PSM S3

PRINCIPLES OF SAFETY
MANAGEMENT
Lecture 1 - Introduction
By
Vinu Thomas
Division of Safety and Fire Engineering
CUSAT, Cochin
Course Outcomes
On the completion of this course, students
will be able to
Explain the concepts of safety, safety

equipment and safety organization
Analyse job safety, accidents through

accident models and estimate costs
Course Outcomes
On the completion of this course, students
will be able to
Estimate safety performance using various

indices
Produce different types of permits, reports

and compliance check lists
Syllabus – Module I
Introduction-Safety -Goals of safety engineering. Need for safety.
Safety and productivity. Definitions: Accident, Injury, Unsafe act,
Unsafe Condition, Dangerous Occurrence, Reportable accidents.
History of safety movement. Theories of accident causation. Safety

organization, objectives, types, functions, Role of management,
supervisors, workmen, unions, government and voluntary agencies
in safety. Safety policy. Safety Officer-responsibilities, authority.
Safety committee-need, types, advantages
Syllabus – Module II
Accident prevention methods- Engineering, Education and
Enforcement. Safety Education & Training -Importance, Various
training methods, Effectiveness of training, Behaviour oriented
training. Communication- purpose, barrier to communication.
Housekeeping: Responsibility of management and employees.

Advantages of good housekeeping. 5 s of housekeeping. Work
permit system- objectives, hot work and cold work permits. Typical
industrial models and methodology. Entry into confined spaces.
Syllabus – Module III
Personal protection in the work environment, Types of PPEs,
Personal protective equipment respiratory and non respiratory
equipment. Standards related to PPEs. Monitoring Safety
Performance: Frequency rate, severity rate, incidence rate, activity
rate.
Cost of accidents- Computation of Costs- Utility of Cost data. Plant

safety inspection, types, inspection procedure. Safety sampling
techniques. Job safety analysis (JSA), Safety surveys, and Safety
audits. Safety Inventory Technique.
Syllabus – Module IV
Accident investigation Why? When? Where? Who? & How? Basics-
Man- Environment & Systems. Process of Investigation Tools-Data
Collection-Handling witnesses- Case study. Accident analysis
Analytical Techniques-System Safety-Change Analysis-MORT-Multi
Events Sequencing-TOR.
MORT- Management Oversight and Risk Tree

TOR – Technique of Operations Review
References
Safety Management in Industry – Krishnan N V
Safety Management – John V Grimaldi, Rollin H Simonds
Industrial Safety - Ronald P Blake
Modern Accident Investigation and Analysis – Ted S Ferry
Safety Management System – Alan Waring
Accident Prevention Manual for Industrial Operations – National

Safety Council
Introduction to safety
Safety is the state of being "safe", the condition of being
protected from harm or other non-desirable outcomes
Safety word origin- salvus (Latin)  sauveté (French)

Need for safety
• To prevent accident, incident and injuries
• To prevent damage to an equipment

Safety and Security – Is it same?
SECURE SAFE
Protection Protection from
from Interchangeable in
deliberate many instances accidents and
threats mishaps
Is there a need of
Safety Officers in an
Industry?
Bhopal Gas Tragedy
A gas leak on the night of 2–3 December 1984 at the Union Carbide
India Limited (UCIL) pesticide plant in Bhopal, Madhya Pradesh
Considered as the worst industrial disaster in the world
3787 Deaths
5,74,366 Injured Victims
Compensation of Rs. 715 crore paid

Accidents lead to safety
 Industrial Revolution of 18th and 19th centuries gave birth to large
number of industries
Poor working condition and increasing work-place accidents led to

the labour movements leading to worker safety
Litigations against companies for compensations for accidents

forced the companies to look into safety seriously
What is safety management?
• Managing business activities and applying
principles, framework, processes to help prevent
accidents, injuries and to minimise other risk
Safety Engineering
 Process of designing workplaces to prevent
accidents
Safety Engineering-Goals
 To prevent/mitigate failures
Assures that a life-critical system behaves as needed, even

when components fail
To ensure that hazards are identified and addressed

throughout the life cycle of a program and system
Safety and Productivity
There are still too many companies and too many working cultures
that view safety trainings as productivity bottlenecks
One viewpoint “no one gets paid for not having accidents; they get
paid for producing goods
Other viewpoint “Injured workers don't produce anything. Even more

to the point, workers afraid of getting hurt produce less”
Safety doesn't stand in the way of productivity; safety is productivity

THANK YOU
MANAGEMENT
Lecture 2 - Definitions
By
Vinu Thomas
CUSAT, Cochin
Incident
• An unplanned, undesired event that adversely affects
completion of a task
• Incidents range in severity – near misses to
dangerous fatality
Accident
• An undesired event that results in personal injury or
property damage
• All accidents are incidents, but not all incidents

are accidents
Injury
• Physical harm or damage to someone's body caused
by an accident
NEAR-MISS (Dangerous Occurrence)
• Incidents where no property was damaged and no

personal injury sustained, but where, given a slight
shift in time or position, damage and/or injury easily
could have occurred
Reportable accidents
• A reportable accident is an accident with serious injury.
• With serious injury is meant death (within a year after the

accident), permanent injury and injury with hospitalisation
within 24 hours and for 24 hours (or a night).
• A broken leg - not a reportable accident

Causes of accidents
• Unsafe act
• Unsafe working conditions
• Personal factors
• Environmental factors
Unsafe act
• Operating without authority
• Not wearing personal protective equipment
• Improperly using tools and equipment
• Smoking in prohibited areas
• Operating machine with extra speed

Unsafe working condition
• Defective equipment, machine and tools
• Insufficient illumination
• Improper plant layout
• Lack of supervision
Personal factors
• Age
• Health – Physical and Mental
• Social
Environmental factors
• Atmospheric conditions such as dust, humidity, noise,
vibrations
MANAGEMENT
Lecture 2 (Contd.)
History of safety movement
By
Vinu Thomas
CUSAT, Cochin
Why study history?
• It is important for a safety engineer to look into the
past and study from the past incidents
• Understanding the past helps to examine the present
and future with a sense of perspective and continuity
• Modern developments in health and safety are part of
the long continuum of developments in safety and
health movement
History of safety
movement – BC to AD
• ~ 2000 BC - Babylonia - Code of Hammurabi - “An eye for
an eye - a tooth for a tooth”
• ~ 1500 BC - Egyptian civilization - Rameses II created an
industrial medical service for the workers
• Roman empire - Concerned with safety and health
• 1567 AD - Philippus Aereolus --> Book on pulmonary
diseases of mine workers
• 1760 AD- Bernardino Ramazzini - Book on the diseases
of workers
Industrial Revolution
• Changed forever the methods of producing goods
• Child labour was common
• Long working hours
• These changes necessitated a greater focusing of

attention on the safety and health of workers
Tragedies that changed
the safety movement
Hawk’s nest tragedy (1930 – 35)
• Large-scale incident of occupational silicosis as the result
of the construction of the Hawks Nest Tunnel near
Gauley Bridge, West Virginia, as part of a hydroelectric
project
• One of the worst industrial disasters in American history
the safety movement
Asbestose menace
• Asbestos was once considered a “miracle” fiber – Good electrical and
thermal insulator – widely used as a building material
• But in 1964, Dr. Irving J. Selikoff presented how asbestos is killing
workers
• Selikoff was the first to link asbestos to lung cancer and respiratory
diseases.
• These findings changed how Americans viewed not just asbestos,
but also workplace hazards in general.
the safety movement
Bhopal gas tragedy
A gas leak on the night of 2–3 December 1984 at the Union Carbide
India Limited (UCIL) pesticide plant in Bhopal, Madhya Pradesh
Worst Industrial Disaster
3787 Deaths
5,74,366 Injured Victims

the safety movement
Factory fire in Bangladesh (2012)
• A garment-factory fire in Bangladesh killed 112 employees.
• Fire inspectors suspect that an electrical short circuit caused the blaze
• Factory had a functioning fire alarm and the alarm did go off properly.
• Factory’s fire extinguishers did not work and were displayed only to
fool inspectors
Milestones in safety
movement-Factories Act
• The Act is administered by the Ministry of Labour and
Employment in India through its Directorate General
Factory Advice Service & Labour Institutes (DGFASLI)
and by the State Governments through their factory
inspectorates.
• DGFASLI advises the Central and State Governments
on administration of the Factories Act and
coordinating the factory inspection services in the
States.
Milestones in safety
movement-Factories Act
• Factory act ,1881
• Factory act, 1891
• Factories act, 1948 (Amended in 1954, 1976, 1987)
Summary of Factories Act (1948)
1. Definitions of adult, adolescent, child, young person, machinery,
manufacturing process, worker, factory, occupier, etc.’ and requirement of
plans, license and registration of a factory
2. Appointment and powers of Inspectors and Certifying Surgeons.
3. Health provisions regarding cleanliness, waste disposal, ventilation and
temperature, dust & fume, artificial humidification, overcrowding, lighting,
drinking water, latrines &: urinals and spittoons.
4. Safety requirements of machine guarding, lifting machines, pressure plants,
floors, stairs, pits, sumps, excessive weights, protection of eyes and
precautions against dangerous fumes, explosive gas, dust, etc., fire,
building, and machinery.
5. Welfare facilities of washing, clothing, sitting, first-aid, canteen, rest-room,
creche and welfare officer.
Summary of Factories Act (1948)
6. Working hours – 8 hrs a day, 48 hrs a week, spread over 10.5 hrs, rest
interval 0.5 hr, weekly and compensatory holiday, double wages for
overtime, a notice of working hours, the prohibition of double employment
and overlapping shifts, muster roll, restrictions on women employment and
exempting rules and orders.
7. Employment of young persons (15th to 18th year), child up to 14th year
not allowed, certificate of fitness, medical examination, reduced working
hours, muster roll, etc.
8. Annual leave with wages, 1 day for every 20 workdays, eligibility, etc.
9. Special provisions to notify factories, dangerous operation, a notice of
accidents and diseases, power to take samples, etc.
10. Penalties & procedure (maximum fine Rs. 500, enhanced Rs. 1000).
11. Supplemental i.e. appeals, returns, obligations of workers, rulemaking
powers, etc.
References:
• Occupational Safety and Health for Technologists, Engineers, and
Managers - David L. Goetsch
• https://labour.gov.in/sites/default/files/TheFactoriesAct1948.pdf
THANK YOU
MANAGEMENT
Lecture 3
Theories of accident causation
By
Vinu Thomas
CUSAT, Cochin
Introduction
3,562 workers died in factory accidents across India
between 2014 and 2016
More than 51,000 were injured in that period
Source: Labour and Employment Ministry

Introduction (contd.)
Why do accidents occur?
In order to prevent accidents, we must know why
they happen
Several theories of accident causation have evolved
over the years, that attempt to explain why accidents
occur
Models based on these theories are used to predict
and prevent accidents
Theories of accident
causation
• Domino Theory (and its updations)
• Human Factors Theory
• Accident/Incident Theory
• Epidemiological Theory
• Systems Theory
Domino theory
• Developed by H. W. Heinrich in 1931
• Based on the reports of 75,000 industrial accidents,
he concluded that
88% accidents  caused by unsafe acts of workers
10% accidents  caused by unsafe conditions
2% accidents are unavoidable

Domino theory
Every accident occurs like a row of dominos falling on
the next domino
FIVE factors in the sequence of events leading up to
an accident
1. Ancestry and social environment  Negative
character traits that may lead people to behave in an
unsafe manner can be inherited (ancestry) or
acquired as a result of the social environment
Domino theory
the next domino
an accident
2. Fault of person Negative character traits,
whether inherited or acquired, are why people behave
in an unsafe manner and why hazardous conditions
exist
Domino theory
the next domino
an accident
3. Unsafe act/mechanical or physical hazardUnsafe
acts committed by people and mechanical or
physical hazards are the direct causes of accidents
Domino theory
the next domino
an accident
4. Accident Typically, accidents that result in injury
are caused by falling or being hit by moving objects
5. InjuryTypical injuries resulting from accidents
include lacerations and fractures
Domino theory
 An "accident" is one factor in a sequence that may
lead to an injury
 The factors can be visualized as a series of dominoes
standing on edge; when one falls, the linkage required
for a chain reaction is completed
Each of the factors is dependent on the preceding
factor
Domino theory
Key points:
(1)Injuries are caused by the action of preceding
factors
(2)Removal of the central factor (unsafe act/hazardous
condition) negates the action of the preceding
factors and, in so doing, prevents accidents and
injuries.
Domino Theory
Corrective Action Sequence: 3 E’s
Engineering– Control hazards through product design
or process change
Education– Train workers regarding all facets of
safety– Impose on management that attention to
safety pays off
Enforcement– Ensure that internal and external
rules, regulations, and standard operating procedures
are followed by workers as well as management *facets= aspects
Bird’s Theory (International Loss
Control Institute model)
• Proposed by Frank E. Bird as an update to
Domino Theory
• Introduced two new concepts;
• Influence of management and managerial
error(1st domino)
• Loss, as the result of an accident could be
production losses, property damage or
wastage of other assets, as well as injuries
(5th domino)
 Highly focussed on the role of management in controlling the
accident related damage; injury and resultant loss
 Emphasises the importance of looking for the basic causes for the
causation of accidents rather than the immediate cause
Adam’s Theory
• Proposed by Edward Adam
• Tactical errors in employee’s behaviour and work conditions
are seen arising out of operational errors made by the
managers or supervisors
• i.e. prevention of unsafe situations depends on the attitude
of supervisors, while the attitude of the workers depend on
the supervisors
• Interest taken by the management will reflect on the safety
of the company as a whole
Adam’s Theory
Weaver’s Theory
• An updation of Domino theory by D A Weaver
• According to this theory, last three dominos are expressed as

symptoms of operational error
• They are caused by management omissions

Weaver’s Theory
Accident Triangle (Safety Triangle or Heinrich
pyramid)
Herbert Heinrich
Accident Triangle (Safety Triangle or Heinrich
pyramid)
Herbert Heinrich first theorized that severe
injuries often occur after many less severe
injuries and near misses, and that these events
occur in a fixed ratio of 300 near misses to 29
less severe injuries to 1 major injury
Human Factors Theory
Attributes accidents to a chain of events ultimately caused by
human error.
 Following three broad factors lead to human error:
 Overload
 Inappropriate response
 Inappropriate activities
Factors that cause
human errors
Inapprop
Over-
riate
load
response
Inappropriate
activities
Overload
Overload
Depends on natural
ability, training, state of
Capacity mind, fatigue, stress, and
Load physical condition.
Consists of tasks for which he or she is responsible,

and added burdens resulting from
environmental factors (noise, distractions)
internal factors (personal problems, emotional stress)
& situational factors (level of risk, unclear instructions)
Inappropriate response How a person responds in a given situation
can cause or prevent an accident
Detecting a hazard & not correcting it
Removing safeguards from machines
Ignoring safety
Inappropriate activities  Leads to human error leading to accidents
Performing tasks without training
Misjudging the degree of risk involved in a task

