NEBOSH International General Certificate in Occupational

Safety and Health

Unit IGC1

Element 4: Health and Safety

Management Systems - Planning
 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. In particular you should be able to:

• Explain the importance of planning in the context of health and safety

management systems

• Explain the principles and practice of risk assessment

• Explain the general principles of control and basic hierarchy of risk

reduction measures

• Identify key sources of health and safety information

• Explain what factors should be considered when developing and

implementing a safe system of work for general activities

• Explain the role and function of a permit-to-work system

 Unit IGC1
Element 4.1

• The Importance of Planning

 Planning
• 3rd Step in ILO-OHS
2001
• Part of PDCA cycle
• Essential in the
systematic
management of
health and safety
 SMART Objectives
• Specific - clearly defined, precise
• Measurable - towards a target, quantified
• Achievable - it can be done
• Reasonable - within timescale and resources
• Time-bound - deadline, timescale

e.g. review all 48 risk

assessments within a
12 month period
 Group Discussion Point
Give an example of an objective which
isn’t SMART

Now give a SMART alternative

 Setting Objectives
• Setting objectives requires consideration
of:
– Who is setting objectives?
– Managers? Safety advisors?
• How will objectives be set at each functional
level?
– Cascaded throughout organisation
– Linked to personal targets and appraisals?
• Legal and other requirements
– May link objectives to standards
 Setting Objectives
• Requires consideration of:
– Hazards and risks
– Objectives aim to control risks in organisation
– Technological options available
– Adopt new technology
– Financial/operational/business requirements
– Integrate H&S with business objectives
– Views of interested parties
– Employees through consultation
– Other stakeholders
 Keeping Up To Date
Essential to be up to date
– Especially with law
Various methods including:
– HSE newsletters - http://www.hse.gov.uk
– EU law-http://osha.europa.eu/en/legislation
http://osha.europa.eu/en/oshnetwork/focal-points
– Websites - http://www.osha.gov/
http://www.commerce.wa.gov.au/WorkSafe/
– Practitioner publications and subscriptions
– Conferences
 End of Section Quiz
1. What are SMART objectives
2. How can safety and health
practitioners keep up to date with
legal requirements?
 Unit IGC1
Element 4.2

Principles and Practice of Risk Assessment

 Legal Requirements

 ILO Convention C155 Article 15

 Imposes a duty to ensure a workplace is
so far as is reasonably practicable
without risk to employees.
 Reasonable Practicability
• “reasonable practicability”
– balance of cost vs risk of harm
– Cost is time, effort and money

• Basis of a risk assessment

 Hazard and Risk

Hazard - something with

the potential to cause
harm

Risk - the likelihood that a

hazard will cause harm -
likelihood linked with
severity
 Whole Group Activity
• In 5 minutes identify as many hazards
as possible present in the training
environment.
 Hazard Categories
• Physical
– E.g. electricity, noise, vibration, radiation,
machinery
• Chemical
– E.g. mercury, solvents, carbon monoxide
• Biological
– E.g. legionella bacteria, hepatitis
• Ergonomic
– E.g. manual handling, repetitive tasks
• Psychological
– E.g. stress, violence
 Objectives of Risk Assessment
Prevent:
• Death and personal injury
• Other types of loss
incident
• Breaches of statute law
which might lead to
enforcement action
and/or prosecution
• The direct and indirect
costs that follow on from
accidents
 Types of Incident

• Accident
• Injury accident
• Damage only accident
• Near-miss
• Dangerous occurrence
• Work related Ill-health
 Relationship Between
Incident Types

