NEBOSH International General Certificate

in Occupational Safety and Health

IGC1
Element 3: Managing Risk – Understanding
People and Processes

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

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

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 Element 3.1

Health and Safety Culture

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 Definition
The safety culture of an organisation is the shared
attitudes, values, beliefs and behaviours relating
to health and safety.

It will be positive or negative.

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The Relationship between Culture and Performance

Positive Culture: Negative Culture:

• People think that safety is • Lots of people think safety is of
important. low priority.
• Safety is considered in all • Safety is not considered in
management decision- decision-making at any level.
making. • People will only work safely if
• People work safely because they are told to and think that
they want to, not because they will be caught and
they are told to. punished if they don’t.
• All workers are positively • All workers are negatively
influenced by this peer- influenced by this peer-thinking
thinking and behaviour. and behaviour.

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 Indicators Used to Assess Culture
• Accidents.
‒ and the standard of investigation.

• Sickness rates.

• Absenteeism.

• Staff turnover.

• Compliance with safety rules.

• Worker complaints about conditions.

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 Influence of Peers
Put people together in groups
1. Interaction occurs.
2. Influence is exerted.
3. A hierarchy (Ranking according to
4. authority or status) forms:
‒ known as ‘pecking order’.
5. ‘Norms’ of behaviour are established.
6. Peer group pressure is exerted.

• Good indicator of H&S culture.

• Peer group pressure can be used to encourage good safety-related
behaviour.
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 The Influence of Peers
In groups, a hierarchy naturally forms:
– Pressure is exerted from the top down.
– Can happen in informal groups, or formal
team.
Peer-group pressure can result in:
– “Good people” breaking rules to fit in.
– “Bad people” coming into line and
working safely!
Key is to get the influential people on
board:
– E.g. through training.
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 Factor Promoting Negative Culture
• Lack of leadership from management.
• Presence of a blame culture.
• Lack of management commitment to safety.
• Health and safety a lower priority than other issues.
• Organisational changes.
• High staff turnover rates.
• Lack of resources, e.g. too few workers, low
investment.
• Lack of worker consultation.
• Interpersonal issues, e.g. peer-group pressure,
bullying.
• Poor management systems and procedures.
• External influences, e.g. economic climate.

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 Element 3.2

Improving Health and Safety Culture

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 Management Commitment and Leadership

• Senior management set policy.

• They also set priorities and targets.
• They must inspire and motivate.
• Their leadership cascades through the
organisation.
• Visible leadership:
‒ Behaving safely.
‒ Involvement in, e.g. safety meetings.
‒ Doing safety tours and audits.
‒ Promoting changes to improve safety.
‒ Enforcing rules through use of discipline.
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 Competent Workers
A competent person is someone who has sufficient:
• training,
• skills,
• experience, and
• knowledge,
and perhaps other attributes such as attitude or
physical ability to be able to carry out their job safely.

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 Category of Communication

• Verbal communication.

• Written communication.

• Graphic communication.

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 Verbal Communication
Benefits: Limitations:
• Personal. • Language barrier.
• Quick. • Jargon.
• Direct. • Strong accent/dialect.
• Check understanding. • Background noise.
• Feedback. • Poor hearing.
• Share views. • Ambiguity.
• Additional information (body • Missing information.
language). • Forgetting information.
• No record.
• Poor quality (telephone or PA).

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 Written Communication
Benefits: Limitations:
• Permanent record. • Indirect.
• Reference. • Time.
• Jargon/abbreviations.
• Can be written carefully for
clarity. • Impersonal.
• Wide distribution relatively • Ambiguous.
cheaply. • May not be read.
• Language barriers.
• Recipient may not be able to
read.
• No immediate feedback.
• Cannot question.
• Impaired vision.
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 Graphic Communication
Benefits: Limitations:
• Eye-catching. • Simple messages.
• Visual. • Expensive.
• Quick to interpret. • May not be looked at.
• No language barrier. • Symbols or pictograms may
• Jargon-free. be unknown.
• Conveys a message to a wide • Feedback.
audience. • No questions.
• Impaired vision.

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 Broadcasting Methods
• Notice boards.
• Posters and videos.
• Digital media.
• Toolbox talks.
• Memos and e-mails.
• Worker handbooks.

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 Co-operation and Consultation

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

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

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 Typical Issues to Consult On

• Introduction of new measures affecting

health and safety.
• Appointment of new advisers.
• Health and safety training plans.
• Introduction of new technology.

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 Methods of Consultation
Direct consultation:
• Employer talks to each worker and resolves
issues.
Through worker representatives:
• Committee is formed to represent workers.
• Regular meetings to discuss and resolve issues.
• Members may have rights in law.

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 Health and Safety Committee/Forum

What makes an effective committee?