Accident/Incident Theory
An extension of the human factors theory developed
by Dan Petersen
In this model, overload, ergonomic traps or a
decision to err lead to human errors
Systems failure component is an important
contribution of Petersen’s theory
Overload Accident/Incident theory
 Pressure
Decision to err
 Fatigue
Ergonomic traps  Misjudgement
 Motivation
 Drugs/Alcohol  Incompatible of the risk
 Worry workstation  Unconscious
 Incompatible desire to err
expectation  Logical decision
System failure based on the
 Policy
 Responsibility situation
Human error
 Training
 Inspection
Injury/
 Corrections Accident Damage
 Standards
Epidemiological Theory
• Key components: predispositional characteristics &
situational characteristics.
• These characteristics, taken together, can either result in or
prevent conditions that may result in an accident
• E.g: An employee who is particularly susceptible to peer
pressure (predispositional characteristic) is pressured by his
coworkers (situational characteristic) to speed up his
operation Increased probability of accident
Epidemiological theory
Predispositional Situational
characteristics characteristics
 Susceptibility of  Risk assessment
people by individuals
 Perceptions  Peer pressure
 Environmental  Priorities of
factors supervisor
 Attitude
Can cause or prevent accidents

Systems Theory
• A system is a group of regularly interacting and interrelated
components that together form a unified whole
• This theory views a situation in which an accident may

occur as a system is composed of the following
components: person (host), machine (agency), and
environment
Systems Theory
• The likelihood of an accident occurring is determined by
how these components interact
• Changes in the patterns of interaction can increase or

reduce the probability of an accident
Systems Theory
Feedback loop
Person
Machine Collect Weigh Make Task to be
information risks decision performed
Environment
Interaction
Reference Book:
• Occupational Safety and Health for Technologists, Engineers, and
Managers - David L. Goetsch
• https://www.hse.gov.uk/quarries/education/documents/topic3.doc
THANK YOU
MANAGEMENT
Lecture 4
Safety Management Systems
& Safety Organisations
By
Vinu Thomas
CUSAT, Cochin
Safety management system
(SMS)
• A continuous improvement process that reduces hazards and prevents incidents.
• An effective safety management system has the following facets:
• People –real safety change can’t happen without a competent, skilled workforce
• Planning – thinking ahead is half the battle of implementation; planning for
foreseeable risks and the administrative parts of a management system
• Programs – most companies have EHS programs that identify and control hazards,
monitor and measure operational impacts to EHS performance, and eliminate
deviations from the management system
• Progress – to avoid complacency, companies need to periodically measure their
compliance with regulatory and legal requirements, audit their SMS system, and
review SMS performance with upper management
• Performance – measures of performance need to be set and include both lagging
indicators and leading indicators
Standards on Safety Management Systems
• OHSAS 18001, Occupational Health and Safety Assessment Series, was a British
Standard for occupational health and safety management systems.
• ISO 45001 is an ISO standard for management systems of occupational health

and safety (OH&S), published in March 2018.
• Goal of ISO 45001 is the reduction of occupational injuries and diseases,

including promoting and protecting physical and mental health
Safety Organisation
• Structure and process by which groups of people
(employees) are divided into sections or departments, each
section or department is assigned specific safety function or
duty
• Authority and responsibility of everybody is clearly defined

and inter-relationship between them is specified for the
accomplishment of organisational safely goals
Types
• Safety organisation in an industry
• Governmental safety organisation
• Voluntary safety organisation

Objectives
1. To promote and maintain safety in all walks of life viz. industrial
safety, road safety, home safety etc.
2. To suggest safety rules for statutory amendments.
3. To conduct safety studies and seminars on major hazards and to
publish reports for guidance.
4. To educate and train people for safety.
5. To publish safely bulletins, booklets, posters and literature for
general safety awareness and increasing knowledge.
6. To conduct safety courses for safety officers, supervisors,
inspectors, workers and management.
Objectives
7. To conduct safety competitions and to give' safety awards for
encouragement.
8. To give requisite guidance on special safety problems of industries,
government, workers, unions and associations
9. To carry out safety surveys, analysis, inspections, accident
investigations and specific work studies for detecting and removing
hazards.
Safety Organization in an Industry
General Organisation
Structure in an Industry
Need for organisation
• Contributes greatly to success and continuity of an
enterprise in the following ways
 Facilitates administration and other functions of
management process
Facilitates growth and diversification
Permits optimum use of technological improvements
Attains maximum efficiency with minimum costs
Safety Organisation
• A large unit may have a safety department which may have
groups of people for division of such safety function and
responsibilities.
• In a small unit, where less persons are available for safety

work, they will be assigned specific duty and other
departmental heads will be explained their role and
responsibility towards safety goals
Safety Organisation
• All supervisors shall be entrusted with safety as part of their
duty
• 'Safety is everybody's duty' will be explained to all with their

safety duty given in writing or by displaying at their
workplaces
Company Board
Top Management
Managing Director
Safety Executive & Department
Safety Manager/Departmental Middle Management

Committee Heads
Supervisors
Workers
Supervisory Management
Safety
Representatives
Responsibilites
• The Company Board decides the safety policy and objectives and monitors its
implementation.
• Managing Director is reportable to the Board for implementation of safety policy.
• Safety executive or safety department reports to MD.
• Managers are answerable to the Safety Department or Executive for application of the
safety arrangements.
• Supervisors are reportable to the Managers for shop floor extension and application of
safety policy, rules and procedures.
• Workers are responsible to their supervisors for effectively carrying out the safety rules
and precautions.
• Safety Representatives selected from workers and supervisors advise and assist to
Safety Committee for promoting health and safety.
• Safety Committee advises on all matters of safety and health to the Managers and the
Managing Director.
Role of Management
• Must set up a safety policy in writing and communicate to all
staff members
• Make it clear to managers and supervisors that the
management is behind the safety programme and the staff is
accountable for the success of the safety programme
• Provide a safe and healthy place to work, including
a) Safe equipment and tools
b) Safeguard machinery
c) Safe processes and operations
d) Inspection system to discover and correct the hazards
Role of Management
• Provide adequate training and supervision to develop safe
work habits
• Organising safety activities as a continuous programme
eg. 1) Accident reporting
2) Accident investigation
3) Make accident statistics
Role of Supervisor
• Should communicate the instructions from the management
to the employees/workers
• Supervisor is in key position to reduce accidents since they
personally know the work force and work conditions
• Supervisor controls the workforce by example
• Support of capable supervisors is essential for any safety
programme
Role of Workmen
• Should report unsafe working conditions which are beyond
his control to the supervisor
• Should not interfere in others work in a way that may cause
accidents
• Should not allow others to interfere in own work in a way that
may cause accidents
• Should pass their knowledge to fellow employees on safety
matters
• Being members of trade union, they can contribute towards
making recommendation on safety to the management
Role of Trade Unions
• Trade union - An association of workers forming a legal unit
• Are usually formed for the purpose of securing improvement in pay,
benefits, working conditions
• Should help the management in the joint task of safety
a) Checking and demanding for safe place
b) Training and insisting their members to ensure safe practices
c) Actively participating in all safety campaigns
THANK YOU
MANAGEMENT
Lecture 5
Government and Voluntary Organisations
By
Vinu Thomas
CUSAT, Cochin
6-Aug-2020
Role of Government
Organisations
• Formulate laws on safety
• Update the rules/regulations as per the changing needs
• Should not give license to unauthorized organisations
• Impose penalties for violation of regulations
• Carry out inspections and audits

Role of Government
Organisation
• Ministry of Labour and Employment
• India's ministry which is responsible to protect and safeguard the

interest of workers in general
• Present Minister: Santosh Gangwar
• Central Labour Commissioner
• 44 labour related statutes enacted by the Central Government

DGFASLI
• Directorate General, Factory Advice Service and Labour
Institutes (DGFASLI)
• An attached office of the Ministry of Labour & Employment
• Setup in 1945
• Objective of advising Central And State Governments on
administration of the Factories Act and coordinating the
factory inspection services in the States
• Headquarters: Mumbai
• Central Labour Institute in Mumbai
• Regional Labour Institutes in Chennai, Kanpur, Kolkata and
Faridabad
Role of Government
Organisation
• Labour Commissionerate, Kerala
• Minister: T P Ramakrishnan
• Labour Commissioner: Pranabjyoti Nath I.A.S

Voluntary Organisations
International Labour Organization (ILO)
• A United Nations agency set up in 1919
• Headquarters: Geneva, Switzerland
• To advance social and economic justice through

setting international labour standards
Occupational Safety and Health Administration (OSHA)
• An agency of the United States Department of Labor.
• Headquarters: Washington, USA
• To assure safe and healthy working conditions for
working men and women by setting and enforcing
standards and by providing training, outreach, education
and assistance
National Safety Council (NSC), India
• An autonomous body, which was set up by the

Government of India on 4th March 1965
• Headquarters: Navi Mumbai

Petroleum And Explosives Safety Organisation (PESO)
• A department formed by Government of India
• To control import, export, transport, storage and

usage of explosive and flammable materials
National Safety Council (NSC), USA
• Founded in 1913
• Headquarters: Illinois
British Safety Council
• Registered charity founded by James Tye in 1957
• Headquarters: London
Institution of Occupational Safety and
Health (IOSH)
• A global organisation for health and
safety professionals, based in UK
• Founded in 1945
• Motto: A safe and healthy world of work

International Institute of Risk & Safety
Management (IIRSM)
• Headquarters: London
• Founded in 1975
• Motto: The professional home for everyone who

manages risk
National Fire Protection Association (NFPA)
• International nonprofit organization devoted to
eliminating death, injury, property and economic loss
due to fire, electrical and related hazards
• Set up in 1896
• Headquarters: Massachusetts
Loss Prevention Association (LPA)
• Set up in January 1978 in India
• Engaged in promotion of safety and loss control through

education, training and consultancy
Oil Industry Safety Directorate (OISD)
• Set up in 1986 by Ministry of Petroleum and Natural Gas
• Formulates and implements safety standards for the oil

industry
Food Safety and Standards Authority of India
(FSSAI)
• An autonomous body established under Govt.
of India
• Regulation and supervision of food safety
• Headquarters: New Delhi
• Established on 5 August 2011
• https://www.youtube.com/watch?v=dq0AxeDxpEI - ILO
THANK YOU
MANAGEMENT
Lecture 6
Safety Policy
By
Vinu Thomas
CUSAT, Cochin
11-Aug-2020
Differences – Policy Vs. Rules
Policies Rules
Broad guidelines that reflect the aims Meant more for day-to-day operations
and objectives of the organization to proceed smoothly
Guiding principle used to explain the Statement about what to do, or not
"way things are done around here" to do, in a specific situation
Forms the basis for detailed rules Are derived from policies
Not changed frequently May often get changed
Need to be implemented Need to be enforced
Characteristics of a good policy
1. It is based on objectives and should indicate how to attain them.
2. Clear, definite, explicit, precise and easily understandable.
3. Indicative of criteria limits and yardsticks for action.
4. Stable as well as flexible.
5. With norms of ethical behaviour and legal standards.
6. Fair to internal as well as external stakeholders.
Safety Policy
• An organization's safety policy is a recognized, written statement of
its commitment to protect the health and safety of the employees,
as well as the surrounding community.
• The safety policy also details the measures the company takes and
will take to protect the life and health of their employees, often
surpassing the requirements set out by the laws or by the standard
practices of the industry
Safety Policy
• Document which enables the implementation of safety activity
• Refers to the principle and directive for the course of actions to be

adopted and followed by the company
• Serves as a medium to express the management’s concern for

safety and health of the people
• Policy is above rules and practices

Parts of Safety Policy
• There are generally three sections in a safety policy, which include:
• Statement of the policy - The employer’s commitment to managing

health and safety and the goal of the policy
• Responsibility - Stating who is responsible for implementing, enacting,

and tracking each element of the policy
• Arrangements or procedures - Outlines the details of procedures

including the reduction of hazard policy
Parts of Safety Policy
• It may also include details about the following:
• Employee training
• Use of administrative controls, hazard isolation, locking, warnings,
signs and symbols marking hazards, etc.
• Use of personal protective equipment (PPE)
• Removing hazardous materials or replacing them with less harmful
alternatives
• Improved lighting and working environment
• Prevention of slip, trip, and fall incidents
Effectiveness of Safety Policy
• To be effective, a policy must:
• involve senior management and representatives in the
preparation of the policy,
• be seen as consistent with the workplace's objectives of
operating in an efficient and predictable manner,
• be relevant and appropriate to the nature, scale and OHS
hazards and risk associated with that workplaces’ needs (not
adopted from another workplace), and
• be accepted as equal in importance to the workplace's other
policy objectives.
Who should write Safety Policy?
• Employer is responsible for content of safety policy, he/she
may delegate the preparation of a policy to a staff member.
• The policy should be written in consultation with the health

and safety committee or representative, or with workers or
their representatives.
• Safety policy should be dated and signed by the senior

executive of workplace.
Indian Oil Corporation Limited- Safety Policy
• Indian Oil Corporation is committed to conduct business with strong
environment conscience ensuring sustainable development, safe
workplaces and enrichment of quality of life of Employees,
Customers and the Community.
• We, at Indian Oil, believe that good S, H&E performance is an
integral part of efficient and profitable business management.
(Contd.)
We shall:
• Establish and maintain good standards for safety of the people, the processes
and the assets.
• Comply with all Rules and Regulations on Safety, Occupational Health and
Environmental Protection.
• Plan, design, operate and maintain all facilities, processes and procedures to
secure sustained Safety, Health and Environmental Protection.
• Remain trained, equipped and ready for effective and prompt response to
accidents and emergencies.
• Welcome audit of our S, H&E conduct by external body, so that stakeholder
confidence is safeguarded.
(Contd.)
We shall:
• Adopt and promote industry best practices to avert accidents and improve our S,
H&E performance.
• Remain committed to be a leader in Safety, Occupational Health and
Environment Protection through continuing improvement.
• Make efforts to preserve ecological balance and heritage
RIL – Health and Safety Policy
• “Safety of person overrides all the targets” is the Health, Safety and
Environment policy of Reliance.
• Reliance believes that all injuries, occupational illnesses as well as

safety and environmental incidents are preventable.
• Reliance shall strive to be a leader in the field of management of