Hazard Near Miss Injury

•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/):
HSG245
Accident Ratios

Frank Bird Accident Triangle

 Risk Assessors

• Competent people
– training, knowledge, experience
• Team approach is beneficial
– workers familiar with tasks
– H&S specialists
– technical specialists
– line managers
– worker safety representatives
 Suitable and Sufficient
Risk Assessment
• State the name/competence of assessor
• Identify significant hazards and risks
• Identify persons at risk
– Workers and others e.g. visitors and vulnerable
• Evaluate current controls
• Identify additional controls
• Enable employer to priorities controls
• Appropriate to nature of work
• Proportionate to risks
• State time period valid
The 5 Steps to Risk Assessment
 Step 1: Identify the Hazards
Safety Health
Physical injury: Occupational disease or ill-health:
• Slips, trips and falls • Physical
• Falling objects • Chemical
• Collisions • Biological
• Trapping/crushing • Ergonomic
• Machinery • Psychological
• Electricity
• Transport
• Chemicals
• Drowning
• Asphyxiation
• Fire/explosion
• Animals
• Violence
 Hazard Identification
• Task Analysis
– analyses job components before
the job starts
• Legislation
– standards, guidance documents
• Manufacturers' Information
– safe use, maintenance, cleaning
• Incident Data
– accidents, near-misses, ill-health
 Task Analysis
S elect the task
R ecord the stages of the task
E valuate risks associated with each stage
D evelop the safe working method
I mplement the safe working method
M onitor to ensure effectiveness
 Step 2: Identify the People at Risk

• Employees
• Maintenance staff
• Cleaners
• Contractors
• Visitors
• Members of the public
(also trespassers)
 Vulnerable Groups

People at Special Risk:

• Young people
• New or expectant mothers
• Disabled workers
• Lone workers
 Step 3: Evaluate the Risk
What is risk?
It is a measure of the likelihood of harm
occurring and the severity of that harm. Or
to put it more simply:

Risk = Likelihood × Severity

 Step 3: Evaluate the Risk
The Risk Evaluation can be:
● Qualitative (based on
opinion)
Uses words to
describe likelihood
and severity, e.g. high,
medium, low, etc.

● Semi-Quantitative
Uses words and
numbers to describe
likelihood and
severity.
 Step 3: Evaluate the Risk
Likelihood Severity

1 = extremely unlikely 1 = very minor

2 = unlikely 2 = first-aid injury

3 = possible 3 = lost time injury

4 = likely 4 = hospital treatment

5 = very probable 5 = disabling injury

Risk Assessment Matrix
Semi-Quantitative Risk Evaluation
Advantages of semi-quantitative risk evaluation:
• Clarity of thinking
• Consistency of approach
• Prioritisation
• Timescale

Risk Rating Action and Timescales

15 and above Unacceptable
9 to 14 Tolerable
5 to 8 Tolerable (must be reduced to
below 5)
4 or below Acceptable
 Residual, Acceptable and Tolerable
Risk
If risk is unacceptable, more action is
needed
If risk is lower it may be tolerable for a
short period of time
If risk is acceptable the risk is adequately
controlled
 Guidance and Legal Standards
What does national law require?
• Sometimes there are very
clear regulations and codes of
practice to be met.
• Often there is no set standard
in law – but guidance may be
available.
• Can you think of who might
provide guidance?
 Guidance and Legal Standards
• International
standards
• National legislation
• Industry standards
• Guidance from
regulators
 General Control Hierarchy
• Remove the source of the risk
Eliminate the hazard • The most effective option

• Engineering solutions
Create a safe place • provide physical protection
• Safe working methods
Create a safe person • Relies heavily on safe behaviour
 General Control Hierarchy
E R I C Prevents Death (ERIC PD)
E liminate the hazard
R educe or substitute the hazard
I isolate (people from the hazard/ the hazard from
people)
C ontrol exposure (safe conditions, engineering,
procedures)
P ersonal protective equipment
D iscipline (SSOW, training, supervision, enforcement)
 Priorities and Timescales
• High risk = high priority actions

• Low risk = low priority

BUT risk and timescale are not the same:

• Low cost, easy actions should be done
even if low priority
• Medium priority still needs rapid action
 Step 4 –Record Significant Findings
• Typical content:
• Activity/area assessed and hazards
• Groups at risk
• Evaluation of risks and adequacy of existing
control measures
• Further precautions needed
• Date and name of
competent person
• Review date
 Step 5 - Review
Significant change in:
• Process
• Substances
• Equipment
• Workplace environment
• Personnel
• Law
If it is no longer valid
• Accident
• Near miss
• Ill-health
• Periodically e.g. annually
 Group Syndicate Exercise
Lawn Mowing
Using task analysis, prepare a brief risk
assessment suggest control measures to
reduce the risks involved with this activity
Use the 5x5 risk matrix we covered earlier
Alternative Group Syndicate Exercise

•In groups, carry out a risk assessment on

these premises:
• Use Steps 1 to 4
• Use a quantitative scoring system
•Present your findings to the other groups in
20 minutes.
 Young Persons
• Under 18 (national law)
• 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
 Pregnant Workers
• Hazards:
• 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
 Disabled Workers

