Unit ID 1 Learning Outcome - 3

Unit ID1
Know – workplace health
and safety principles
(International)
Learning outcome 3

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Contents
Learning outcome 3..................................................................................................................... 3
3.1 Understand how providing information, instruction, training and supervision helps to
develop and maintain a competent workforce - Competence, training, information
and supervision ............................................................................................................................. 4
3.1.1 The meaning of competence ....................................................................................... 4
3.1.2 The difference between training and competence.................................................. 5
3.1.3 The circumstances when training is likely to be required .......................................... 5
3.1.4 The groups of people having specific training needs ................................................ 9
3.1.5 The relationship between competence and supervision ........................................ 11
3.1.6 The circumstances where there are specific training needs for certain hazardous
types of work equipment ....................................................................................................... 11
3.1.7 The scope of information required for the safe use and operation of work
equipment ............................................................................................................................... 14
3.1.8 The methods by which information and instructions regarding the operation and
use of work equipment can be easily understood by those concerned ....................... 15
3.1.9 The requirements for training lift truck operators ....................................................... 16
3.2 Recognise the characteristics of and what can be learnt from High Reliability
Organisations (HROs) - High Reliability Organisations ........................................................... 19
3.2.1 What is a HRO? .............................................................................................................. 19
3.2.2 Characteristics of a HRO .............................................................................................. 20
3.2.3 The lessons that other organisations can learn from HROs ...................................... 21

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Learning outcome 3
You will be able to assess, develop and maintain individual and organisational
health and safety competence.

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3.1 Understand how providing information, instruction, training and

supervision helps to develop and maintain a competent workforce -
Competence, training, information and supervision

3.1.1 The meaning of competence

Competence can be described as the combination of training, skills, experience

and knowledge that a person has and their ability to apply them to perform a
task safely. Other factors, such as attitude and physical ability, can also affect
someone's competence.

As an employer, you should take account of the competence of relevant

employees when you are conducting your risk assessments. This will help you
decide what level of information, instruction, training and supervision you need
to provide.

Competence in Health and safety should be seen as an important component

of workplace activities, not an add-on or afterthought.

If you use contractors, you have a responsibility to make sure they are
competent.

Someone's level of competence only needs to be proportionate to their job and

place of work. You would not need, for example the same health and safety
competence to work in an office as you would on a construction site.

Competent person

As an employer, you must appoint a 'competent person' to help you meet your
health and safety duties.

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A competent person is not someone who simply has the competence to carry
out a particular task safely. In general terms, the definition of a competent
person is someone who has the necessary skills, experience and knowledge to
manage health and safety.

Some health and safety law describes the training, skills and experience that
someone should have to be a competent person to perform a specific task in a
particular industry or work environment.

3.1.2 The difference between training and competence

Just because an individual has been trained does not necessarily mean that he
is competent. Instead, „Competence‟ is a relatively complex mixture of training,
skills, knowledge and experience. In effect, competence may be described as
the ability to undertake responsibilities and perform activities to a recognised
standard on a regular basis.

Training is an important aspect of what it takes to make someone competent,

but it remains just one dimension. While training will often give the trainee an
opportunity to practice new skills, real competence comes with experience.

3.1.3 The circumstances when training is likely to be required

Everyone who works for you needs to know how to work safely and without risks
to health. You must provide clear instructions and information, and adequate
training, for your employees.

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Consider how much training is necessary. A proportionate approach is needed,

for example a low-risk business would not need lengthy technical training.
Providing simple information or instructions is likely to be sufficient.

Some employees may have particular training needs, for example:

 new recruits need basic induction training in how to work safely, including
arrangements for first aid, fire and evacuation
 people changing jobs or taking on extra responsibilities need to know
about any new health and safety implications
 young employees are particularly vulnerable to accidents and you need
to pay particular attention to their needs, so their training should be a
priority. It is also important that new, inexperienced or young employees
are adequately supervised
 employee representatives or safety representatives will require training
that reflects their responsibilities
 some people's skills may need updating by refresher training

Induction training

Induction training should always be provided to new employees, trainees and

contractors. While such training covers items such as pay, conditions and
quality, it must also include health and safety. It is useful if the employee signs a
record to the effect that training has been received. This record may be
required as evidence should there be a subsequent legal claim against the
organization.