Health, Safety and Environment.
Reliance is committed to
• Conduct all its activities in such a manner as to avoid harm to employees,
contractors and the community.
• Promote occupational health of its employees and contractors.
• Improve continuously its environmental practices and performance.
• Minimize adverse impact on environment and risks to the community that
arise due to its operations and during transportation and distribution of its
goods.
• Utilize energy resources in a responsible and efficient manner so as to reduce
emissions and generation of effluent and waste products.
• Comply with all statutory requirements concerning Health Safety and
Environment
• Create culture of learning and practicing Health, Safety and Environment
systems, procedures and practices among all its employees and contractors.
Reliance strives to achieve this objectives by
References
• https://www.ccohs.ca/oshanswers/hsprograms/osh_policy.html
• https://www.hse.gov.uk/toolbox/managing/writing.htm
• https://www.safeopedia.com/definition/450/safety-policy
• http://www.wcb.pe.ca/DocumentManagement/Document/pub_guid
etoworkplacehealthandsafetypolicy.pdf
• https://www.ril.com/Sustainability/HealthSafety.aspx
• https://www.iocl.com/AboutUs/Hse-policy.aspx
• Fundamental of Industrial Safety and Health – Book by Dr. K U
Mistry(Pages 309 to 313)
THANK YOU
MANAGEMENT
Lecture 7
Safety Officer, Safety Committee
By
Vinu Thomas
CUSAT, Cochin
13-Aug-20
Safety Officer
• Required as per Section 40 B of the Factories Act 1948
Safety Officer -
Responsibilities
• Advise and assist the factory management in the
fulfillment of its obligations, statutory or otherwise,
concerning prevention of personal injuries and
maintenance of a safe working environment
Duties shall include the following
(i) to advise the concerned departments in planning and organizing measures
necessary for the effective control of personal injuries;
(ii) to advise on safety aspects in all job studies, and to carry out detailed job
safety studies of selected jobs;
(iii) to check and evaluate the effectiveness of the action taken or proposed to be
taken to prevent personal injuries;
(iv) to advise the purchasing and stores departments in ensuring high quality and
availability of personal protective equipment
Safety Officer –
Responsibilities
v. to advise on matter related to carrying out plant safety
inspections;
vi. to carry out plant safety inspections
vii. to render advice on matters related to reporting and investigation of
industrial accidents and diseases;
viii.to investigate selected accidents
ix. to investigate the cases of industrial diseases contracted and dangerous
occurrences
x. to advise on the maintenance of such records as are necessary relating to
accidents, dangerous occurrence and industrial diseases;
xi. to promote setting up of safety committees and act as adviser and catalyst to
such committees;
Safety Officer –
Responsibilities
x. to organize campaigns, competitions, contests and other
activities
xi. to design and conduct suitable training and educational
programmes for the prevention of personal injuries
Safety Committee
• A safety committee is a standard in many corporate

safety organizations
• Safety committees are composed of members of
management and representatives from the employee
group
• Mandatory requirement as per the section 41G of
Factories Act 1948
• in every factory where a hazardous process takes
place or where hazardous substances are used or
handled
• equal number of representatives of workers and
management
Safety Committee:
Need
• Promotes co-operation between the workers and the
management in maintaining proper safety and health at
work and to review periodically the measures taken in
that behalf
Safety Committee:
Functions and Duties
1. Assisting and co-operating with the management in
implementing the 'Health and Safety Policy‘
2. Dealing with all matters concerning health, safety and
environment and to arrive at practicable solutions to problems
encountered;
3. Creating safety awareness amongst all workers;
4. Undertaking educational, training and promotional activities;
5. Deliberating on reports of safety, environmental and occupational health surveys, emergency
plans safety audits, risk assessment and implementation of the recommendations made in
the reports;
6. Carrying out health and safety surveys and identify causes of accidents;
7. Looking into any complaint made on the likelihood of an imminent danger to the safety and
health of the workers and suggest corrective measures
8. Reviewing the implementation of the recommendations made by it.
Safety Committee:
Types
Policy committee
• Acts on behalf of top management in supervising and
controlling the safety efforts
• Makes regulations regarding safety
Inspection committee
• For correcting unsafe conditions/practices that it may discover
Education committee
• To promote interest in safety programme
• To develop good safety attitudes in employee
Safety Committee:
Advantages
• Involving employees in the safety efforts
• Brings together varying view points and yields better

decisions than individual members
• Allows checks and cross-checks by different opinions

References
• Fundamentals of Industrial Safety and Health- Dr. K U
Mistry (Pages 322 to 329, 344 to 347)
• Safety Management – John Grimaldi, Rollin H. Simonds
(Pages 118 to 125)
• https://maitri.mahaonline.gov.in/pdf/factories-act-
1948.pdf
• https://mahadish.in/media/post_image/Maharashtra_Fa
ctories_Rules_1963.pdf
• http://www.fabkerala.gov.in/malayalam/images/act_rule
s/KFR-1.pdf
Syllabus – Module I
Introduction-Safety -Goals of safety engineering. Need for safety.
Safety and productivity. Definitions: Accident, Injury, Unsafe act,
Unsafe Condition, Dangerous Occurrence, Reportable accidents.
History of safety movement. Theories of accident causation. Safety

organization, objectives, types, functions, Role of management,
supervisors, workmen, unions, government and voluntary agencies
in safety. Safety policy. Safety Officer-responsibilities, authority.
Safety committee-need, types, advantages
THANK YOU
MANAGEMENT
Lecture 8
Accident Prevention
By
Vinu Thomas
CUSAT, Cochin
18-Aug-20
Accident Types
Based on the severity of injury or property damage
• Major accident
• Minor accident
• Near-miss
Based on the combination of injury and property damage
• Injury and Property Damage Major
• Injury only (No property damage) Major or Minor
• Property damage only (No injury) Major or Minor
• No property damage or injury Near-miss

Accident Types
Based on accident causation
Tyeps of accident:
• Due to psychological causes 1. Psychological cause
2. Physiological room
• Such as inexperienced, not motivated for safety, worry, 4. Mechanical/ electrical/ chemical
3. Physical cause
5. Environmental cause
emotional, wrong attitudes etc.
• Due to physiological causes
• Such as age, sex, body-build, poor hearing, vision, strength
etc.
• Due to physical causes
• Such as heavy workload, no rest, unhealthy work
environment, work at height, depth, or in confined
space, etc.
Accident Types
Based on accident causation
• Due to mechanical/electrical/chemical/radiation causes
• Such as unguarded machinery, defective equipment, noise,
vibration, obstructed pathway, sharp edge, electric shock,
static electricity, chemical, poison, toxic gas, acid, fire,
explosion, radiation etc
• Due to environmental causes
• Weather effects, heat, cold, humidity, air, wind, lightning
etc.
Accident Prevention
• Represents control of performance of man, machine and physical
environment to prevent accidents
• The word 'control' includes prevention as well as correction of unsafe
conditions and actions
• Prevention is the first or initial part of 'control' which if practised,
subsequent control for consequence or effect may not be needed.
• Accident prevention - requires short term as well as long term approach
• It is a series of co-ordinated activities, directed to the control of unsafe
personal performance and unsafe mechanical conditions and is based on
certain knowledge, attitudes and abilities
Why Accident Prevention
Programme?
Leads to
• Savings of life
• Savings of injuries
• Savings in insurance premium
• Continuity of service
• Increased production
• Decreased labour turnover(attrition)
• Improved labour management relations
3 E’s of Accident Prevention
Engineering: Job to be engineered for safety
Education: Employees to be educated in safe

procedures
Enforcement: Safety rules should be properly

enforced
Engineering for Safety
• Make design improvements to both product and process
• By altering the design of a product, the processes used to

manufacture it can be simplified and made less dangerous
• Manufacturing process can be engineered in ways that decrease

potential hazard associated with the processes
Education for Safety
• Ensures that employees know how to work safely, why it is
important to do so and that safety is expected by
management
• Safety education typically covers the what, when, where,

why and how of safety
Enforcement for Safety
• Makes sure that employees abide by safety policies, rules,

regulations, practices and procedures
• Supervisors and fellow employees play a key role in the

enforcement aspects of modern safety programme
Basic Steps in Accident
Prevention (Heinrich model)
1. Organisation.
2. Fact finding.
3. Analysis of the facts found
4. Selection of remedy
5. Application of the remedy.
Sixth step of monitoring is also

suggested
Organisation
Safety organisation is the mechanism by means of which interest

in safety is kept alive and the safety programme is designed,
directed and controlled
Fact Finding
• Knowledge of probable or potential hazards (facts) is derived
from surveys, inspections, safety audits, observations, review or
records, inquiry, investigation and judgement
• Facts include past, present and future facts which have caused
and which can cause accidents
• Past causes can be known by 'accident records' and inquiry.
• Future (hidden) causes can be known by safety audit, inspection
etc.
Analysis of Facts
• Work of drawing conclusions from assembled data
• Hazards are named, identified and classified or analysed
• Such work is done by (a) Analysis of past experience (b) Survey
and inspection (c) Judgement and experience plus enquiry
• Identify the direct causes, sub-causes, underlying major causes,
types of accident, operations, tools and equipment obstacles,
frequency, severity, location, occupation etc., and classify them
Selection of Remedy
Basic Remedies:
1. Engineering Controls : Guarding of machine and tools, isolation of hazards,
good illumination, ventilation, substitution of safer materials and tools,
replacement, reduction, repair and a variety of mechanical, physical and chemical
remedial measures.
2. Instruction, Training, Persuasion and Appeal: Regular training as well as
instruction, reinstruction, persuasion, appeal, notice, posters, supervision and
motivation.
3. Personnel adjustment: Selection and placement with regard to the
requirement of the job and the physical and mental suitability of the worker,
medical examination, treatment, advice and PPE.
4. Discipline: Mild admonition, expression of disappointment, fair insistence,
statement of past record, transfer to other work and penalties.
Application of Remedy
• If machines or procedures are unsafe, they must be guarded, replaced, revised.
This is management's responsibility. The safety officer/engineer will guide and
the supervisors see to it that the necessary work is done.
• If the personnel performance is unsafe, employees must be selected,
instructed, trained, cautioned, persuaded, convinced and appealed for
improvement.
• Certain cases require proper placement, other medical or psychological
treatment or advice. In rare cases and as a last resort, some form of disciplinary
action may be needed.
• Application of selected safety measures should be immediate and long-term.
Existing unsafe conditions and actions should be corrected at once while at the
same time long-term programmes should be started to include procedures and
techniques devised to anticipate and prevent situations of a similar nature.
Approaches
• Proactive or Preventive Approach (Effort before accident)
Approaches
• Reactive or Corrective Approach (Effort after accident)
Approaches- Comparison
• Proactive approach is better then the reactive approach, but
it incurs regular costs
• Drawback of reactive approach is the losses due to one or
more accidents
Reference
• Fundamental of Industrial Safety - K U Mistry (Pages 172 to 186)
THANK YOU
MANAGEMENT
Lecture 9
Safety Education and Training
By
Vinu Thomas
CUSAT, Cochin
20-Aug-20
Introduction
• Education in a specific subject means acquisition of broad and
thorough knowledge of that subject
• Training deals with the development of skill in performance
• Safety Education is for developing safety mindedness - a clear

awareness of the importance and correcting conditions and
practices that might lead to injury.
• Safety training is for developing the worker's skill in the use of

safe work techniques and practices.
Benefits
• Training efforts demonstrate company’s interest in
employees. Leads to good human relations
• Gaining knowledge and skill helps improve perceptions and

hence improves safety performance
• Saves the time spent by supervisor to instruct and correct