• Identify:
• Health and fitness criteria
for some jobs
– e.g. eyesight requirements to
drive forklift trucks
• Workers with known
disabilities
– What are the implications of
their disability?
 Lone Workers
•Workers especially
vulnerable and more at
risk:
• Of violence
– e.g. prison officer, mental
health nurse
• If they are injured or ill
– e.g. confined space entry
 End of Section Quiz
1. Define “hazard” and “risk”
2. Define “accident” “injury accident” and
“near miss”
3. What are the 5 steps to risk assessment?
4. What should a suitable and sufficient risk
assessment contain?
5. Who should be considered in a risk
assessment?
6. How is risk evaluated?
 Unit IGC1
Element 4.3
• General Principles of Control and Basic Hierarchy of Risk Control Measures
 General Principles of Prevention
• Avoid risks
• Evaluate risks which cannot be avoided
• Control hazards at source
• Adapt work to suit the individual
• Adapt to technical progress
• Replace dangerous with less/non dangerous
• Coherent/overall prevention policy
• Give priority to collective protective measures
• Give appropriate instructions to employees
 Safe Place/Safe Person
• Collective protective measures
Protect the whole workplace and
everyone in it
• Safe place
Design, selection and engineering
of premises, plant, machinery,
equipment, processes and substances
– Technical
• Safe person – Procedural
Competence of workers who – Behavioural
have received adequate information,
instruction and training and follow safe
systems of work
Technical, Procedural and Behavioural
Controls
• Controls can be further classified as:
• Technical
– Equipment and engineered solutions
• Procedural
– Safe systems of work, procedures, permits
• Behavioural
– Training, awareness, competence
 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
• Personal Protective Equipment
Hierarchy of Control
E liminate the hazard
R educe or substitute the hazard
I solate (people from hazard/ hazard from people)

C ontrol exposure (engineering, procedures)

P ersonal protective equipment
D iscipline (SSOW, training, supervision,
enforcement)

ERIC Prevents Death

 Worked Example – Cleaning the
Oven
• Current chemical is corrosive (burns)
– Eliminate – don’t clean the oven? Buy a
new oven? Don’t use chemicals?
– Substitute the corrosive chemical for a less
hazardous one?
– Isolate – keep others out of the kitchen
– Procedures – follow instructions on tin
– PPE – wear gloves as per instructions
 Group Syndicate Activity
• You are the manager of a large,
commercial bakery. You have recently
discovered that flour dust can be harmful
to the health of your workers.
• Flour is currently added by hand from
sacks. Assume no other controls are
present
• Using the hierarchy of control, identify
possible controls to reduce the risk of dust
inhalation
 Alternative
Group Syndicate Activity
• You are the manager of a domestic
window cleaning company.
• You are concerned by the potential for
injuries due to falls from height
• Using the hierarchy of control, identify
possible controls to reduce the risk of
falls
 Safety Signs

Prohibition Warning Mandatory

Safe Condition Fire Equipment

Personal Protective Equipment (PPE)
Personal Protective Equipment Regulations 1992
• 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
 Whole Group Exercise
Discuss the benefits and limitations of
PPE as a risk control method
Personal Protective Equipment (PPE)
Benefits of PPE Limitations of PPE
• Interim control •Doesn’t remove hazard
• Some situations •Only protects the wearer
only control •Requires good fit
option •Relies on wearer
•Requires training
• Emergency back
•Uncomfortable
up
•May increase overall risk
• Cheap (short •Incompatibility
term) •Unpopular so often unworn
• Immediate •Fails to danger
protection •No good if wrongly selected
•Contamination
•Expensive long term
 End of Section Quiz
1. Outline the general hierarchy of
control
 Unit IGC1
Element 4.4

• Sources of Health and Safety Information

 Sources of Information

Sources can be
• Internal
• External
... to the organisation

List all the internal and external sources

you can think of and discuss them
 Sources of Information
Internal External
– Accident records • National legislation
– Medical records • Safety data sheets
– Risk assessments • Codes of practice
– Maintenance reports • Guidance notes
– Safety inspections • Operating instructions
– Audit reports • Trade associations
– Safety committee • Safety publications
minutes
 Source Organisations
International Labour Organisation (UN)
http://www.ilo.org