Most induction training programmes would include the following topics:

 the health and safety policy of the organization including a summary of

the organization and arrangements including employee consultation a
brief summary of the health and safety management system including the

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name of the employee's direct supervisor, safety representative and

source of health and safety information;
 the employee responsibility for health and safety including any general
health and safety rules (e.g. smoking prohibitions);
 the accident reporting procedure of the organization, the location of the
accident book and the location of the nearest first aider;
 the fire and other emergency procedures including the location of the
assembly point;
 the hazards that are specific to the workplace;
 a summary of any relevant risk assessments and safe systems of work;
 the location of welfare, canteen facilities and rest rooms;
 procedures for reporting defects or possible hazards and the name of the
responsible person to whom the report should be made;
 details of the possible disciplinary measures that may be enacted for non-
compliance with health and safety rules and procedures.

Additional items which are specific to the organization may need to be

included such as:

 internal transport routes and pedestrian walkways (e.g. forklift truck

operations);
 the correct use of PPE and maintenance procedures; manual handling
techniques and procedures;
 details of any hazardous substances in use and any procedures relating to
them (e.g. health surveillance).

There should be some form of follow-up with each new employee after 3
months to check that the important messages have been retained. This is
sometimes called a refresher course, although it is often better done on a one-
to-one basis.

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It is very important to stress that the content of the induction course should be
subject to constant review and updated following an accident investigation,
new legislation, changes in the findings of a risk assessment or the introduction
of new plant or processes.

Changes in work activities

Training may need to be refreshed at suitable intervals to ensure workers remain

competent. Changes in work activities, the system of work or the introduction of
new equipment may all require additional training to ensure health and safety.

Introduction of new technology or new equipment

This may alter the risks to which people are exposed, for example because of a
different control and display layout and/or unfamiliarity. Training will help to
familiarise the worker with the new equipment and its modes of operation.

Changes in systems of work

The procedures used to perform tasks may alter over time as new working
practices and better ways of working come to light, as equipment alters and as
knowledge of the safety implications increases (e.g. following accidents or a risk
assessment review). Safe systems of work may need to be updated to reflect
these changes and so it will become important for workers to be updated on
the changes so that they do not continue to use an out of date procedure.

Refresher training due to declining skills

Even the sharpest of skills will dull over time if they are not practised regularly or if
bad habits start to creep in. It may also be the case that new methods are
developed and need to be rolled out to the workforce. Therefore, refresher
training becomes an important tool in helping to ensure that employees retain

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their skill levels. Examples include the periodic refresher training of first-aiders and
forklift truck drivers.

3.1.4 The groups of people having specific training needs

Supervisors

Although it may well be the case that a supervisor possesses similar skill levels to
those of the people he is supervising, this may not always be the case. In many
situations it may be perfectly acceptable for the supervisor to have a general
awareness of good and bad practice, sufficient to enable them to monitor the
safety of operations to a satisfactory degree. Supervisors should therefore be
trained in the principles of operation of the equipment, processes etc, safe
systems of work, the risks associated with the equipment/process and
precautions required for safe use. Furthermore, it should not be forgotten that
the supervisor will also need to be trained in supervisory techniques.

Young and vulnerable people

Young persons are at greater risk of injury because of their relative physical
and/or mental immaturity and especially because of their absence of
awareness of existing or potential hazards, which is a function of their lack of
experience of the working environment. Induction training therefore takes on a
special significance for young persons, as does the need for closer levels of
supervision.

Similar principles apply for vulnerable workers, such as those with learning
difficulties.

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The need for training to be carried out upwards in the

organisation

A proactive culture with effective health and safety performance requires

model behaviour and servant leadership. Executives and senior managers need
to examine their own behaviours and mind-sets, both individually and
collectively. In doing so, they can truly lead by example. To be effective, senior
management also needs to develop the insights and competences to
empower people with intrinsic motivation toward HSE and set the right
conditions for the organization to excel and take the safety and health journey
to the next level.