Effective committees will depend on:
• Who is on the committee.
• How often the committee meets.
• Who will act as chairperson.
• What authority the committee will have.
• What will be discussed.
• How the discussions will be recorded.
• How issues will be followed up.
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 Health and Safety Committee/Forum
Issues that may be considered:
• Study of accident and disease statistics.
• Review of reports from active monitoring.
• Examination of safety audit reports.
• Consideration of reports and information from HSE.
• Consideration of reports submitted by safety reps.
• Provide assistance in development of procedures and
policy.
• Monitor the effectiveness of training.
• Monitor and improve safety communications.

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 Training
H&S training is the planned, formal process of acquiring and
practising knowledge and skills in a relatively safe
environment.

Training has a dramatic effect on safety-related behaviour.

Without training, workers try to do their jobs by:

• Copying others.
• Doing the job the way they think is best.

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 Training
Training helps workers to understand:
• Hazards and risks.
• Rules and precautions.
• Emergency procedures.
• Who to contact with concerns.
• Limitations and restrictions.
• Personal safety responsibilities.
• Consequences of breaking rules including
disciplinary procedures.

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 Training Opportunities

Induction training − New employees

Job change − New hazards following a change in

job
Process change − New hazards associated with new
ways of working
New technology − New hazards associated with plant
and machinery
New legislation − Implications of new legislation

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 Induction Training
• Health and safety • Consultation
policy. arrangements.
• Emergency procedures. • Safety rules.
• First aid. • Personal protective
• Specific site hazards equipment.
and controls. • Safe working and
• Welfare facilities. permits.
• Safe movement. • Risk assessment.
• Accident and incident • Responsibilities of
reporting. individuals.
• Disciplinary procedures.

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 Element 3.3

Human Factors Which Influence

Safety-Related Behaviour

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 Human Factors Influencing Safety-Related Behaviour

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

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 Job Factors
• Task.

• Workload.

• Environment.

• Displays and controls.

• Procedures.

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 Individual Factors
• Competence: • Attitude
‒ Knowledge.
• Motivation - the thing that
‒ Ability.
is making a person do what
‒ Training. they do:
‒ Experience. ‒ Rewards/incentives.

‒ Positive or negative.
• Skills

• Personality

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

Can be changed by:

• Education and training.
• High-impact interventions.
• Enforcement.
• Consultation.
• Involvement.

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

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 Risk Perception
Factors that can distort a person’s perception of hazard and
risk include:
• Illness.
• Stress.
• Fatigue.
• Drugs and alcohol.
• Previous experiences.
• Training and education.
• Use of PPE.
• Workplace conditions, e.g. high noise levels.

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 Element 3.4

Risk Assessment

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

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 Key Words and Phrases

Risk Profiling:

The process of identifying and assessing the range of risks

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

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 Key Words and Phrases

Risk Assessment:

The formal process of identifying preventive

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

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 Risk Profiling

The outcome of risk profiling will be that the right risks

have been identified and prioritised for action, the right
control measure have been identified and implemented
and minor risks have not been given a disproportionate
priority.

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 Purpose of Risk Assessment

To prevent:
• Death and personal injury.
• Other types of loss incident.
• Breaches of statute law.
• The costs of loss.

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 A ‘Suitable and Sufficient’ Assessment

• Identify significant risks.

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

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Sources of information for Risk Assessment

Sources can be:

• internal, or
• external
to the organisation.

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 Internal and External Information Sources
Internal: External:
• Accident records. • National legislation.
• Ill-health data/absence • Approved Codes of Practice.
reports. • Standards e.g. BSI, ISO.
• Medical records. • Manufacturers’ information.
• Risk assessments. • Trade associations.
• Maintenance reports. • Safety publications.
• Safety inspections. • International bodies.
• Audit and investigation • Trade unions, charities, etc.
reports.
• Safety committee minutes.

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

and implement

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 Step 1: Identify the Hazards
Safety: Health:
Capable of causing physical Capable of causing
injury: occupational disease or ill
• Work at height. health:
• Falling objects. • Physical.
• Moving vehicles. • Chemical.
• Machinery. • Biological.
• Electricity. • Ergonomic.
• Chemicals. • Psychological.
• Low oxygen concentration.
• Deep water.
• Fire/explosion.
• Animals.
• Violence.
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 Hazard Identification Methods
• Task analysis:
‒ Analyses job components before the job starts.
• Legislation:
‒ Standards, guidance documents.
• Manufacturers’ information:
‒ Operating handbooks, chemical safety data sheets.
• Incident data:
‒ Accidents, near misses, ill health.

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 Hazard Identification Methods

Task analysis:
Select the task.
Record the stages of the task.
Evaluate risks associated with each stage.
Develop the safe working method.
Implement the safe working method.
Monitor to ensure effectiveness.