Training Types
General
• Formal
• Informal Specific
General Training
• Induction courses for new employees.
• On-going safety training.
• Safety representative training.
• Supervisory training.
• Senior/ middle management training
• Director’s training.
Specific Training
• Safety system of work for particular operations where the
potential hazard is high and guarding is not feasible.
• First aid training.
• Specific items of plant or equipment.
• Use of protective equipment.
• Fire precautions.
• Safety inspections.
• Change of job for which a worker is not trained.
• Role of workers in emergency planning.
• Techniques of safety audit
• Safety permit system.
Other Training Types
Orientation or Induction Training
• Training for the new employees on safety policies and safety rules
On-the-job training
• Practical in nature and generally takes place on the job.
• Sessions may involve individual on one to one basis with the supervisor training
an operator for the work he has to carry out.
Off-the-job training :
All types except on-the-job are called off- the-job training.
Vestibule Training:
• It is an approach between on-the-job and off- the-job training and used when
the job is dangerous and can harm the trainee if taught on the job.
• The training takes place away from the actual work place but the equipment and
procedure to be followed are similar to be used on-the-job
Training Cycle
• Determine whether a
problem can be solved by
training.
• All skill deficiencies are not
solvable through training
and some other tool may be
required.
• This step includes need of
any improved (revised)
training programme
Training Cycle
• Analyse the worker's duties

and what he or she needs to
perform the job more
skillfully and safely
Training Cycle
A list of specific job knowledge

and skill deficiency derived
from Step-2, will tell employers
what workers should do, do
better or stop doing
Training Cycle
Learning (training) activities must be

identified and described.
Type of training will be decided
Training Cycle
Training programme should be conducted

by (a) providing overviews of the material
to be learned and (b) relating each
specific item of knowledge or skill to the
worker's goals, interests or experience to
be learned
Training Cycle
By knowing trainee's opinion, supervisor's

observation, work place improvement,
hazard reduction, performance
improvement etc., it should be checked
whether the training has accomplished its
goals
Training Cycle
Based on feedback from the workers,

supervisors etc., and from evaluation and
observing the gap, the training
programme should be improved
Training Methods
• Lecture Method : Oldest and most basic method. Well planned lectures
can cover a large amount of information in a short time. More useful when
participants are more, or their involvement is less required.
• Discussion Method : Useful with small number of people in a group. The

trainer acts in a limited way as a scene setter or referee encouraging
participants to speak out. The two way communication moves toward
objectives. Participants are more attentive, active and don't feel boredom.
Training Methods
• Case-study Method : Accident case study is presented explaining how an
actual accident happened or an imaginary accident can happen.
Causation analysis and remedial measures can be discussed by questions
and answers. Good pictures are more useful to explain the situation
effectively.
• Role playing method : It is a form of learning by doing but in a simulated

situation. Trainees are given 'a situation like in case-study method but
instead of just discussing it they resolve the problem by acting out the
roles of the people involved
Training Methods
• Business Games Method: More useful for business people and
skill required for safety attitude or inspection in buying/selling
items which are more safe or with the details of safety
• Sending at training centres : Institutes, seminars, workshops,

special courses etc. utilizes external resources for required
training.
Training Methods
Job instruction training:
• Useful to train supervisors who in turn train the employees. Job instruction training
(JIT) involves four steps (1) Preparing the trainee (2) Demonstrating the job (3) Having
the trainee performed the job and (4) Checking frequently the trainee's performance.
• All new job assignments should be preceded by on-the-job training. Each step of job
safety analysis (JSA) is explained with hazard, safe procedure and use of safety
equipment. Use of guards and controls are also explained
Programmed instructions :
• Programmed instructions are given in a book form.
• A trainee learns it, answers the question or solves the problem.
• The system has mechanism of learning-checking and relearning.
Training Methods
Project work :
• Project writing is given to trainees.
• They apply their knowledge to practical situations.
Training Methods
• Appropriate method should be selected depending upon the
size, age and experience of the group, the amount of material,
type of presentation necessary and time and money available.
• Selection of method requires skill and experience.
• Result of effectiveness depends upon it.
Training Effectiveness - Indicators
1. Increase in quantity and quality of production.
2. Increase in production rate.
3. Increase in knowledge, skill and ability about job performance.
4. Increase in job satisfaction and motivation.
5. Decrease in accident rate.
6. Decrease in production time, breakage or use of consumable items.
7. Decrease in absenteeism.
8. Decrease in labour turnover.
9. Decrease in job turnover.
10. Decrease in operational cost.
11. Refinement of human behaviour towards intended objective or goal viz. safety
outlook, interest and safety mindedness, production and quality orientation etc.
Behavioural Based Safety(BBS) Approach
• Safe behaviours are targeted, decided and explained to the workers.
• Then performance of these behaviours is observed.
• It is also called performance management.
• Feedback is obtained and reduction in accident rate is measured
Behavioural Based Safety Approach
BBS approach proceeds as under:
1. Observing unsafe behaviours or acts of the workers in the organisation
and collecting then data.
2. Defining a set of model behaviours to reduce the unsafe acts..
3. To give short duration training to workers regarding their unsafe acts,
management observations and explaining safe (model) behaviours.
4. Observing new (improved) behaviours and recording their consistency and
frequency.
5. Getting feedback and supporting new behaviours.
6. Data collected is used for recognition, problem solving and continuous
improvement.
Reference
• Fundamental of Industrial Safety - K U Mistry (Pages 146-147, 331 to
343)
THANK YOU
MANAGEMENT
Lecture 10
Communication
By
Vinu Thomas
CUSAT, Cochin
22-Oct-20
1
Introduction
What is communication?
• Process of conveying a message from one person to another person
or a group of persons
• Newmann and Summer defined that "Communication is an exchange
of facts, ideas, opinions or emotions by two or more persons."
2
Elements of Communication Process
(a) Communicator: The person who intends to Communicator

communicate the message to other persons.
(b) Message: The subject matter of Message
communication. This may be opinion, order,
appeal, views, suggestions etc. Transmission
(c) Transmission: The act of conveying the
message. Channel
(d) Channel: The medium used to transmit the
message. Receiver
(e) Receiver: The person for whom the message is
meant. Response
(f) Response: Reply or reaction of the receiver.
3
Major functions/purposes of communication
• Control
• When employees communicate any job-related grievance to their immediate boss,
or follow their job instructions, communication is performing a control function
• Motivation
• Communication fosters motivation by clarifying to employees what they must do,
how well they are doing it, and how they can improve if performance is subpar.
• Expression of emotions
• Communication is a fundamental mechanism by which members of group shows
their satisfaction and frustrations
• Providing information
• Communication provides the information needed to make decisions
• Thus communication helps to facilitate decision making
4
Communication in an organization:
Characteristics
• Involves more than one person
• It deals with transmission of facts and feelings or both
• Media of communication may be numerous
• Process of communication is continuous
5
Types of communication
6
Directions of communication
Downward: Eg: From manager to subordinate
Upward: Eg: Feedback information, suggestion
Horizontal (Lateral): Eg: Among members of same group
7
Communication networks
• Actual pattern and flow of communication connecting senders and
receivers are called communication networks
Chain Type Circle Type Wheel Type
All Channel Type 8

Y- Type
Communication barriers
• Language
• Lack of knowledge
• Lack of concentration
• Emotions
• Filtering message by senders
• Selective perception
• Physical barriers: sound, light etc.
9
Shannon Weaver’s model of
communication (1949)
Channel –Channel is the medium used to send

message.
Decoder (Receiver) – Decoder is the machine used to
convert signals or binary data into message or the
receiver who translates the message from signals.
Receiver (Destination) –Receiver is the person who gets
the message or the place where the message must
Sender (Information source) – Sender is the person who reach. The receiver provides feedback according to the
makes the message, chooses the channel and sends the message.
message. Noise –Noise is the physical disturbances like
Encoder (Transmitter) –Encoder is the sender who uses environment, people, etc. which does not let the
machine, which converts message into signals or binary message get to the receiver as what is sent.
data. It might also directly refer to the machine.
10
Berlo’s SMCR model of communication
(1960)
Components
Sender is the source of the

message or the person who
originates the message
Message is the
substance that is being
sent by the sender to the
receiver
Channel is the medium

used to send the
message
Receiver is the person
who gets the message sent
Factors affecting the in the process
11
components
(1960)
•Communication Skills: If the sender has good communication
Components
skills, the message will be communicated better than if the
sender’s communication skills are not good. Similarly, if the
receiver can not grasp the message, then the communication will
not be effective
•Attitude: The person’s attitude towards self, the receiver and the
environment changes the meaning and effect of the message.
•Knowledge: Familiarity with the subject of the message makes
the communicated message have its effect more. Knowledge on
the subject matter makes the communicator send the message
effectively.
•Social Systems: Values, beliefs, laws, rules, religion and many
other social factors affect the sender’s way of communicating the
message. Place and situation also fall under social systems.
Factors affecting the
•Culture: Cultural differences make messages different. A person
components
from one culture might find something offensive which is very
much accepted in another culture. 12
(1960)
•Content: Content is the thing that is in the message.
Components
The whole message from beginning to end is the
content.
•Elements: Elements are the non verbal things that
tag along with the content like gestures, signs,
language, etc.
•Treatment: Treatment is the way in which the
message is conveyed to the receiver. Treatment also
effects the feedback of the receiver.
•Structure: The structure of the message or the way it
has been structured or arranged, affects the
effectiveness of the message. Factors affecting the
•Code: Code is the form in whichcomponents
the message is sent.
It might be in the form of language, text, video, etc
13
(1960)
Components
•Five senses of a human

being is the channel for
the communication flow
and it affects the
effectiveness of the
channel.
14
Principles of effective communication
1. Simple language: The language used in communication should be simple
and easily understandable.
2. No ambiguity: The communicator should be clear in his mind about the
objective of his communication and there should not be any ambiguity.
3. Proper medium of communication: There are different media for passing
of communication. The communicator should select the proper medium by
considering such factors as the nature of matter to be communicated,
urgency of communication, distance between the communicator and the
recipient of communication, etc.
4. Adequacy of information: In order to make communication effective, one
more condition to be fulfilled is that it should be adequate and complete in
all respects.
5. Right climate in the organisation: There should not be any communication
barriers in the business concern. The organisation structure of the unit
consisting of physical setting and human setting must facilitate the process of
communication.
15
Principles of effective communication
6. Follow-up action: There should be follow-up action to know whether the
recipient of the message has understood it correctly and the action he has taken
is on the basis of that message.
7. Training to the communicators: Proper training should be given to the
communicators in the communication skills. This helps in increasing the
effectiveness of communication considerably.
8. Co-operation of personnel: Co-operation of the organisation personnel is
essential in order to make communication effective.
9. Messages should not be mutually conflicting: Messages should not be
mutually conflicting and should be in line with the overall objectives and policies
of the concern.
10. Action should be in line with the Message: The communicator should not
act in any way which contradicts his message.
16
Improve safety using communication
Give Feedback :
• Give employees feedback on everything, both negative and positive.
Praise Improvements:
• Reward your team for following correct safety guidelines.
• Praise them for following the safety training they were given.
Welcome Feedback:
• Not only should you provide feedback, but you should also welcome feedback from
employees.
Listen:
• Take the time to make sure you fully understand what is being communicated to
you
Develop Mutual Respect:
• When communicating with employees, use a respectful tone and courteous
language
17
Reference
• https://www.businesstopia.net/communication/berlo-model-communication
• https://www.businesstopia.net/communication/shannon-and-weaver-model-communication
• https://managementstudyguide.com/importance-of-communication.htm
• https://smallbusiness.chron.com/purpose-communication-business-2830.html
• https://www.businessmanagementideas.com/notes/management-notes/communication-
management-notes/notes-on-design-of-communication-networks-5-types/5203
• https://ebrary.net/7796/management/communication#531
• https://ebrary.net/7797/management/types
• https://ebrary.net/7798/management/barriers_communication
• https://ebrary.net/7799/management/principles_effective_communication
• https://blog.vingapp.com/improve-safety-with-these-5-principles-of-communication
• https://www.youtube.com/watch?v=LmOKwjgYcG4
18
THANK YOU
19
MANAGEMENT
Lecture 10
Housekeeping
By
Vinu Thomas
CUSAT, Cochin
27-Oct-20
1
“Disorder is neither productive nor safe”
2
3
Introduction
Housekeeping means maintaining a clean and orderly work place
Good housekeeping not only results in a cleaner workplace, but makes it safer as well.
Good housekeeping reduces illnesses and injuries and promotes positive behaviors,
habits and attitudes
• Poor housekeeping practices can result in:
• Injuries when employees trip over, strike or are struck by out-of-place objects.
• Injuries from using improper tools because the correct tool can’t be found.
• Lowered production because of the time spent looking for proper tools and
materials.
• Lack of future work due to a reputation for poor quality.
4
Advantages of good housekeeping
• Less risks of accidents, hazards and fires
• Constant monitoring and control of hazardous chemicals, their processes and
emission; minimize many hazards.
• Accidents due to stepping on or striking against objects or fall of persons and
objects, stumbling tripping, bumping, body caught between object etc. are well
controlled.
• Majority of small fires result from and spread by poor housekeeping conditions
• Improved productivity of workers
• Less time wasted to find materials, tools and equipment
• Improved productivity of machines
• Machines, tools and equipment work better in clean condition and boost up the
workmanship
• A more pleasant workplace
• Improves the morale of the employees
• Improves the perception about the company
5
Japanese Concept of 5S
• 5S is a system for organizing spaces so work can be performed efficiently,
effectively, and safely.
• This system focuses on putting everything where it belongs and keeping the
workplace clean, which makes it easier for people to do their jobs without
wasting time or risking injury.
• Uses a list of five Japanese words
• Seiri
• Seiton
• Seisō
• Seiketsu
• Shitsuke
6
• Seiri (Segregation or Sort)
• This means distinguishing or sort out between ‘wanted’ and ‘unwanted items’ at place of work and
removal of unwanted items
• Dirt, dust, rubbish and all unwanted wastes or material should be collected and segregated first
7
• Seiton (Set in order)
• Having things in the right places or set up so that they are readily available for use, eliminating the need
to search.
• Once everything has a right place so that it’s functionally placed for quality and safety, it can then be
deemed that the workplace is neat
• There should be effective arrangement of safe disposal of segregated wastes.
8
• Seisō (Shine or clean)
• Main activity of good housekeeping is cleaning.
• It includes cleaning of floors, walls, ceiling, sanitary and welfare facilities, parts of plant and machinery,
PPE and other equipment, tools, lighting fixtures, lamps, tubes etc.
9
• Seiketsu (Standardise)
• The emphasis here is on visual management, an important aspect to attain and maintain standardized
conditions to enable the individuals always act quickly
• Suggests compliance of statutory provisions and national or international standards for safety, quality,
cleanliness and environment
10
• Shitsuke (Sustain or Discipline)
• This indicates duty of everybody to follow rules, regulations, instructions, notices, orders, appeal etc for
maintaining good housekeeping and safety.
• Places emphasis on being able to forge a workplace with good habits and discipline. Demonstrating to
others what needs to be done and encouraging practice amongst them
11
Responsibility of management
• Top management must establish, declare and implement
housekeeping policy emphasising that:
Dirt and disorder are always evidence of waste of materials, time, energy and
effectiveness.
Regular cleaning of dirt and maintaining orderly things may be a tough job,
but it is the management's responsibility.
Good housekeeping reduces accidents and increases safety, productivity and
morale.
Working in dirt, dust and disorder increases cost and decreases workers'
comfort
If you can't manage to have cleanliness and order, you can't manage your
department
• Management must formulate such policy, encourage supervisors to' implement it and
help removing beliefs like 'That is naturally dirty, cannot be avoided', 'How many times to
clean it ?‘
• If top management, will accept this policy and responsibility, others will follow it.
• Housekeeping programmes must be planned, promoted patiently, regularly and carefully. 12
Responsibility of employees
• No success is possible without workers' efforts and co-operation. This should be
taught to them from their initial training.
• Creating and maintaining their interest is most important. It is the
management's skill and workers' wish to do it.
• They have to implement the policy and checklist given to them for good
housekeeping.
• A list of items of daily and periodical checking should be prepared, displayed and
followed up accordingly To keep their own place of work, machine, equipment,
tool etc., clean and in working order is in their interest.
• Nobody else can keep their things so clean and in order as they keep for
themselves. Daily they should spare a few moments for cleaning up
13
Statutory provisions
• Section 11 to 20(Chapter 3-Health) and Sections 42 to 50 (Chapter 5-
Welfare) of Indian Factories Act, 1948 must be referred for the
detailed provisions directly or indirectly concerning good
housekeeping.
14
References
• https://www.intracen.org/uploadedFiles/intracenorg/Content/Export
ers/Exporting_Better/Quality_Management/AssetPDF/Bulletin%20EQ
M%2089%20-%205S.PDF
• https://www.osha.gov/dts/maritime/sltc/ships/housekeeping/intro.h
tml#:~:text=Good%20housekeeping%20is%20evidenced%20by,the%2
0working%20area%3B%20walkways%20free
• K U Mistry’s Book: Chapter 8 (Page no.s 386-403)
15
THANK YOU
16
MANAGEMENT
Lecture 12
Work Permit System