Benefits of training to be carried out upwards in the organisation:

 Embrace safety and health as a strong conviction, integrated with the

drive for business performance.
 Develop intentional safety and health mind-sets as the leaders of the
organization.
 Get personal feedback on leadership styles and unleash potential to
maximize impact.
 Expand and arrive at a more versatile leadership style, and explore
servant leadership with enhanced trust and information sharing.
 Create a motivating and aligned HSE vision as a team.
 Define personal and group actions toward HSE vision.
 Connect and empower others to make positive changes.
 Set right condition for the organizational success.

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3.1.5 The relationship between competence and supervision

As individuals become more exerienced in their role and competence levels

increase, so the need for supervision from others diminishes and the ability to
self-supervise increases. It follows, therefore, that young or inexperienced
workers will generally require a greater level of supervision than will be needed
by experienced workers.
The level of supervision does not just depend on experience, however. More
supervision of experienced employees may be considered appropriate where
new or more hazardous tasks are being carried out. In any event, it will still be
prudent to provide a modicum of general supervision for experienced
employees so as to ensure that standards continue to be met.

3.1.6 The circumstances where there are specific training needs for certain
hazardous types of work equipment

Chainsaws

Those who work with chainsaws (e.g. forestry workers) may often work alone and
so require a high degree of competence to enable them to operate these
potentially dangerous tools in a safe manner. Training should cover the general
use and maintenance of the chainsaw, as well as special risks such as that of

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„kickback‟, which may cause the worker to be struck by the running blade if an
obstruction is hit, causing very serious injury.

Chainsaw users will need to wear a full range of personal protective equipment
such as full-face visor, gloves, helmet, hearing protection and shin guards. They
will therefore need to receive training in the nature of the risks posed by the
chainsaw, the safe systems of work to be adopted and the proper use of PPE.

In addition, due to the significant risks involved, if a chainsaw is to be used on or

in a tree, the operator should hold a certificate of competence or national
competence award relevant to the work they undertake.

Woodworking Machines

These machines are designed to cut easily through wood and, although they
are guarded, inevitably have exposed parts that may cause serious injury if the
worker comes into contact with them. This risk is increased since many
woodworking machines are hand-fed. It is therefore necessary to provide
training not only to those who operate woodworking machines but also to those
who set, clean and maintain them, since any of these individuals may come into
contact with the cutting blade.

Training schemes for woodworking machines should cover:

 General information on safety skills and knowledge common to

woodworking processes;
 Practical instruction on specific machines, to include specific dangers
arising from the machine in question and limitations to its use, plus the
main causes of accidents and the relevant safe working practices such as
the correct use of the guards, protection devices and appliances and the
use of the manual brake where fitted;

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 Familiarisation through on-job training under supervision.

Power Presses

Power presses are widely used in industry, come in many different forms and are
considered to be among the most dangerous of machines since accidents
often result in amputation or other serious injury and the guarding mechanisms
are subject to continuous wear.

Power presses therefore need to be inspected very frequently and operated by

competent persons.

Those inspecting presses need to have appropriate practical instruction on the

types of press they will be required to inspect and on all types of guard and
protection devices used on them.

Press operators need skills training in the operation of the press, plus specific
safety training in the operation and use of guards and safety devices.

Supervisors should be trained in the safe operation of the press and must be
aware of the risks to which the operator may be exposed. They will also need to
be able to judge the quality of inspection and testing conducted by the person
appointed to conduct inspections.

Abrasive Wheels

Use of abrasive wheels poses obvious risks to users, from contact with the moving
wheel. However, one of the most significant risks arises from the breakage or
bursting of the wheel itself, which may be caused by incorrect setting and
dressing, or by inappropriate use.

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Therefore, training is needed in the use, setting and dressing of abrasive wheels.
An abrasive wheels training programme typically includes:

 Hazards and risks from abrasive wheels and the precautions to be

observed;
 Methods of marking abrasive wheels with their type, size and maximum
operating speed;
 Correct storage, handling and transportation of abrasive wheels;
 How to inspect and test abrasive wheels for damage;
 The functions of all the components used with abrasive wheels;
 How to assemble abrasive wheels to ensure they are properly balanced
and fit to use;
 How to dress an abrasive wheel;
 Correct adjustment of the work rest on pedestal or bench grinders;
 The use of suitable PPE.