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

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 Step 2: Identify the People at Risk

Vulnerable groups or individuals:

• Young people.
• New or expectant mothers.
• Disabled workers.
• Lone workers.

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Step 3: Evaluating the Risk and Deciding on Precautions

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

Risk = likelihood × severity

Likelihood Severity

1 = extremely unlikely 1 = very minor injury

2 = unlikely 2 = first-aid injury

3 = possible 3 = lost time injury

4 = likely 4 = hospital treatment

5 = very probably 5 = disabling injury

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Step 3: Evaluating the Risk and Deciding on Precautions

Risk = likelihood × severity

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 General Hierarchy of Control

• Elimination.
• Substitution.
• Engineering controls.
• Administrative controls.
• PPE.

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 General Hierarchy of Control
• Elimination.
• Substitution.
• Engineering controls:
‒ Isolation, total enclosure.
‒ Separation, segregation.
‒ Partial enclosure.
‒ Safety devices.
• Administrative controls:
‒ Safe systems of work.
‒ Reduced exposure.
‒ Reduced time of exposure, dose.
‒ Information, instruction, training and supervision.
• PPE.
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 Safety Signs

Prohibition Warning
Mandatory

Safe Condition Fire Equipment

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 Personal Protective Equipment (PPE)
Personal Protective Equipment Regulations 1992 (as amended)
• Supply suitable PPE:
‒ Appropriate for risk.
‒ Ergonomic.
‒ Fits.
‒ Doesn’t increase overall risk.
• Complies with standards.
• Ensure compatibility of items.
• Suitable storage.
• Information, instruction and training.
• Enforce use of PPE.
• Replace or repair damaged or lost items.

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 Personal Protective Equipment (PPE)
Merits Limitations

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

•If it fails, it fails to danger (the worker is

exposed to risk).

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 Use of Guidance and Legal Standards
• Use of a risk matrix can help provide clarity:
‒ Can set internal risk levels that require action within set
timescales.

• Legal requirements override the findings of a risk

assessment:
‒ Even if the risk is low, if the law requires it then it must be done.
‒ Applies also to semi-legal codes of practice.
‒ Guidance can also assist.

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 Residual, Acceptable and Tolerable Risk
• Residual Risk
‒ The risk level we are left with after controls have been
implemented.
• Acceptable Risk
‒ Risk has been reduced to an adequate level.

• Tolerable Risk
‒ Not acceptable but can live with it for a short period of
time with interim controls.
• Unacceptable Risk
‒ Risk is too high.

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Step 4: Record Significant Findings and Implementing

Typical content:
• Activity/area assessed and hazards.
• Groups at risk.
• Risks and adequacy of existing control measures.
• Further precautions needed.
• Date and name of competent
person.
• Review date.

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 Step 5: Review
• Significant change in:
‒ Process. ‒ Workplace
‒ Substances. environment.
‒ Equipment. ‒ Personnel.

• If it is no longer valid:
‒ Accident. ‒ Change to legal
‒ Near miss. standards.
‒ Ill health.

• Periodically.

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 Special Cases and Vulnerable Workers
Young Persons
• Under 18.
• Lack of experience.
• Physical and mental maturity.
• Poor risk perception.
• Influenced by peer group.
• Eager.
• Control measures:
‒ Prohibit certain high-risk activities, e.g. high-risk machinery.
‒ Restrict work patterns and hours, e.g. no overtime.
‒ Train and supervise.
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 Special Cases and Vulnerable Workers
New and Expectant Mothers
• Certain chemicals, e.g. lead.
• Certain biological agents, e.g. rubella virus.
• Manual handling.
• Temperature extremes.
• Whole-body vibration.
• Ionising radiation.
• Night shifts.
• Stress.
• Violence.

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 Special Cases and Vulnerable Workers
Disabled Workers
Identify:
• Health and fitness criteria for some
jobs:
‐ E.g. eyesight requirements to drive
forklift trucks.
• Workers with known disabilities:
‐ What are the implications of their
disability?

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 Special Cases and Vulnerable Workers

Lone Workers
Workers especially vulnerable
and more at risk:
• Of violence:
‒ E.g. prison officer, mental health nurse.

• If they are injured or ill:

‒ E.g. confined space entry.

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 Element 3.6

The Management of Change

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 The Impact of Change

Change includes changes to work processes, equipment,

practices and construction work (temporary works).

Temporary works include:

• Short-term building projects.
• Building maintenance.
• Renovation work.
• Demolition.
• Excavations.

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 Mitigating the Impact of Change
Key management principles:
• Risk assessment – of the work itself and its impact on the
workplace.

• Communication and co-operation – between all affected parties.