Occupational Safety and Health Administration (USA)

http://www.osha.gov
European Agency for Safety and Health at Work (EU)
http://agency.osha.eu.int
Health and Safety Executive (UK)
http://www.hse.gov.uk
Worksafe (Western Australia)
http://www.commerce.wa.gov.au/WorkSafe/
 End of Section Quiz
1. What internal sources of health and
safety information are there within an
organisation?
2. What external sources of information
are there?
 Unit IGC 1
Element 4.5

• Development of Safe Systems of Work

 Safe System of Work

Formal Systematic
Recorded Examination of work

Hazards Safe methods

Identified Defined
 Roles and Responsibilities
• Role of the Employer
– Ensure SSoW are available for activities that
create significant risk e.g. maintenance
• Competent Persons
– Developed by people who can identify and
control hazards
• Workers
– Involved in development of SSoW
– Gains commitment, helps culture
 Group Discussion Point
• Why do you think it may be beneficial
to have written procedures?
 Written Procedures
• Written procedures:
– Ensure consistency
– Provides a basis for training
– Establishes a standard (can be checked)
– Provide a written record for incident
investigations/regulatory inspections
• Can be in many forms
– Checklists
– Short notes
– Detailed manuals
Technical, Procedural and Behavioural
Controls
• Safe system of work will contain:
– Technical controls
– “things and stuff”
– Equipment provided/engineering controls
– Procedural controls
– Often explain the correct use of technical
controls
– Behavioural controls
– How the workers behave
– Training and supervision
 Developing SSoW - PEME
• People – competence, ability
• Equipment – plant, equipment, PPE
• Materials – substances, articles, waste
• Environment – space, lighting, heating
Developing Safe Systems of Work
 Worked example – The Steps In
Changing a Wheel
• Step 1 – park the car in a safe location
• Step 2 – remove equipment from boot
• Step 3 – loosen wheel nuts
• Step 4 – jack up car
• Step 5 – remove wheel nuts
• Step 6 – replace wheel and wheel nuts
• Step 6 - lower car, remove jack
• Step 7 – tighten wheel nuts
• Step 8 - replace equipment in boot
 Identifying Controls
• For each step:
– First identify the hazards
– Then identify the controls
• So Step 1 (changing wheel) might have:
– Hazards – traffic, risk of violence
– Controls – select location off road if
possible, use hazard lights, if feel area is
unsafe/at night or if vulnerable group, call
recovery service and stay in car.
 Group Discussion Activity
• Suggest hazards and controls for each
step of the worked example “changing
a wheel”
 Implementing Controls
• Often most difficult stage!

• Consultation and engagement helps

gain buy-in from workers

• Allow concerns to be raised and

addressed during development
 Instruction, Training and Monitoring

• Information, Instruction, Training and

Supervision (IITS)!

• May need detailed training in the SSoW

• Must monitor to ensure:

– SSoW is being applied correctly
– SSoW is as safe as was intended!
Optional Group Syndicate Activity

• Using SREDIM, develop a simple safe

system of work for the task allocated to
your group:
– Making a cup of tea
– Making a batch of cement with a cement
mixer
– Painting a ceiling (emulsion)
 Specific Examples of SSoW
• Confined spaces

• Lone working

Using PEME
• Travelling abroad principles,
what should
be included in
a SSW for
each?
 Confined Space
• Enclosed in nature
(ventilation will be
restricted and access/
egress may be difficult)
• One or more foreseeable
specified risks exist
– Fire or explosion
– Loss of consciousness from gas, fumes, vapour, lack
of oxygen
– Drowning
– Asphyxiation from free flowing solid
– Loss of consciousness from temperature
 Confined Space Control Measures
• Do not work inside a confined space if possible
• Carry out a risk assessment
• Develop safe system of work
• Emergency arrangements
• Permit-to-work
• Trained personnel
Safe System of Work for Confined
Spaces
• Supervision • Isolation, lock off of
• Competency electrical/mechanical
hazards
• Communication
• Atmospheric
• PPE
testing/monitoring • Access/egress
• Ventilation • Fire prevention
• Removal of residues • Lighting
• Isolation, lock off of in- • Suitability of individuals
feeds and out-feeds • Emergency/rescue
procedures
 Lone Workers