3.1.7 The scope of information required for the safe use and operation of
work equipment

Every employer shall ensure that all persons who use work equipment have
available to them adequate health and safety information and, where
appropriate, written instructions pertaining to the use of the work equipment.

Every employer shall ensure that any of his employees who supervises or
manages the use of work equipment has available to him adequate health and
safety information and, where appropriate, written instructions pertaining to the
use of the work equipment.

The information and instructions required shall include information and, where
appropriate, written instructions on:

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 The conditions in which and the methods by which the work equipment
may be used;
 Foreseeable abnormal situations e.g maintenance work, malfunction and
breakdown and emergencies and the action to be taken when/if such a
situation were to occur; and
 Any conclusions to be drawn from experience in using the work
equipment.

3.1.8 The methods by which information and instructions regarding the

operation and use of work equipment can be easily understood by those
concerned

The information and instructions are likely to come from the manufacturer in the
form of operating and maintenance manuals. It is up to the employer to ensure
that what is provided is easily understood, and set out logically with illustrations
and standard symbols where appropriate. The information should normally be in
good plain English but other languages may be necessary in some cases.

The extent of the information and instructions will depend on the complexity of
the equipment and the specific risks associated with its use. They should cover:

 all safety and health aspects;

 any limitations on the use of the equipment;
 any foreseeable problems that could occur;
 safe methods to deal with the problems;
 any relevant experience with the equipment that would reduce the risks
or help others to work more safely, being recorded and circulated to
everyone concerned.

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3.1.9 The requirements for training lift truck operators

As the safe use of lift trucks depends largely upon the skill of the driver, training is
an essential first step in the reduction of injuries and damage caused by lift
trucks.

The operator should receive training on each type of equipment that s/he will
be expected to operate. The training should consist of three stages, basic,
specific job training and familiarisation training:

1. Basic training

This includes the basic skills and knowledge required for safe operation of the
type of fork lift truck and attachments, an understanding of the basic
mechanics of the truck, and the need to carry out routine daily checks. This
should be off-the –job training, which means that it is conducted at the premises
of the training organisation, or at the employer‟s own premises (in-house). If
training is conducted on the employer‟s premises, the area must be large
enough to allow for manoeuvring, and suitably closed off from other employees
and work activities.

2. Specific Job Training

This type of training should cover knowledge of the workplace, any special
requirements of the work to be undertaken and the use of specific attachments.
Again it should be training off-the-job and is often combined or integrated with
basic training.

This should include training and practice in the controls of the lift truck to be
used; loading and unloading, stacking and de-stacking, routine inspections of
the truck, which should be carried out by the operator; use of the truck in
various locations such as gangways, loading bays, slopes and in rough terrain

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and problems of working in poor weather conditions. Site rules such as one-way
systems, speed limits, work near overhead lines, excavations; work to be
undertaken such as loading particular vehicles and using working platforms on
forks.

What is covered in Specific Job Training?

As it says in the name, this training is specific to the job in hand, so will vary vastly
from business to business. It is important that the Specific Job Training delivered is
unique and relevant to the activities that the forklift operator will be completing
day-to-day in your organisation. However, the areas typically covered include:

Machine controls– the lift truck used during Basic Training may be different to the
lift truck an operator will be required to use in the workplace, so it‟s important to
pay attention to the layout and configuration of the controls on the workplace
lift truck, as well as its operating principles.

Attachments– many lift truck operators will be required to use attachments

during their role. This is a chance to introduce how to use these specific
attachments correctly.

Environment and conditions– the Basic training environment may be very

different to the real-life working environment that the operator will encounter.
Specific Job Training can cover the environment they will operate in, such as
confined areas, uneven surfaces, lifts, racking systems and cold stores, as well as
considering adverse weather conditions and the other vehicles on site.

Site rules– operations will have several rules, many of which are designed to
ensure safety. Training should cover speed limits, one-way systems, site layout,
use of protective clothing and devices, handling particular load types, using
specific attachments for loads, and more.

