can look at getting better performance over a period of time.

Exam Skills ELEMENT IA1 PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT Hints and Tips Don’t worry too much about the grammar and spelling in your answer, but the Examiner MUST be able to understand what you are trying to say. There must be a logical flow to the information you provide and this is where your Answer Plan is so important. Also remember that the Examiner MUST be able to read your handwriting – if they can’t read what you have written they can’t award you any marks! Suggested Answer Outline Advantages and Disadvantages of moving from ILO OSH 2001 to OHSAS 18001 Possible Advantages Possible Disadvantages • Integration of systems – a move • Although OHSAS 18001 is a well-known standard, it may produce to OHSAS 18001 would facilitate a system that significantly exceeds the minimum legal standard. easier integration with BS EN Regulators, however, tend to prefer the simple and straightforward ISO 14001 and ISO 9001:2008 approach offered by systems based on ILO-OSH-2001, which to produce an integrated conform more closely to the basic legal requirements management system • Costs – costs involved in changing to this system including • Publicity – opportunity to registration, certification, changes to standards/paperwork, etc. promote company through having an independently verified • Costs in terms of time – changing from one system to the other will system involve a lot of time from management, staff and H&S professionals • Benchmarking – easier to • Paperwork – increased paperwork to get certificated by the awarding benchmark performance with body other companies that have this certification • Possibly too complicated – a system based on OHSAS 18001 may be more than what a small or medium-sized company really needs and • Continual improvement – shows may be too difficult to implement for that reason the company is committed to continually improving its • Audits for OHSAS 18001 compliance may not be conducted by performance auditors with detailed health and safety knowledge • Audits may not involve the company’s H&S professionals if integrated with other systems such as quality or the environment An exam candidate would achieve poor marks for an answer that did not: • Demonstrate a clear understanding of the differences between the systems. • Identify BS OHSAS 18001 as an integrated management system. • Outline the possible advantages and disadvantages of moving from one management system to another. • Concentrate on advantages and disadvantages of each system and strayed into providing a description of the components of each system. Hints and Tips A question that asks you to “outline” something, expects you to give the key features of something – a brief explanation or description.



NEBOSH International Diploma Unit IA Element IA2: Loss Causation and Incident Investigation

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Element IA2: Loss Causation and Incident Investigation 2-1 Contents 2-1 2-2 Theories of Loss Causation 2-5 Accident/Incident Ratio Studies 2-6 Domino and Multi-Causality Theories 2-7 Immediate, Underlying and Root Causes Reason’s Model of Accident Causation 2-8 Revision Questions 2-8 Quantitative Analysis of Accident and Ill-Health Data 2-9 Calculating Loss Rates from Raw Data 2-9 Statistical and Epidemiological Analyses in the Identification of Patterns and Trends 2-13 Presenting and Interpreting Loss Event Data 2-14 Principles of Statistical Variability, Validity and the Use of Distributions Revision Question 2-15 Reporting and Recording of Loss Events (Injuries, Ill-Health, Dangerous Occurrences) and Near-Misses 2-15 Reporting Requirements and Procedures 2-18 Internal Reporting and Recording 2-26 Revision Questions 2-27 Loss and Near Miss Investigations Purposes of Accident Investigation 2-27 Investigation Procedures and Methodologies 2-28 Communications Focusing on Remedial Actions and Lessons Learnt 2-33 Use of Failure Tracing Methods as Investigative Tools 2-33 Revision Questions 2-33 Summary 2-34 Exam Skills © RRC Training

Element IA2: Loss Causation and Incident Investigation Learning Outcomes On completion of this element, you should be able to demonstrate understanding of the content through the application of knowledge to familiar and unfamiliar situations and the critical analysis and evaluation of information presented in both quantitative and qualitative forms. In particular you should be able to: ‹ Explain the theories of loss causation. ‹ Explain the quantitative analysis of accident/incident and ill-health data, limitations of their application, and their presentation in numerical and graphical form. ‹ Explain the external and the internal reporting and recording systems for loss events (injuries, ill-health, dangerous occurrences) and near-misses. ‹ Explain loss and near miss investigations; the requirements, benefits, the procedures, the documentation, and the involvement of and communication with relevant staff and representatives. Buy highlighter pens or page tab markers to highlight key text/phrases/pages, etc. © RRC Training

Element IA2: Loss Causation and Incident Investigation Theories of Loss Causation • Incident studies have demonstrated that in any organisation there is a relationship between the number of major incidents and those with less serious outcomes. • The Single Cause Domino Theory suggests that in an accident there is a sequence of events or circumstances that precede the harm, i.e. – Ancestry (i.e. upbringing). – Fault. – Unsafe act. – Accident. – Injury. • Multi-causal theories suggest that preceding an incident there is a combination of causal factors at each level that may combine to lead to the loss event. • Reason’s model of organisational accidents states that for a major accident to occur a series of defences must be defeated for the hazard to lead to a loss event. Unsafe acts may cause the failure of the defences. Unsafe acts are made more likely by local conditions in the workplace. Bird’s Accident Ratio Triangle Other researchers have produced similar accident ratio triangles: Accident/Incident Ratio Studies There is no shortage of data on incidents such as accidents or near misses. Some researchers have studied the figures in detail and concluded that there appears to be a relationship between the numbers of different types of accident. F. E. Bird used accident data to produce the following accident triangle: Labour Force Survey 1990 © RRC Training Unit IA – Element IA2 | 2-1