• Competence – of workers and managers.

• Segregation – of the work area.

• Emergency procedures – and the impact of the works on existing

emergency arrangements.

• Welfare provision – for all workers involved.

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 Element 3.7

Safe Systems of Work

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 Introduction to Safe Systems of Work

Formal Systematic
Examination of work
Recorded

Hazards Safe methods

Identified Defined

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 Introduction to Safe Systems of Work
To be effective, the SSW must bring together…
• People:
‒ Who is the SSW for?
‒ What level of competence or technical ability should they have?

• Equipment:
‒ What equipment will be used?
‒ What safety equipment will be required?

• Materials:
‒ What materials will be used or handled during the work?

• Environment:
‒ Where will the work take place? E.g. space, light and temperature?

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

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 Introduction to Safe Systems of Work
• Linked to risk assessments:
‒ Hazards identified and controls recorded.
• Documented so the standard is clear.
• Developed by a competent person:
‐ With assistance from workers.

• Legally required in many circumstances:

‒ Employers responsibility to prepare them.
‒ Workers responsibility to follow them.

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 Developing a Safe System of Work

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 Introducing Controls and Formulating Procedures

• Often most difficult stage!

• Consultation and engagement helps gain

buy-in from workers.

• Allow concerns to be raised and addressed during

development.

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 Instruction and Training
Information, Instruction, Training and Supervision
(IITS).

May need detailed training in the SSW.

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 Monitoring the System

Must monitor to ensure:

• SSW is being applied correctly.
• SSW is as safe as was intended!

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 Element 3.8

Permit-to-Work Systems

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

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 Permit-to-Work System
• Issue – Pre-Job Checks
– Description of work to be carried out.
– Description of plant and location.
– Identify hazards and assess risks.
– Identification of controls.
– Additional permits, e.g. hot work.
– Isolation of services.
– PPE.
– Emergency procedures.

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 Permit-to-Work System

Receipt – handover of permit:

– Competent and authorised person issues
permit to workers.
– Workers sign to say they accept controls.
Work can now start:
Plant is now under the control of the
workers.

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 Permit-to-Work System
Clearance – return to service:
– Workers sign to say they have left the
workplace in safe condition, work is
complete and operations can resume.
Cancellation:
– Authorised person accepts plant back and
can remove isolations, etc. Cancels
permit.
Plant is now returned to the control of the
“site”.
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 Element 3.9

Emergency Procedures and First Aid

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 The Need for Emergency Procedures
• Why do we need them?
Because despite all the precautions you take, things can still go
wrong.

• What incidents?
‒ Fires. ‒ Severe weather.
‒ Bomb threats. ‒ Multiple casualty
accidents.
‒ Spillage of a hazardous chemicals.
‒ Terrorist/security incident.
‒ Release of a toxic gas.

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 Emergency Procedure Arrangements

• The foreseeable emergencies.

• Procedures for raising the alarm.
• Procedures to be followed.
• Suitable emergency equipment.
• Responsible staff.
• Dealing with the media.
• Contacting emergency services.

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 Emergency Procedure Arrangements
The organisation needs to arrange:
• Communication equipment:
‒ Landline/mobiles, etc.

• Contact details:
‒ National and local numbers.

• Responsible individuals:
‒ With necessary information.

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 Training and Testing
Additional training for nominated individuals on:

• Their roles in the emergency.

• Safe handling of any equipment.

Emergency procedures should be practised through

drills and exercises.

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 First-Aid Requirements
Requires appropriate first-aid provision:
• Facilities:
‒ An appropriate location where
first-aid treatment can be given.
• Equipment:
‒ Suitably stocked first-aid kits
and other equipment.
• Personnel:
‒ Trained staff.

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

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 First-Aid Personnel
The basic principle of first aid is to keep the injured person
alive until professional medical assistance arrives.
The ‘3 Ps’:

Preserve life.
Prevent deterioration.
Promote recovery.
And to treat minor ailments that require no further
medical help.
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 First-Aid Personnel
Trained personnel:
• Appointed person - no or basic training only.
• Emergency first aiders and first aiders - full EFW or FW training.

Coverage will depend on:

• The general risk level of the • The number of workers.
workplace. • Work patterns and shift
• The hazards present in the systems.
workplace. • Workplace location.
• Accident history. • Size and spread of the
• Vulnerable persons. workplace.

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 Selecting Staff to be First Aiders
• Reliable, calm, good communication skills.
• Aware of own limitations and of the training.
• Ability to absorb new knowledge and learn.
• Ability to cope with stressful situations.
• Able to accept responsibility.
• Physically fit enough.
• Consideration of the need for first aiders considering gender,
ethnicity and religious convictions.
• Must be able to be released from normal duties to attend an
incident.

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