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Specific tasks– every business is different so its important to consider the actual
tasks that will form part of a forklift operators‟ daily workload in the particular
employer‟s operation. This can include handling particular load types or how
vehicles are loaded.

Inspection and maintenance– it is important for a lift truck operator to

understand how to inspect the make and type of trucks they will be working on
and to know about the maintenance requirements. This should all be done in
accordance with the manufacturer‟s handbook.

Safe practices– while all operator training is strongly focused on safety, this can
cover some of the more specific elements, including key custody arrangements
and truck safety procedures.

3. Familiarisation Training

Familiarisation training is conducted on-the-job and under close competent

supervision. Familiarisation training should be company and site specific,
covering company safety rules, site layout, personal protective equipment
requirements and emergency procedures.

Familiarisation training is the last stage of training for forklift truck operators. It
does not necessarily require a qualified instructor to do this as the person's
supervisor may be able to do it provided they have the requisite knowledge and
experience. Things that would be normally covered are.

 Applying, under normal working conditions, the skills already learned in

basic and specific training, starting with simple tasks and developing to
the more complex ones
 Becoming familiar with the lift truck activities of the employer

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 Familiarisation with site layout, local emergency procedures and any

other feature of the work which it is not practicable to teach off the job.

3.2 Recognise the characteristics of and what can be learnt from

High Reliability Organisations (HROs) - High Reliability Organisations
3.2.1 What is a HRO?

What might be the ultimate risk management machine, is called a „High

Reliability Organization‟ (HRO). HRO can be thought of as a very advanced
version of continuous quality improvement that extends to the performance of
an entire organization.

High-reliability organizations operate under challenging conditions yet

experience fewer problems than would be anticipated as they have developed
ways of “managing the unexpected” better than most organizations.

Some important characteristics of HROs:

 HROs manage unexpected risks successfully. They go beyond traditional

risk management practices in which internal and external risks are
identified and controls are built to mitigate them. Instead, they create a
culture and workforce that respond to threats dynamically.
 The high quality performance of HROs is sustained across time, allowing
the organization to adapt to changing conditions. The HRO is a learning
organization.
 HROs evolve in very complex environments they develop techniques and
human capacities in response to challenging circumstances that would
degrade the performance of less capable organizations.

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 HROs focus tightly on the outcomes that define the mission of the
organization. In this sense, they are mission driven.

3.2.2 Characteristics of a HRO

Containment of unexpected events by: having in place back-up systems in the

event of failures and cross-checking of important decisions (redundancy),
allowing people with expertise, irrespective of rank, to make safety-critical
decisions in emergencies, whilst during routine operations there is a clear
hierarchical structure and an understanding of who is responsible for what
(deference to expertise in emergencies, oscillation between hierarchical and
flat organisational structures), investment in training and technical competence
and use of well-defined procedures to cover all possible unexpected events.

Effective problem anticipation by: engaging with front line staff in order to
obtain „the bigger picture‟ of operations (sensitivity to operations), being
attentive to even seemingly minor or trivial signals that may indicate potential
problem areas within the organisation and using near misses and incidents as
indicators of a system‟s health (preoccupation with failure), systematically
collecting and analysing all warning signals and avoid making assumptions
regarding the causes of failures; and using accident investigations to identify the
potential systemic factors contributing to incidents (reluctance to simplify).

Just culture characterised by open reporting systems for near misses and
accidents without fear of punishment, follow-up of accident investigation
outcomes by implementing corrective actions, empowering staff to abandon
work on safety grounds and fostering a sense of personal accountability for
safety.

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Learning orientation through continuous technical training, systematic analysis of

incidents to identify their root causes and accident types within the
organisation, open communication of accident investigation outcomes, and
updating procedures in line with the organisational knowledge base.

Mindful leadership characterised by proactive commissions of audits to identify

problems in the system (often in response to incidents that occur in other similar
industries), „bottom-up‟ communication of bad news, engagement with front
line staff through site visits, investment of resources in safety management and
the ability to balance profits with safety.