By
Vinu Thomas
CUSAT, Cochin
03-Nov-20
1
Introduction
• Purpose of “Work Permit System” is to describe procedures and guidelines to
carry out any work in the safest possible manner
• Will help in bring down the risks at work sites to acceptable level
• Ensures that
• The work is properly defined
• Authorised operating personnel are aware what is going on
• Precautions to be taken are specified
• The persons executing the job understand the nature and extent of hazards involved
2
Objectives
• To exercise control over the maintenance, repair and construction
activities
• By assigning responsibilities
• Ensuring clear cut communication between interested functions & safety
considerations to the job, its hazards & the precautions required
3
Works that require Permit :
Normally all maintenance, repair, construction work shall be carried out with a proper work permit.
Jobs where work permit is required include but not limited to following:
• Major and minor maintenance work
• Inspection
• Construction
• Alteration
• Any hot work
• Cleaning activities of process equipment
• Entry into confined space
• Excavation
• Vehicle entry into process areas
• Work at height
• Handling of materials using mechanized means in operating areas
• Erection and dismantling of scaffold
• Radiography
4
Who Issues and to Whom :
• Work permit is issued by supervisor, safety officer or responsible
officer of the area and equipment.
• It is generally issued in the name of a supervisor or technician who
has to carry out the required job under his direct supervision
5
How many copies of work permit needed?
• Safe Work Permits are usually made out in three copies :
• One retained by the issuer,
• The second for the workers directly involved in the task and
• The third for the safety department.
6
Type of Work Permits
Depending on the nature of the job, there are different types of work
permits covering various works as mentioned below:
• Cold Work Permit
• Hot Work Permit
• Entry Into Confined Space Permit
• Electrical Work Permit
• Working at Height Permit
• Excavation Permit
• Radiography Permit
7
Cold Work Permit
• This permit is required for carrying out any activity of
maintenance/ cleaning / testing inside plant
• that has non-critical nature
• and does not produce sufficient heat to ignite a flammable
substance.
8
Hot work permit
• Hot Work Permit is required for carrying out any hazardous activity
that may produce sufficient heat to cause fire in an inflammable
atmosphere
Common types of hot work include:
• Welding and soldering
• Grinding and cutting
• Use of open flames, blow-lamps
9
Confined Spaces(Vessel Entry) Permit
• For work involving entry into confined spaces such as tanks, sewers,
excavations where toxic or flammable vapours may be present
• Things to taken care during entry to confined spaces
• Worker should wear suitable breathing apparatus
• Only authorized people are entering
• If possible worker must wear a belt with rope securely attached
• A person must keep a watch from outside and he must be capable of pulling
the worker out when needed
• Person may enter without breathing apparatus, only when:
• Effective steps have been taken to avoid presence or ingress of dangerous
fumes
• Sludge that may cause dangerous fumes are removed
• The space has been adequately ventilated for air supply and tested for fumes
• A responsible person has certified the space to be safe for entry 10
Electrical Work Permit
• An electrical permit-to-work is primarily the statement that the circuit
or the item of the equipment is safe to work on. A permit should not
be issued on the equipment that is live.
• Electrical Isolation Certificate is issued by a qualified electrician or by
an Electrically Authorised Person (EAP), after all or part of an
electrical system has been safely isolated by means of a Safe Isolation
Procedure.
• Energized Electrical Work Permit is used when any time work is to be
the performed on or the near electrical equipment that is in an
energized state
11
Working at Height Permit
• Work at height is work in any place, including a place at, above or below
ground level, where a person could be injured if they fell from that place
• For all working at height (of 2M or above) a permit for “Working at Height” is
required
• When scaffold materials are kept at site of erection, “Pre-erection Checklist for
Scaffold” shall be carried out in prescribed form
• All scaffolds need to checked and certified before being used
12
Excavation work permit
• Needed when any excavation or trenching work is involved
Potential Hazards:
• Cave-ins
• Falls
• Hazardous atmosphere
• Mobile equipment hazard (like excavators)
• Hitting utility line
13
Radiography work permit
• Required when work has potential hazards of X-rays, gamma rays, or
similar ionizing radiation
14
Works Exempted / Partially Exempted from
Requirement of Permit
• Routine work carried out by operations Dept. personnel (e.g. pump
change over, operating valves etc.). It is considered that safety
measures are built-in in system while carrying out above works and
covered in Operating manuals
• Jobs carried out during emergencies (fire/ explosion, rescue,
uncontrolled release of hazardous chemicals etc.) to control the
emergency.
15
Contents of the permit :
• Some contents may vary according to the permit but generally the
contents are :
• Name of the supervisor or person to whom it is issued
• Workplace
• Equipment
• Name of the work to be carried out
• Date and time of start and completion
• Personnel permitted
• Details of actions, conditions, equipment, procedure and precautions from the
authority who issues it.
16
Contents of the permit :
The elements of a permit to work system are :
1. Hazards of the plant, chemicals and work are fully explained to the workers involved.
2. Instructions are in details and fully understood by both the parties.
3. Work area should be clearly identified, made safe or the hazards highlighted.
4. In-charge of the area who issues the permit, should be competent and responsible and
should sign the document stating that he is satisfied regarding necessary isolation,
blanketing etc. completed and it is made safe for the workers to work in that area.
5. The in-charge of the team of workers, who receives the permit must sign the permit
stating that he has fully understood the work to be carried out, the hazards potential,
precautions, conditions and procedure and the PPE/FFE to be utilized.
6. Any monitoring including gas testing required before, during and after the work should
be specified and the results noted on the document.
7. When the work is completed (after necessary extension of the permit if work
continues), the work in-charge signs off the permit stating that the specified work has
been completed and the plant is in a suitable state to return to operations.
8. The area in-charge signs to accept that the work has been completed and he now
accepts the responsibility.
17
* FFE - Fire Fighting Equipment
Format of work permit
• A format can be designed according to the work but it should cover
above mentioned eight points.
• More care is required when the permit is to be given to a contractor's
workers.
• Necessary equipment must be supplied to them
18
General Format Safety Work Permit
19
General Format Safety Work Permit (contd)
20
Assignment 2
• Prepare a format for the work permit for digging a well for your house
Test 2 (Module 2)
• Date: 11-Nov-2020 (Wednesday)
• Time: 3:00 to 3:45 PM
• Marks: 15 Marks (10 + 5)
• Type: Written exam (via google classroom)
21
References:
• K U Mistry – Text Book(pdf page no. 889 -893, pdf page no. 917 -925)
• Sample Formats: http://www.ehsdb.com/work-permit-system.php
• https://www.isrmag.com/safety-work-permit-
system/#:~:text=1.,Purpose%20%26%20Objective%20%3A&text=The
%20objectives%20of%20the%20Work,its%20hazards%20%26%20the
%20precautions%20required.
22
THANK YOU
23
MANAGEMENT
Lecture 13
Personal Protection in Work Environment

By
Vinu Thomas
CUSAT, Cochin
10-Nov-20
1
2
Introduction
• PPE is the Personal Protective Equipment that will protect the user against
health or safety risks
• PPE refers to a vast group of products (e.g. safety helmets, safety footwear
and harnesses, eye protection, gloves, high-visibility clothing, etc.) designed
to protect users against low, medium and high-level hazards
3
Why is PPE important?
• In the hierarchy of risk control, PPE is considered to rank lowest and represent the option
of last resort.
• It is only appropriate where the hazard in question cannot be totally removed or
controlled
• There are a number of reasons for this approach:
• PPE protects only the person using it, whereas measures controlling the risk at source
can protect everyone at the workplace
• Theoretical maximum levels of protection are seldom achieved using PPE and the real
level of protection is difficult to assess (due to factors such as poor fit, or failure to wear
it when required)
• Effective protection can only be achieved by equipment which is correctly fitted,
maintained and properly used at all times
• PPE may restrict the wearer by limiting mobility, visibility or by requiring additional
weight to be carried.
4
PPE selection
• All PPE should be of safe design and construction
• Must be maintained in a clean condition
• Must be properly fitting and comfortable
• Different PPEs must be compatible to each other
5
Some questions
• Are PPEs reusable or disposable ?
Some PPEs are reusable, some are disposable
• Are working clothes or uniforms PPEs?

No
• Is police lathi/baton a PPE ?

No
6
Types of PPEs
PPEs are mainly classified based on
the body part which it protects
1. Head protection PPE
2. Eye protection PPE
3. Respiratory protection PPE
4. Ear protection PPE
5. Hand protection PPE
6. Foot protection PPE
7. Body protection PPE
8. Fall protection PPE
7
Head protection
Bump caps are meant to help protect workers who

might bump their head on something they're working
near.
A hard hat helps protect against small falling or dropped
objects
8
Head protection
• Industrial safety helmets (hard hats)
which are designed to protect against
materials falling from a height or swinging
objects.
• Hard Hat Types: The two types of hard
hats are defined by the area of the head
that is protected.
• Type I offers protection to the top of the
head
• Type II offers protection to the top and
sides of the head
9
Head protection
Hard Hat Classes: The three classes are based
on the level of protection they provide from
electrical hazards.
• Class G (General) (Earlier known as Class A)
hard hats are rated for 2,200 volts
• Class E (Electrical) (Earlier known as Class B)
hard hats are rated for 20,000 volts
• Class C (Conductive) hard hats do not offer
electrical protection
10
Eye protection
• For protection of eyes from chemical splash, dust, flying particles, gas,
welding radiation
• Eg: Safety glass, goggles, face shield
11
Face shield
Respiratory protection
• To protect respiratory system from dust, metal dust, toxic gases and
fumes
N95 Mask
Filters 95% of particles greater than 0.3 microns
No oil is present in the air
12
Respiratory protection- Types
Negative pressure respirators
Air-purifying
Air-purifying respirator Air-purifying respirator
respirator (APR),
(APR), reusable, half mask (APR), reusable, full mask
disposable, half mask
There is no one canister or cartridge which can be
APRs use cartridges or canisters to "purify" the air 13
used to protect against all vapors or gases.
Powered air-purifying respirator Powered air-purifying respirator