“Workers who are separated from their

work colleagues”
• Lack assistance if things go wrong
• Communication with colleagues more difficult,
i.e.
– out of eyesight
– out of earshot
 Group Discussion
• Give as many examples of lone workers
as you can in 1 minute
 Lone Working Examples
• Maintenance workers
• Service engineers e.g. gas, appliance
• Garage forecourt attendants
• Trainers / tutors
• Security guards
• Receptionists (sometimes)
• Social workers/carers
• Health visitors/district nurses
• Painters/decorators
• Sales representatives (on the road)
Safe System of Work for Lone Working

• No lone working for high risk activities, e.g. confined

spaces
• Remote supervision
• Logging workers’ locations
• Mobile phones or radios
• Lone worker alarm systems
• Procedures for lone workers
• Emergency procedures
• Training for workers
Working and Travelling Abroad
• Not the same as a holiday!
– Brings additional hazards
• Risks when travelling related to
– Security
– Health
• Workers may also be “lone workers”
• Some areas are not recommended for
travel – see local websites e.g FCO at
http://www.fco.gov.uk/en/travel-and-living-abroad/travel-
advice-by-country/
 Working Abroad
Employers have a duty to workers whom
they send to work abroad and should
provide:
• Pre- and post-visit briefings
• Insurance
• Health advice and vaccinations
• Financial arrangements
• Security training and advice
• Cultural requirements advice
• Accommodation
• In-country travel
• Emergency arrangements
• 24-hour contacts
 Standards for Safe Systems of Work

• Safe Work in Confined Spaces

UK HSE ACoP L101

• Safety in the Global Village

IOSH information sheet (1999)
 End of Section Quiz
1. What is a safe system of work?
2. Who is responsible for developing safe
systems of work?
3. What are the advantages of a written
procedure over a verbal one?
4. What are the key steps in carrying out a
task analysis before developing a safe
system of work (SREDIM)
5. What controls might be implemented to
ensure the safety of lone working social
workers?
 Unit IGC1
Element 4.6
• The Role and Function of a Permit-to-Work System
 Permit-to-Work System
A formal, documented safety procedure, forming
part of a safe system of work
Typical applications:
● Hot work (involving naked flames
or creation of ignition sources)
● High voltage electrical systems
● Confined space
● Operational pipelines
● Excavation near buried services
● Complex machinery
● Working at height
 Permit-to-Work
Consists of 4 elements:
1. Issue

2. Receipt

3. Clearance/return to service

4. Cancellation

May also be an extension

 Permit-to-Work System
• Issue – Pre Job Checks
– Description of work to be carried out
– Description of plant and location
– Assessment of hazards
– Identification of controls
– Additional permits e.g. hot work
– Isolation of services
– PPE
– Emergency procedures
 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
 Permit-to-Work System
• Clearance – hand back of permit
– Workers sign to say they have left the job
site and equipment can restart.

• Cancellation
– Authorised person accepts plant back and
can remove isolations etc.
• Plant is now returned to the control of
the “site”
 Importance of Permit Control
• Poorly implemented
permits are useless
• Piper Alpha disaster was
the failure of a permit to
work system
• People must be trained Government Licence v1.0
(http://www.nationalarchives.gov.uk/
in use doc/open-government-licence/):

• Permits never issued

from a desk
• System must be
monitored
 Hot Work Controls
• Remove flammable materials
• Fire retardant blankets/screens
• Floor swept of debris
• Floors damped down if necessary
• Fire extinguishers at hand
• “Fire watcher” present
• Post work checks to ensure
no smouldering embers
Work on Live Electrical Systems

• Work must be justified

– Not possible to work dead
• Precautions in place
• Workers are competent
 Confined Spaces
• Risk assessment by competent person
• Controls implemented (already
covered)
• Safe system of work
• Emergency arrangements
 Machinery Maintenance
• Work is carefully planned and
controlled
– May be several people working
• Hazards are communicated
• Services are isolated and locked off
• Stored energy is released
• Workers are competent
 Work at Height
• Avoidance if possible
• Prevention of falls by using
– safe platform with adequate edge
protection
• Minimise distance and consequence of
fall
– PPE and fall arrest devices
• Weather conditions considered
– Wind, ice/snow
 End of Section Quiz
1. What types of work require a permit
to work?
2. What are the key features of a permit
to work document?
3. What are the main limitations of a
permit to work system?