3.2.3 The lessons that other organisations can learn from HROs

High Reliability Organizations, also called HROs, manage to consistently deliver

high performance over a long period of time in an extremely challenging
environment. Learning the hard way is no option for HROs as they operate in
areas where any mistake can have severe consequences. On top of this HROs
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manage to quickly adapt to changing circumstances and come up with

innovative solutions to complex problems (Bierly et al. 2008). As managers from
the private and public sector we were wondering what lessons we could learn
from HROs. Starting from here, we had a look at research and theory behind
HROs and derived five evidence-based practices you can implement in your
organization.

It is important to recognize risks, deviations and problems

There are numerous cases where managers recognized issues too late and as a
consequence put an organization into harms way. A full blown crisis with an
organization‟s survival at risk can be the consequence (Foster and Kaplan 2008)
in a worst case scenario. Recent examples like Lehmann Brother‟s and Kodak‟s
bankruptcy, Nokia‟s decline (McCray et al. 2011), BP‟s Deepwater Horizon oil
spill, Greek‟s potential withdrawal from the Eurozone and VW‟s Diesel crisis
remind us that such a worst case scenario is not as unrealistic as it might sound
at first glance.

Fortunately, as managers we usually face less severe issues such as budget

overruns, time delays and quality issues. However, there is a fine line between
projects spinning out of control and a full blown crisis. When it comes to work
accidents HROs and other organizations share the same objective: zero
accidents. What can we learn from HROs to detect issues early enough or avoid
them at all?

Fostering pro-social motivation helps orientation towards others

The famous motto “one for all, all for one” from Alexandre Duman‟s novel “The
Three Musketeers” points out the key characteristic of pro-social individuals. In a

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process called mindful organizing (Weick and Sutcliffe 2006) prosocial individual
contribute to high reliability by recognizing and raising issues early and
holistically. Instead of putting individual interests highest on the agenda, pro-
social individual tend to keep an eye on developments that are relevant for
their teams and the entire organization. They are other-oriented (Vogus et al.
2014) and see it as part of their responsibility to contribute to the positive
development of the organization.

Encourage emotional ambivalence and avoid getting trapped in the comfort

zone

Do you remember a situation where you simultaneously experienced happiness

and sadness or hope and fear? This state of mind is called emotional
ambivalence and increases the quality of decision making (Rees et al. 2013). It
makes us look at the world from different perspectives and engage in deep
information processing. Emotional ambivalent individuals avoid the comfort
zone trap. They don‟t get caught into too optimistic and pessimistic situational
judgements but engage in a more balanced decision making process (Vogus et
al. 2014). Emotional ambivalence is another contributor to mindful organizing
which is a key characteristic of HROs.

Establish a psychologically safe environment and nurture communication

Do your employees speak-up when they think they recognize something

noteworthy? Do your team members share their knowledge with each other?
When you can truly answer these questions with “yes” you most properly
managed to establish a work environment that is characterized by

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psychological safety. When people feel safe in their work environment they take
interpersonal risks by speaking up and sharing their knowledge with others
(Edmondson and Lei 2014). Thus, establishing a psychological safe work
environment is priority one when you want your organization to address risks and
opportunities as early as possible.

Develop a balanced organizational culture by increasing diversity

There is plenty of research supporting the claim that companies with a

masculine dominated organizational culture tend to prioritize a risk-taking and
firefighting mentality over issue avoidance (Ely and Meyerson 2010). When you
as a leaders represent this “Great men are forged in fire” mentality, you are
going to reinforce this type of behaviour by incentivising it (Collinson and Hearn
1996). And yes, masculine dominated organizational cultures are usually
traditional male occupations which tend to encompass physical risks (Ely and
Meyerson 2010). You can implement measures to increase diversity and
conduct training sessions that address the risks of a masculine dominated
organizational culture.

Focus on communication - the more the better

Communication is the lifeblood of any organization. Operating in a highly

sophisticated and dynamic environment, HROs have developed a unique
approach to communication that can be applied in other organizations as well
(Patterson et al. 2004). Communication in this context is more than verbal
communication between individuals. It covers any mean of communication
such as visualization, gesture, electronic communication and traditional face-to-

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face communication. The easy to apply heuristic reduce, reveal and focus
grasps the way HRO communicate (Patterson 2007).

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