(PAPR) – Loose fitting (PAPR) -Hooded
 Battery powered blower forces contaminated ambient air through air-

purifying filters
 Purified air delivered under positive-pressure to facepiece mask, helmet,
or hood 14
Supplied-air respirator (SAR)
•Compressed air delivered from a stationary source (located away from

contaminated area) to a half or full facepiece mask via a hose
15
Self Contained Breathing Apparatus (SCBA)
 Provides very pure, dry compressed air to full facepiece mask via a
hose
 Air is exhaled to environment
16
Ear protection
• To protect ears from noisy atmosphere (> 90 dB)
• Ear plugs are inserted in the ear canal. They may be
premolded (preformed) or moldable (foam ear
plugs). Disposable, reusable or custom molded ear
plugs are available.
• Semi-insert ear plugs which consist of two ear plugs
held over the ends of the ear canal by a rigid
headband.
• Ear muffs consist of sound-attenuating material and
soft ear cushions that fit around the ear and hard
outer cups. They are held together by a head band.
17
Hand protection
• For protection of hands from cuts, burns and injuries
18
Foot protection
Protection from falling, rolling objects and penetration of sharp
objects
Boots are footwear that covers not

only the feet but also the ankles and
sometimes even the lower leg.
Shoes cover and protect the feet but
generally stay below the ankles.
19
Foot protection
• Safety boots or shoes, normally have steel toe caps but can
have other safety features (e.g. steel mid soles, slip resistant
soles, insulation against the heat and cold.
• Wellington boots (also known as gum boots or rain boots) can
also have steel toe caps.
• Anti-static and conductive footwear, these protect against static
electricity.
Wellington boots Anti-static shoes 20

Body protection
• For protection of the body from cut, burns and other injuries
• Examples
• overalls, aprons and coveralls (protection against hazardous substances)
• clothing for hot, cold or bad weather
• clothing to protect against machinery
• high visibility (jackets, trousers and vests)
• harnesses
• life jackets.
21
Fall protection
• Personal fall arresters are designed to protect falling from heights
• Eg: Safety harness, personal fall arrester
22
Indian standards related to PPEs (Important)
• IS 2925 : 1984 -Specification Industrial safety helmet
• IS 8519 : 1977 – Guide for selection industrial safety equipment for the
body
• IS 9167 : 1979 – Specification for ear protectors
• IS 5983 : 1980 – Specification for eye – protectors
• IS 10667 : 1983 – Guide for selection
for industrial safety equipment for the protection of foot and leg
• IS 8807 : 1978 – Guide for selection of industrial safety equipment for the
protection of arms and hands
• IS 9623 : 2008 – Selection, use and maintenance of respiratory
protective devices - Code of practice
23
Indian Standards related to PPEs
Head protection
• IS 2925 : 1984 -
Specification Industrial safety
helmet.
• IS 2745 : 1983 – Specification for
non-metal helmet for firemen and
civil defense personnel
• IS 4151 : 2015 – Specification
for protective helmet for two
wheeler riders
24
Body protection
• IS 8519 : 1977 – Guide for selection industrial safety equipment
for the body
• IS 3521 : 1999 – Industrial safety belt and harness
• IS 4501 : 1981 – Specification for aprons
• IS 6153 : 1971 – Protective leather clothing
• IS 7352 : 1974 – X-ray lead protective aprons
• IS 8990 : 1978 – of practice for care and maintenance of
industrial safety clothing
25
Ear protection
• IS 9167 : 1979 – Specification for ear protectors
• IS 8520 : 1977 – Guide for selection of industrial safety equipment for
eye, face and ear protection.
• IS 6229 : 1980 – Methods for measurement of real-ear protection of
hearing protectors and physical attenuation of ear muffs.
26
Eye protection
• IS 5983 : 1980 – Specification for eye – protectors
• IS 1179 : 1967 – Equipment for eye and face protection during welding.
• IS 7524 : 1980 – Method of test for eye protectors: -non optical tests. (part -1)
• IS 2521 : 1977 – Industrial safety face shield with plastic visor (part – 1)
• IS 2521 : 1994 – Industrial safety face shield with wire mesh visor (part – 2)
• IS 8940 : 1978 – of practice for maintenance and care of industrial safety equipment
for eyes and face protection.
• IS 9973 : 1981 – Specification for the visor for scooter helmets.
• IS 9995 : 1981 – Specification for the visor for non-metal police and firemen helmets.
• IS 14352 : 1996 – Miner’s safety goggles – Specification
27
Indian Standards related to Foot protection PPEs
• IS 15298 : 2002 – Safety, protective and occupational footwear for professional use -Specification for safety footwear.
• IS 10667 : 1983 – Guide for selection for industrial safety equipment for the protection of foot and leg.
• IS 1989 : 1986 – Specification for leather safety boots and shoes – for miners (part – 1).
• IS 1989 : 1986 – Specification for leather safety boots and shoes -for heavy metal industries (part – 2)
• IS 3737 : 1966 – Leather safety boots for workers in heavy metal industries.
• IS 3738 : 1998 – Rubber boots – Specification.
• IS 3976 : 2003 – Protective rubber canvas boots for miners – Specification.
• IS 4128 : 1980 – Specification for fireman leather boots.
• IS 5557 : 1999 – Safety rubber boots.
• IS 5852 : 2004 – Steel toe safety shoes.
• IS 6519 : 1971 – of practice for selection, care, and repair of safety footwear.
• IS 7329 : 1974 – Metal last for safety rubber canvas ankle boots.
• IS 10348 : 1982 – Safety footwear for the steel plant.
• IS 10665 : 1982 – Safety rubber ankle boots for miners.
• IS 11225 : 1985 – Leather safety shoes for women workers in mines and steel plants.
• IS 11226 : 1993 – Leather safety footwear having direct molded rubber sole –Specification.
• IS 11264 : 1985 – of practice for manufacture of safety rubber footwear for miners.
• IS 13295 : 1992 – of practice for manufacture of leather safety boots and shoes for workers in mines and sea, metal industry.
• IS 14544 : 1998 – Leather safety footwear wit& directly molded PVC soles – Specification.
28
Indian Standards related to Hand protection PPEs
• IS 8807 : 1978 – Guide for selection
of industrial safety equipment for the protection of arms and hands
• IS 2573 : 1986 – Specification for leather, gauntlets and mittens.
• IS 4770 : 1991 – Rubber Gloves – electrical purposes – specification.
• IS 6994 : 1973 – Specification for safety gloves –leather and cotton gloves
(part – 1).
29
Indian Standards related to Respiratory protection PPEs
• IS 9623 : 2008 – Selection, use and maintenance of respiratory protective devices -
Code of practice
• IS 8318 : 1977 - Colour identification markings for air purifying canisters and cartridges.
• IS 8347 : 1977 – Glossary of terms relating to respiratory protective devices.
• IS 8522 : 1977 – Respirators chemical cartridge.
• IS 8523 : 1977 – Respirators canister type gas masks.
• IS 9473 : 2002 – Respiratory protective devices -filtering half masks to protect against
particles – specification.
• IS 9563 : 1980 – Carbon monoxide filter self rescuers.
• IS 10245 : Part 1 to 46 – Breathing apparatus.
• IS 15322 : 2003 – Particle filters used in respiratory protective equipment –Specification.
• IS 15323 : 2003 – Gas filters and combined filters used in respiratory protective
equipment -Specification.
30
References:
• Book by K U Mistry (ppf page no. 1356 to 1408)
• https://www.shponline.co.uk/ppe-personal-protective-equipment/
31
THANK YOU
32
MANAGEMENT
Module 3
Lecture 14
Monitoring Safety Performance
By
Vinu Thomas
CUSAT, Cochin
17-Nov-20
1
Introduction
• Safety performance monitoring requires “safety statistics” data
• Mostly it includes “accident statistics” and “cost of accidents”
• IS 3786 (1983): METHODS FOR COMPUTATION OF FREQUENCY AND

SEVERITY RATES FOR INDUSTRIAL INJURIES AND CLASSIFICATION OF
INDUSTRIAL ACCIDENTS
2
Lagging indicators of safety performance
• Lagging indicators measure a company’s performance in the form of
past accident statistics.
• Examples:
• Injury frequency and severity rate
• Lost workdays
• Worker’s compensation costs
Leading indicators of safety performance
• A leading indicator is a measure preceding a future event, used to
drive and measure activities carried out to prevent and control injury.
• Examples include:
• Safety training
• Safety audits
3
Definitions
• Disabling injury (Lost time ) injury : An injury causing disablement
extending beyond the day or shift on which the accident occurred
• Reportable lost time injury: An injury causing death or disablement to an
extent as prescribed by the relevant statute
• Partial disablement (temporary): Reduces the earning capacity of the
worker in the work (s)he was doing
• Eg: Broken leg
• Partial disablement (permanent):Reduces his(her) earning capacity in
every employment
• Eg: Loss of thumb
• Total disablement(Temporary): Worker is not capable of doing the work
for a period of time
• Eg: Both hands are broken
• Total disablement(Permanent): Worker is not capable of doing the work
for the remaining period of his(her) life
• Eg: Death, Loss of both hands 4
Frequency rate
• Answer to the question “How often do accidents occur?”
• Defined as the disabling (lost time) injuries per million(106) manhours
• The frequency rate shall be calculated both for lost time injuries and
reportable lost time injuries as follows:
• Frequency rate (FA)=(number of lost time injuries/Number of man-
hours worked) x 1000,000
• Frequency rate(FB)=(number of reportable lost time
injuries/Number of man-hours worked) x 1000,000
5
Frequency rate (contd.)
• If the injury does not cause loss of time in the period in which it
occurs but in a subsequent period, the injury should be included in
the frequency rate of the period in which the loss of time begins.
• If an injury causes intermittent loss of time, it should only be included
in the frequency rate once, that is, when the first loss of time occurs.
• Note:- Since frequency rate FB is based on the lost time injuries
reportable to the statutory authorities, it may be used for official
purposes only. In all other cases, frequency rate FA should be used for
comparison purposes.
6
Frequency rate (contd.)
• Example 1.Using the following data calculate the frequency rate of
accident in an industrial plant.
• Number of workers=1000
• Number of disabling injuries per year= 5
• Average number of hours worked by worker per year=2000
• Sol. Frequency rate

• =numbers of disabling injuries/number of man-hours worked x 1000,000
• = [5/(1000×2000)] x 1000000=2.5
7
Severity rate
• Total number of days(productive) lost due to accidents per one
million man-hours worked
• Shall be calculated from man-days lost, both of lost time injury and
reportable lost time injury
8
How to calculate man-days lost
• Use Annexure A ( Schedule of charges for disabilities) of IS 3786
• Man-days lost in the period under review due to injuries from
accidents which occurred in the previous period shall be included in
the period under review
• In the case of intermittent loss of time , each period should be
included in the severity rate for the period in which the time is lost
• If any injury is treated as a lost time injury in one statistical period
and subsequently turns out to be permanent disability, the man-days
charged to the injury shall be subtracted from the schedule charge for
the injury when permanent disability becomes known
9
10
11
12
Incidence rates
• Number of injuries per 1000 persons employed
13
Safety activity rate (SAR)
𝑆𝑎𝑓𝑒𝑡𝑦 𝑎𝑐𝑡𝑖𝑣𝑖𝑡𝑦 × 5 × 106
𝑆𝐴𝑅 =
𝑀𝑎𝑛ℎ𝑜𝑢𝑟𝑠 𝑤𝑜𝑟𝑘𝑒𝑑 × 𝐴𝑣𝑒𝑟𝑎𝑔𝑒 𝑛𝑜. 𝑜𝑓 𝑒𝑚𝑝𝑙𝑜𝑦𝑒𝑒𝑠
Safety activity is the sum of safety recommendations made, unsafe practices

reported, unsafe conditions reported and number of safety meetings held
SAR curve can be plotted for any period – a week, month, year etc.
14
Cost of accidents
• Every accident has a cost associated with it
• Accident cost = direct cost of accident + indirect cost of accident
15
16
Worker compensation
• Based on Workmen compensation act of 1923
• Maximum monthly wage allowed for the calculation of compensation
under the Act is Rs. 15000 (increased from Rs. 8000 in January 2020)
• Relevant Factor is an age-based multiplier defined in Schedule IV of
the Workmen Compensation Act
Age Factor
20 224
30 207.98
40 184.17
50 153.09
60 117.41
17
Case Amount payable
Death 60% of the Monthly Wage x Relevant factor as per the age of the worker
or Rs. 1,40,000 (whichever is higher)
Permanent Total Disability (PTD) 50% of the Monthly Wage x Relevant factor as per the age of the worker
or Rs. 1,20,000 (whichever is higher)
Permanent Partial Disability (PPD) • A percentage of the worker’s compensation will be payable under
PPD.
• This percentage needs to be estimated based on the “extent of the
reduction in earning capacity” of the worker.
Temporary Disability (Total or Partial) • 25% of the Monthly Wage of the Worker payable every half month
• Payable if the worker is disabled for more than three consecutive days
18
Example calculation
• A worker aged 30 dies due an accident who was earning Rs. 10000
per month
• Compensation(Direct cost): Rs. 10,000 X 0.6 X 207.98 = Rs. 12,47,880
19
20
21
Indirect costs (contd.)
22
Utility(usefulness) of cost data
• Useful to convince the management to work and plan
towards safety
• Safety officer should try to quantify the accident costs and
convince the management that preventive costs are lesser
• Awareness of accident costs will motivate the workers to
consider the safety programme as a serious activity
• It establishes the monetary value for the work carried out by
the safety officer
• Helps in accident insurance costing
23
References:
• Book by K U Mistry – Chapter 5
• https://law.resource.org/pub/in/bis/S02/is.3786.1983.pdf
• https://labour.gov.in/sites/default/files/TheWorkmenAct1923(1).pdf
24
THANK YOU
25
MANAGEMENT
Module 3
Lecture 15
Safety Inspections, Analysis,
Audits, Surveys
By
Vinu Thomas
CUSAT, Cochin
1
19-Nov-20
Plant Safety Inspections
• Plant Safety Inspections are an opportunity to identify hazards and
assess risk in your workplace.
• They need to be carried out regularly
• Regular inspections reveal changes and allow you to engage
directly with staff about safety
2
Types of inspection
• Daily inspections of equipment
• Initial startup inspections
• Walk-arounds of mobile equipment before use
• Daily and/or weekly supervisor inspections
• Weekly and/or monthly departmental inspections
3
Inspection procedure
• During an inspection, identify any unsafe conditions and activities that may cause injury
or illness, and figure out how to eliminate or minimise them. Follow these steps:
1. Checklist : Use a checklist to make sure your inspection is thorough and consistent
with previous inspections. This will also serve as a record of your inspection.
2. Hazards: Ask yourself what hazards are associated with the job that you are observing.
3. Observe: Observe how workers perform tasks: Do they follow safe work procedures
and use personal protective equipment as required?
4. Ask: Ask workers how they perform their tasks. Talk to them about their health and
safety concerns
5. Record: Record any unsafe actions or conditions that you see.
6. Consider: Think about tasks that workers may also perform that you did not observe
4
Safety Sampling
• Safety Sampling is a systematic sampling of particular dangerous activities,
the process of the area.
• It’s a method of measuring hazard or accident potential by random
sampling and by counting safety defects while touring (Safety Tour)
specified location by a prescribed tour of 15 minutes at the weekly
intervals.
• The quantum of defects noticed is used to portray trends in a safety
situation.
• The point on safety sampling sheet includes items such as non-use of
personal protection, obstructed fire exit, environmental factors, lighting,
ventilation, temperature, faulty hand tools, guarding position,
Housekeeping machinery condition, etc.
5
Safety sampling technique
• For example, if during the preliminary survey of 60 observations, 20
were found unsafe then the percentage of unsafe operations P
• Gives the number of sample observation N required to ascertiain