Element IA2: Loss Causation and Incident Investigation UK Accident Data Domino and Multi-Causality Theories Heinrich’s Accident Triangle One of the duties of the safety practitioner is to keep details of accidents and ill-health conditions and carry The actual figures vary between the different accident out investigations. The law requires certain accidents triangles but the important thing to note is that for and occupational diseases to be reported. Often the every major incident or fatality, there are many more less information that is recorded at the time of an accident serious or near-miss incidents. is not adequate for the purpose of investigation into the Analysis also shows that: cause, and so is certainly inadequate for the purpose of • It is invariably a matter of chance whether a given preventing the accident happening again. For example, the report form may ask for the nature and event results in injury, damage or a near-miss, i.e. cause of the injury. This could be written as: near misses could so easily become more serious • Nature of injury - cut finger. incidents. • Cause of injury - caught on a sharp piece of metal. • Near-miss/less serious incident data can, therefore, The safety practitioner needs to know a lot more than be a useful predictor of accident potential. this such as: • All events are due to failure to control – so we can • Which finger? learn from even minor incidents. • How serious was the cut? The data from these triangles has a number of • Was this part of the normal job? limitations that you need to think about before trying to • Should it have been sharp? apply it: • Should it have been there? • Not every near-miss or minor incident involves risks • How should it have been handled? which could actually have led to a serious incident or A good starting point in investigations is to consider the fatality. two basic theories for accident causation. • Be careful comparing: – Different triangles. Single Cause Domino Theory – Different definitions (e.g. lost-time accidents). According to Heinrich: – Different industries (with different types of risk). • Statistical significance – you need a certain amount \"A preventable accident is one of five factors in of representative data for a meaningful comparison a sequence that results in an injury. The injury is between your workplace and industry as a whole. invariably caused by an accident and the accident in turn is always the result of the factor that immediately precedes it.\" The five factors in Heinrich’s accident sequence are summarised in the following table. Unit IA – Element IA2 | 2-2 © RRC Training

Element IA2: Loss Causation and Incident Investigation Heinrich's Accident Sequence If this sequence is interrupted by the elimination of even one of these factors, then the injury cannot occur Accident Factors Description and the accident has been prevented. In the case of the accident sequence, perhaps the easiest factor 1. Ancestry and Recklessness, stubbornness, to eliminate is Number 3, the \"unsafe act and/or social environment greed and other undesirable mechanical or physical hazard\". traits of character that may be passed along through inheritance. Environment may develop undesirable traits of character or may interfere with education. Both inheritance and environment may cause faults of person. 2. Fault of person Inherited or acquired faults of person such as recklessness, violent temper, nervousness, excitability. These constitute reasons for committing unsafe acts or for the existence of mechanical or physical hazards. 3. Unsafe act and/ Unsafe performance of persons or mechanical or such as: standing under danger physical hazard areas, careless starting of machines, removal of safeguards and horseplay; mechanical or physical hazards such as unguarded gears or points of operation, insufficient light, which result in accidents. 4. Accident Events such as falls of persons, striking of persons by flying objects, etc. are typical accidents which cause injury. 5. Injury Fractures, lacerations, etc. are injuries which result directly from accidents. The major point that Heinrich makes is that a preventable injury is the natural culmination of a series of events or circumstances which occur in a fixed logical order. Here an analogy can be made with a row of dominoes placed on end such that if one falls it will cause the next to fall and so on throughout the series (see figure that follows). If one of the dominoes is removed then the chain of events will be halted. In the same way, consider Heinrich’s accident sequence: 1. Ancestry and social environment. 2. Fault of person. 3. Unsafe act and/or mechanical or physical hazard. 4. Accident. 5. Injury. © RRC Training Unit IA – Element IA2 | 2-3

Element IA2: Loss Causation and Incident Investigation Heinrich’s Domino Sequence Bird and Loftus extended Heinrich's theory to take into Usually simple accidents have a single cause, which is why account the influence of management in the cause and such events so frequently occur; but the consequences effect of accidents, suggesting a modified sequence of tend to be of a minor nature. A major disaster events: normally has multiple causes, with chains of events, and combinations of events. Fortunately, they are rare 1. Lack of control by management. occurrences. 2. This permits the existence of basic causes (i.e. per- Systems Theory sonal and job factors). This is another way of looking at a multiple cause 3. In turn, this leads to immediate causes (such as sub- situation. standard practices, conditions or errors). Factories and processes can be viewed as systems, i.e. an 4. These are subsequently the direct causes of the ac- assembly of parts or components connected together cident. in an organised way to perform a task, with inputs and outputs and various kinds of control mechanisms. 5. Finally, this results in loss (which may be categorised as negligible, minor, serious or catastrophic). A systems approach is often useful in simplifying complex operations. Part of the system can be taken as a 'black This modified sequence can be applied to every accident box', with only the inputs and outputs considered. and is of basic importance to loss control management. System failures are prevented or minimised by Multi-Causal Theories components which cannot fail, by backup systems, or There may be more than one cause of an accident, not by redundancy built into the system (see Element IA4). only in sequence, but occurring at the same time. For Accidents happen in our system because it includes example, a methane explosion requires: fallible components such as machines and human beings. The system is operating in the failure mode. • Methane in the explosive range of 5% to 15%. You can see the essential features of the multiple • Oxygen, or air. causation approach in the following figure. • Ignition source. The ignition will only happen if these three events occur together. Each of the three events may, in themselves, be the end result of a number of different sequences of events. In accident investigation, all causes must be identified. Unit IA – Element IA2 | 2-4 © RRC Training