various unsafe practices with an accuracy of V (usually 10%) is
• This means 812 sample observations would be required to ascertain various

unsafe practices with an accuracy of 10%.
• If 200 observations are possible in one tour, four tours (three tours of 200
and last tour of 212 0bservation) will be required for satisfactory results
6
Job Safety Analysis
• Job Safety Analysis (JSA) is procedure to identify potential hazards and to
recommend the safest way to do the job.
• Another commonly used term for this process is called a Job Hazard Analysis
or JHA.
7
Steps in JSA
• Select the job
• Break down the job into small, identifiable components
• Analyse and identify the hazards
• Find solutions
• Develop a method of doing the job safely
• Try out and review
• Improvise
• Write down the final safe work method statement or
the safe work procedure (output of JSA)
8
Sample form
9
10
Safety survey
• A safety survey is an organization’s internal systematic evaluation to
check safe operations and practices are in place in workplaces and
facilities.
• It is an opportunity to suggest improvements on safety issues and
confirm intended safety regulations are being complied with. It is an
integral part of the safety management system
• They differ from the general safety inspections or audits conducted by
the government or other legislative bodies
11
Safety audit
• Systematic independent and critical
examination of all safety activities
• It is a visible indicator of the management’s
commitment towards safety
• IS: 14489 - Standard guideline for practice on
occupational safety and health audit
• Auditee: Organisation to be audited
Types of safety audit:
• Internal: Carried out by employees designated
by the management
• External: Carried out by agencies outside the
auditee organization
12
Steps for doing audit
Lead auditor along with his team may adopt following procedure:
• Constitution of Audit team (at least two members)
• Deciding audit goals, objectives and scope.
• Drawing audit plan with time schedule.
• Holding opening meeting with the auditee.
• Study of process and applicability of safety laws and standards.
• Taking plant rounds and noting observations.
• Examining records and documents.
• Filling checklist of audit points (filling of Annexure A, B & C of IS: 14489)
• Holding of closing meeting and discussing findings and recommendations.
• Preparation and submission of Audit Report
13
Sample safety audit reports
• http://www.eisai.co.in/assets/pdf/Safety%20Audit%20-2019.pdf
• https://www.lauruslabs.com/Investors/PDF/Documents/Safety-Audit-
Report-Laurus-Labs-Unit-3-2016-17.pdf
14
Safety Inventory System
• This method proceeds to analyse quantity of hazardous material and to reduce it to the
minimum possible level, to find out its safe substitute if any, and to find out necessary
control measures to prevent or contain any accident due to it.
• If the quantity of hazardous material exceeds this threshold limits, it is identified as
Major accident hazard (MAH)
• Need to refer the “Manufacture Storage and Import of Hazardous Chemicals (MSIHC)
Rules, 1989”
• Steps to prevent major accident and to limit their consequences are: Proper design,
construction, inspection, maintenance and operation of storage vessels and process
plants, alarms, trips, dump-tanks, scrubbers, water curtains, emergency procedures;
information, training and protective equipment to workers, and on-site and off-site
emergency plans.
• It is also suggested that within I km. radius of major hazard, no population should be
allowed and within I to 2 km, limited development of low density such as warehouses
and light industry may be allowed.
15
References:
• Book by K U Mistry: Chapter 19
• https://www.safework.nsw.gov.au/safety-starts-here/safety-
support/workplace-inspections
• https://www.ccohs.ca/oshanswers/hsprograms/job-haz.html
• https://rlsdhamal.com/safety-sampling/
• https://law.resource.org/pub/in/bis/S02/is.14489.1998.pdf
• https://ciflabour.assam.gov.in/sites/default/files/MSIHC%20Rules.pdf
16
THANK YOU
17
MANAGEMENT
Module 4
Lecture 16
Accident Investigation
By
Vinu Thomas
CUSAT, Cochin
1
26-Nov-20
Accident investigation
• Objective: Find out the real cause of the accident and then based on it to suggest
appropriate remedial measures to prevent its recurrence
• Should not be oriented towards fault-finding and blaming any individual
• For gross negligence or personal fault, attention of the person should be drawn
explaining him the consequence and to improve himself not to commit such act in
future
• He should be properly trained if necessary
2
Purposes of accident investigation and report
1. To learn accident causes so that similar accidents can be prevented by improvement of
working conditions, actions and supervision. This helps in designing accident prevention
strategies.
2. To make the hazard known to the management, workers and supervisors to direct their
attention to accident prevention.
3. To find facts to determine legal liability and information for preventive purposes.
4. To determine the 'change' or deviation that produced an 'error' that in turn resulted in
an accident (systems safety analysis).
5. To find out injury rates to compare safety performance.
6. To use the record for the purpose of job safety analysis.
7. To develop safety rules, procedures, bulletins, posters and material for safety meetings
8. To amend safety laws if it is thought necessary by the Government.
3
Process of investigation
• Process of investigation Some objective questions to be considered and
answered by the investigator are :
includes • Who was injured?
• observation at site • What was he doing at that time?
• interrogation with workers • Where was he?
• fact findings • Who was with him?
• What he has to say about happening?
• judgement • What part of the injured is involved?
• recommendations • How was he injured?
• What was the unsafe condition?
• The method or the action of the injured?
• What does the medical report suggest?
• What safeguards should be used?
• What safeguards are provided to prevent recurrence?
• What are yet to be provided?
Such and similar other questions and their answers constitute a Supervisor's Accident Report.
4
Process of investigation (contd.)
• The first requirement for the injured person is to provide him medical treatment. It is a mistake to make him
upset by questions. It is advisable to wait till he recollects his thoughts and gets his nerves under control.
• Initial story should be collected from spot checking and interrogation with co-workers and eye-witnesses.
There should not be delay in initial inquiry. The conditions should be kept unaltered pending the investigation.
Photographs, sketches, notes, computer and DCS records etc. will help much.
• Chronological questions should be asked and the concerned facts should be collected viz. testing reports,
registers, documents, instructions, defective or damaged parts etc. The fact findings should aim to determine
exact causes of the accident. All causes should be considered and classified according to severity and
responsibility for preventive purpose.
• As the last step, suggestions and recommendations for the prevention should be submitted in writing. An
emphasis should be put to suggest engineering controls than to suggest human responsibilities. If it needs,
training methods should be suggested.
• Effectiveness and practicability of the recommendations should not be forgotten. Implementing difficulties
should be considered and replied. Then the report is sent to the management for implementation.
5
Who should investigate?
• In case of statutory reportable accidents, generally factory inspectors
(Govt. labour Dept.) investigate, but, because of a small number of
staff and big number of accidents in hundreds of factories in their
charge, obviously, they cannot investigate all small accidents reported
to them
• They investigate serious and fatal accidents and give detailed report
showing the facts, breach of law if any, and remedial measures.
• Major, permanent and immediate responsibility of accident
investigation lies upon the factory management
6
Who should investigate?
• Depending upon the gravity and nature of the accident, it may be
investigated by foreman or supervisor, safety officer or engineer, safety
committee or an expert group including consultants.
• The supervisor should report and investigate each accident, as he is the
nearest man having more knowledge of the accident facts and remedial
measures.
• The safety officer should investigate each important accident for his own
information and report to the top management for necessary steps. His
specialised knowledge, training, experience and ability make his report
more valuable and useful in preventing recurrence.
• The safety committee's report is sometimes more effective as it carries
workers' voice as representatives in the committee and rich knowledge of
the Department Head.
7
Classification of injuries
A standard classification as given in Appendix B of
• As per IS : 3786 , the principal
factors related to causation of IS:3786 could serve as a guide for detailed analysis
accidents are : of accidents for the study of various causative
(a) agency factors and their relationships.
The major divisions are given below
(b) unsafe mechanical or
physical condition B-l Classification According to Agency.
B-2 Classification According to Unsafe Material or
(c) unsafe act Physical Conditions.
(d) unsafe personal factor B-3 Classification According to the Unsafe Act.
(e) type of accident B-4 Classification According to Unsafe Personal
(f) nature of injury and Factor.
(g) location of injury. B-5 Classification According to Type of Accident.
B-6 Classification According to Nature of the injury.
B-7 Classification According to the location of the
injury 8
9
Assignment 3 (Module 3)
• Mention the different types of respiratory protective equipments and
clearly state under what situations they are used. State the limitations
if any associated with them.
• Last date: 6-Dec-2020(Sunday), Submit scanned copy of the

handwritten assignment with your name and signature.
10
References:
• K U Mistry Book – Chapter 19 Section 24
11
THANK YOU
12
MANAGEMENT
Module 4
Lecture 17
Accident Investigation Report-Data
Collection, Witness Interview
By
Vinu Thomas
CUSAT, Cochin
1
01-Dec-20
Accident Investigation-Types
• Accident reports
• Accident analysis report
2
Accident report
• Done when the accident in question represents only a minor incident
• It answers the questions: who, what, where, and when
• However, it does not answer the why question
• An accident report can be completed by a person with very little
formal investigation/reporting training or experience
3
Accident analysis report
• Done when the accident is serious
• This report should answer the same questions as the regular accident
report plus one more—why?
• Consequently, it involves a formal accident analysis
• The analysis is undertaken for the purpose of determining the root cause of
the accident
• Accident analysis requires special skills and should be undertaken only by
an individual or expert with those skills
• Why expert is needed?
• To identify the root cause and treat the cause, not the symptoms
• To prepare for the legal action
4
When accident analysis report needed?
When accident results in
• Death
• Loss of consciousness
• Professional medical treatment beyond first aid
• One or more days of lost work over and above any time lost beyond
the day of the accident
• Any modifications to the injured employee’s work duties beyond
those that might occur on the day of the injury
5
Data collection
• Collection of statistical data such as lost-time accidents and other
reportable injuries
• Helps in analyzing an accident and finding the root cause
Categories of data collection systems
• Incident reporting systems
• Near-miss reporting systems
• Root-cause analysis systems
• Quantitative human reliability data collection systems
6
Incident Reporting Systems(IRS)
• Main function is to identify recurring trends from large numbers of
incidents with relatively minor outcomes or from near misses
• Important characteristics: Time and resources required to evaluate
an incident and incorporate it into the database must be minimized
7
Near Miss Reporting Systems (NMRS)
• Near misses represent an inexpensive way to learn lessons from
operational experience
• Success of NMRS depends critically on the voluntary reporting of
events which would otherwise have gone unnoticed
8
Root Cause Analysis Systems(RCAS)
• Used to denote systems that are concerned with the detailed
investigations of accidents with major consequences such as loss of
life or severe financial or environmental implications
• Characterized by the use of comprehensive, resource intensive
techniques designed to evaluate both the direct and indirect root
causes
9
Quantitative Human Reliability Data Collection
Systems
• Database of human error probabilities is important especially in
chemical process industry and nuclear industry for generating human
error probabilities for use in quantitative risk assessment
Requirements
- Need to specify the needs for the data in terms of the types of human
operations for which data are required
- Performance influencing factors that determine human reliability in
these situations need to be defined
- Industry-wide data collection effort need to be organized that would
use a common classification for human error data
10
Interviewing witnesses
• Ensure that information is objective, accurate and not affected by the
personal opinions and feelings of the witnesses as possible
Understand
• When to interview
• Where to interview
• How to interview
11
When to interview
• Immediacy or promptness is important
• Reasons:
A) Witness’s recollections will be best right after the accident
B) Avoids the possibility of witnesses influenced by various factors
• Witnesses should be interviewed individually and separately
12
Where to interview
• Best place is at the accident scene
• If this is not possible, interviews should take place in a private setting
elsewhere
• Select a neutral location in which witnesses will feel comfortable
13
How to interview
• Put the witness at ease and listen
• Ask questions and phrase them in an open-ended format that invites
the witness to provide as much detail as possible
• For example, instead of asking “Did you see the victim pull the red
lever?” phrase your question as: “Tell me what you saw.”
• Keep notetaking to a minimum to avoid witness distraction
• Make mental notes of critical information
• At the end of interview, summarize what you have heard and have the
witness verify your summary
• Once witness leaves, develop your notes immediately
14
Information sought while interviewing
witnesses
Who
How What
?
Why When
Where
15
Contents of Accident Investigation Report
16
Sample format of Accident Investigation Report
17
Sample format of Accident Investigation Report
18
Case study
• An employee is working on a ladder and the ladder seems to collapse
• The employee falls off the ladder and breaks arm
Conduct an investigation of the above accident and list down the things which you found
The investigation revealed the following details:

• Employee had worked seven 12-hour shifts in a row.
• Accident happened at end of shift.
• Employee was standing on the top step of the ladder (an unsafe action).
• The employee was approximately 10 feet above floor level.
• No fall arrest or restraint system was used.
• A ladder inspection policy is in place, but there is no evidence that the ladder has ever
been inspected.
• Investigation reveals the ladder was damaged and did not provide a stable working
platform in any environment.
• Interview with facility manager reveals that he did not inspect the ladder when it was
due for inspection. He was aware that ladder needed to be inspected. 19
Case study
• An employee is working on a ladder and the ladder seems to collapse.
Factors and Possible Causes Affecting Incident

• Extended work hours may have caused employee to be tired and not
clear-headed
• Employee violated safety rule (standing on top step)
• No fall arrest system in place (required at 6 feet above floor level)
• Ladder was defective and unusable
• Ladder had not been inspected
• Facility manager was aware that ladder needed to be inspected but
did not adhere to the existing policies and procedures for ladder
inspections
20
Case study
• An employee is working on a ladder and the ladder seems to collapse.
What is the Root Cause?

• Which factor, if not present, could have prevented the accident?
• If the facility manager had inspected the ladder and discovered the defect, the
ladder would not have been used, and this accident would have been prevented
• Failure to follow established ladder inspection procedures is the root cause
21
References:
• Book by K U Mistry – Chapter 19
• Book by David L Goetsch – Chapter 8
• https://ehsdailyadvisor.blr.com/2013/01/the-case-of-the-wobbly-
ladder-an-accident-investigation-case-study/
22
THANK YOU
23
MANAGEMENT
Module 4
Lecture 18
Root Cause Analysis –
Methods/Tools
By
Vinu Thomas
CUSAT, Cochin
1
03-Dec-20
Root Cause Analysis
• A tool designed to help incident investigators describe what happened
during a particular incident, to determine how it happened and to
understand why it happened
• Root cause is the most basic cause that can be reasonably identified and
that management has control to fix
Can be identified using
1) Unstructured problem-solving techniques (which include intuition,
networking, experience)
2) Structured techniques (which include the systematic tools used in root-
cause analysis)
2
Root Cause Analysis
• The first stage of the incident investigation involves obtaining a full
description of the sequence of events which led to the failure
The use of techniques such as
• Events and Causal Factors Charting
• Multi-linear Events Sequencing (MES)
• Sequentially Timed Events Plotting (STEP) Procedure
will provide a systematic and structured framework to aid the
collection of information by identifying where gaps in the
understanding of event chains lie
3
Root Cause Analysis
These sequencing techniques can also be used in conjunction with
methods such as
• Barrier Analysis
• Change Analysis
• Incident Recall Technique
• Fault Tree Analysis
to ascertain the critical events and actions, and thus the direct causes
of the incident
4
Root Cause Analysis
Root cause analysis can be done using

A) Tree techniques, like MORT(Management Oversight and Risk Tree)
B) Checklist techniques, like TOR(Technique of Operations Review)
5
Sequence of Events
Events and Causal(or conditional) factors charting
• A process that first identifies a sequence of events and aligns them
with the conditions that caused them.
• Events and respective conditions are aligned in a time-line
• Events that have evidence are shown in solid lines
• All others are shown in dashed lines
6
7
Multilinear Events Sequencing (MES)
• Incorporates timelines into sequential diagrams, providing a scale that
parallels the sequences of events to show the time relationships
between events and the incident.
• The method distinguishes between actors, actions and events.
• Actors can be people, equipment, substances etc., while actions are
anything that is carried out by an actor.
• Events are the unique combination of one actor plus one action
during the incident process.
• The primary aim of the method is to help the analyst to identify the
main actors and their actions and map the relations between these
events along a flexible timeline 8
9
Sequentially Timed Events Plotting (STEP)
Procedure
• Essentially a refinement of the MES technique
• Provides a reconstruction of the process by plotting the sequence of
events/actions that contributed to the accident.
• A STEP worksheet/chart is provided to structure the analysis; this is
essentially a pair of axes.
• Actors/agents involved in the incident are listed down the vertical
axis and a timeline is established on the horizontal axis
10
Sequentially Timed Events Plotting (STEP)
Chart
11
Barrier Analysis
• Considers accident as an abnormal or unexpected release of energy.
• Barrier analysis utilises this idea in its approach to accident
prevention by suggesting that to prevent an accident a barrier must
be erected between the energy source and the item or person to be
protected
Three conditions are therefore required for an
accident to occur, namely;
• an unwanted flow of energy
• failure or omission of a barrier
• presence of people
12
Change Analysis
• Likelihood of an incident increases if change is not properly
anticipated or managed
• Through change analysis, the investigator can identify the causes of a
mishap by exploring differences between the problem situation and a
problem-free situation
• Change analysis may be performed in either
a) a reactive mode (eg. Incident investigation)
b) or a proactive mode(eg. Identifying potential effects of changes
before implementing a new procedure)
13
Change Analysis -Steps
14
Incident recall technique
• This method is based on collecting information on hazards, near-misses,
unsafe conditions, and unsafe actions from working people
• It can be used to investigate the man-machine relationships and to improve
equipment and operations.
• The technique consists of interviewing personnel regarding involvement in
accident or near-misses, errors, mistakes, difficulties, and conditions which
may cause accidents.
• Even isolated incidents reported by the technique can be investigated to
determine whether corrective action is necessary or advantageous.
• Plant people should be given accident case studies for reading and
thinking.
• Then their memory should be recalled to know their understanding and
further suggestions if any.
15
Fault tree analysis
• A fault tree is a graphic model that displays the various logical
combinations of failures that can result in an incident
• Fault Tree Analysis is a “branched tree” approach that uses Boolean
logic to work backward from the accident event to identify causal
factors
16
Drawing Fault Trees: Gates and Events
• Fault trees are built using gates and events
(blocks). The two most commonly used
gates in a fault tree are
the AND and OR gates
• As an example, consider two events
(called input events) that can lead to
another event (called the output event)
• If the occurrence of either input event
causes the output event to occur, then
these input events are connected using
an OR gate
• Alternatively, if both input events must
occur in order for the output event to
occur, then they are connected by
an AND gate
Fault tree analysis of a car accident
Object
around the
corner
Driver Driver does

drunk OR not see the
object
Driver
asleep Car hits
AND object
Car too fast
Driver fails to
OR brake
Brakes are
weak
19
Reference
• https://www.hse.gov.uk/research/crr_pdf/2001/crr01325.pdf
20
THANK YOU
21
MANAGEMENT
Module 4
Lecture 19
MORT and TOR Techniques
By
Vinu Thomas
CUSAT, Cochin
1
15-Dec-20
Management Oversight and Risk Tree (MORT)
Analysis
• Developed by W. G. Johnson of the Aerojet Nuclear Company in 1970
• A graphical analysis technique for identifying safety-related oversights,
errors, and/or omissions that lead to the occurrence of a mishap
• Primarily a reactive analysis tool for accident/mishap investigation, but it
can also be used for the proactive evaluation and control of hazards
• Used to trace out and identify all of the causal factors leading to a mishap
or undesired event
• Utilizes the logic tree structure and rules of fault tree analysis (FTA), with
the incorporation of some new symbols
• Based on energy transfer and barriers to prevent or mitigate mishaps
*oversight  unintentional failure to observe something 2
MORT analysis method
• Analyst starts with a predefined MORT graphical tree that was
developed by the original MORT developers
• Analyst compares the management and operations structure of
his/her program to the ideal MORT structure, and develops a
modified MORT diagram
• The predefined tree consists of 1500 basic events, 100 generic
problem areas, and a large number of judging criteria
3
Common terminology in MORT
Accepted or assumed risk : Very specific risk that has been identified, analyzed,
quantified to the maximum practical degree, and accepted by the appropriate
level of management after proper thought and evaluation.
Amelioration: Post-accident actions such as medical services, fire fighting,
rescue efforts, and public relations
• LTA: less than adequate
• DN: did not
• FT: failed to
• HAP: Hazard Analysis Process
• JSA: Job Safety Analysis
• CS&R: Codes Standards and Regulations
4
Top Events of MORT
•The model states that the loss will have arisen

from either an ‘Assumed Risk’ or ‘Management
Oversights and Omissions’.
•Unanalysed or unknown risks are Oversight and
Omissions by default.
5
Technique of Operations Review (TOR)
• TOR analysis was initially developed by Weaver (1973) as a training tool
to assist with the prevention of incidents.
• It has subsequently found application as an investigatory technique for
the identification of root causes associated with incidents and
accidents
• TOR analysis is presented in a work sheet format
• It is a group technique requiring participants to progress through the
worksheet answering YES or NO to a series of questions
• A condition of TOR analysis is that the group reaches a consensus on
the answers to the questions
6
TOR worksheet
Divided into 8 functional areas namely
1. Coaching
2. Responsibility
3. Authority
4. Supervision
• Under each functional area, 5 to 8 numbered
5. Disorder statements of systemic failures are listed
6. Operational • To the right of each statement is a series of
7. Personality Traits numbers, which direct to other related
statements
8. Management
7
Sample TOR worksheet
Functional Areas
1. Coaching
2. Responsibility
3. Authority
4. Supervision
5. Disorder
6. Operational
7. Personality Traits
8. Management
8
Steps in TOR Analysis
Step 1: Establish the facts:
• Within the group, the facts of the incident must first be established,
understood and agreed
• Once this has been achieved the group is ready to move on to the next
stage
9
Step 2: Trace the root causes:
• Decide on the prime error that caused the incident to happen
• Encircle the corresponding reference number within the work-sheet and underline all those numbers
that are cross referenced by the prime error
• These are the possible contributing factors and are drawn from the original functional areas
• Consider all the possible contributing factors and decide whether or not they were relevant to the
particular incident being investigated.
• Encircle the numbers of those possible contributing factors considered to be relevant and cross out
those that are not
• Repeat this process for the factors cross referenced by those possible contributing factors considered
relevant.
• This process continues until the trail of numbers is exhausted. The circled factors represent the
identified root causes to the particular incident.
10
Step 3: Eliminate insignificant causes:
• Once the tracing process has been completed the group may be left
with a list of ten or more root causes that were judged to have
contributed to the incident.
• The group must now discuss these in more detail to reduce the list to
a more manageable size by assessing the significance of the factors
identified.
11
Step 4: Identify realistic actions:
• When the problem areas have been identified and reviewed, the group must
then identify realistic corrective actions that can be taken.
• If the group consists of employees from the shop floor, not all the actions will
be under their immediate control.
• It is for the group leader to raise the issues identified to more senior
management through the appropriate organisational channels e.g. reporting
forms, safety committees etc.
12
Reference materials
• https://www.ciobacademy.org/wp-content/uploads/2017/07/Root-
Cause-Analysis-2018.pdf
• Hazard Analysis Techniques for System Safety - Clifton A. Ericson II –
Chapter 24 - MORT
• MORT user manual: https://www.osti.gov/servlets/purl/5254810
13
Assignment no. 4
• Prepare a one page write-up on “Fish bone diagram”
• Last Date of submission: 28-Dec-2020
Test 4 (Module 4)
Dates: 29-30 Dec 2020
Mode of exam: Viva through Googlemeet
14
THANK YOU
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PSM S3

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PRINCIPLES OF SAFETY

Explain the concepts of safety, safety

Analyse job safety, accidents through

Estimate safety performance using various

Produce different types of permits, reports

History of safety movement. Theories of accident causation. Safety

Housekeeping: Responsibility of management and employees.

Cost of accidents- Computation of Costs- Utility of Cost data. Plant

MORT- Management Oversight and Risk Tree

Safety Management – John V Grimaldi, Rollin H Simonds

Industrial Safety - Ronald P Blake

Modern Accident Investigation and Analysis – Ted S Ferry

Safety Management System – Alan Waring

Accident Prevention Manual for Industrial Operations – National

Safety word origin- salvus (Latin)  sauveté (French)

• To prevent damage to an equipment

Considered as the worst industrial disaster in the world

5,74,366 Injured Victims

Compensation of Rs. 715 crore paid

Poor working condition and increasing work-place accidents led to

Litigations against companies for compensations for accidents

Assures that a life-critical system behaves as needed, even

To ensure that hazards are identified and addressed

Other viewpoint “Injured workers don't produce anything. Even more

Safety doesn't stand in the way of productivity; safety is productivity

• All accidents are incidents, but not all incidents

• Incidents where no property was damaged and no

• With serious injury is meant death (within a year after the

• A broken leg - not a reportable accident

• Unsafe working conditions

• Not wearing personal protective equipment

• Improperly using tools and equipment

• Smoking in prohibited areas

• Operating machine with extra speed

• Improper plant layout

• Health – Physical and Mental

• Child labour was common

• Long working hours

• These changes necessitated a greater focusing of

Worst Industrial Disaster

5,74,366 Injured Victims

More than 51,000 were injured in that period

Source: Labour and Employment Ministry

• Human Factors Theory

10% accidents  caused by unsafe conditions

2% accidents are unavoidable

• According to this theory, last three dominos are expressed as

• They are caused by management omissions

 Following three broad factors lead to human error:

Consists of tasks for which he or she is responsible,

Detecting a hazard & not correcting it

Removing safeguards from machines

Performing tasks without training

Misjudging the degree of risk involved in a task

Can cause or prevent accidents

• This theory views a situation in which an accident may

• Changes in the patterns of interaction can increase or

• ISO 45001 is an ISO standard for management systems of occupational health