Occupational Health and Safety Management System

Health and Safety management

system is an integral part of
business operations to manage
health and safety effectively in
an organisation.
 Safe
Safe Governance Safe
Reporting Recruitment

Monitoring
and Safe
Evaluation Programming

Education
and Training Safe
Partnering

Risk
Implementatio Assessment
n and Review Communicati &
on Guideline Mitigation
What is Policy and Procedure?
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 Planning and Implementation (Do)

Key Elements Evaluation (Check)

of Health &
Safety Audit (Check)

Management
System Actions for Improvement (Act)

Continual Improvement
The Financial Reason for Managing
Health and Safety

Accidents and ill-health involve costs, the indirect costs involved are often
considerably more expensive than direct costs. The direct and indirect costs
associated with accidents can endanger a company’s competitiveness.
 Direct Costs

• Compensation pay outs.

• Victim Sick pay.

• Fines from criminal court.

• Machinery repair costs

 Indirect Costs
Loss of worker morale (will have impact in productivity
and culture.

• Supervisor time spent on investigation and

preparing reports.

• Recruiting and training new employees.

• Loss of business reputation and goodwill.

Section 1: Safety Management

The ILO
Occupational
Safety & Health
Management
System
Module-1: Policy and Procedure
The Key elements of Policy (Plan)- A clear statement must be made in
organizing are order to achieve high standards of health and
safety, there must be a commitment at all levels
• Competence of the management, especially from the top
• Commitment and control management.
• Co-operation
• Communication
Organizing (Plan)- Clearly defining the roles and
responsibilities of everyone in an organization
for health and safety. There should be a visible
leadership from senior management to support
safety management system and to empower
ground level people to work safely.
Who Does What in Organizations
Top Management responsibilities towards employees includes
(Policy)
Policy Developing, implementation.

Provision of safe workplace

Providing necessary information, instructions, training

Provision of adequate supervision of work

Provision of welfare facilities

Provision of suitable and adequate personal protective equipment

Consultation with their workforce or other representatives

Taking precautions to eliminate mental and physical fatigue.

 Directors and senior managers Responsibilities (Procedure)

An appropriate health and safety policy is developed and established.

Carrying out risk assessments and ensure that suitable control measures are in place.

Show commitment by involving in leadership activities like site visits, consultation with the workforce.

Allocation of suitable resources to establish and maintain health and safety management system. Namely,
Manpower and Budget to meet the objectives of the health and safety policy.

In addition, the senior managers will be provided specific responsibilities in the organisation towards health and
safety. For instance, taking care of high-risk activities, or entire division or region.

The senior managers may appoint competent persons for assisting with health and safety measures and to meet
organisations health and safety obligations.

The senior managers involve themselves in reviewing health and safety performance of an organisation to
ensure the objectives are being met and remains valid.
Operational Responsibilities of the middle managers
(Procedure)

Provision and maintenance of workplace, equipment, and tools without any risk to health.

• Risk assessments are carried out and reviewed at regular intervals.

• Effective consultation and co-operation with workers, supervisors, and top management.

• Identifying training needs and providing trainings to the workers and contractors.

• Involve themselves in accident investigations and work-related ill health.

 Responsibilities of the Supervisor (Work Instructions)
Conduct risk assessment and put effective risk controls in place so far as is reasonably practicable.

• Develop safe system of work and involve workers when developing procedures and ensure that the members of his team
are trained.

• Consultation with the workers and employee representatives.

• The supervisor must set as an example by showing his commitment and control on safe behaviour and following
procedures.

• Carry out first level of investigation followed by near misses, accident/incident or ill health reported and report to the
senior managers.

• Carrying our workplace inspection on the areas under their control and to take actions against unsafe conditions, unsafe
practice which are observed at the time of inspection.

• Report to their managers on matters regarding health and safety, where they do not have authority to take actions.
 Employee or Workers Responsibilities and Rights

• Take reasonable care for their own safety and that of other people
who might be affected by business undertakings.

• Comply with procedures and instructions provided to take care of

themselves and others.

• Use of safety devices and Personal Protective equipment correctly

and not to misuse it.

• Report any situation to the supervisor or employer which they

believe, could present imminent danger which they cannot
themselves correct.

• Report any accident or occupational ill health which arises as part of

the employment.
 The general duty includes
the provision and maintenance of plant and systems of work that are safe
and without risks to health.

arrangements for ensuring the safety and absence of risks to health from
the use, handling, storage and transport of articles and substances.

the provision of information, instruction, training, and supervision sufficient

to ensure the health and safety at work of his employees.

Workplace is maintained in a safe condition without risk to health,

including the means of access and egress

provision and maintenance of the working environment for his employees

which is safe and without risk to health and adequate as regards the
provision of and arrangements for their welfare facilities.
ILO Convention C155 insists that workers must be provided with certain rights to
involve them in workplace health and safety, article 19 to 21 of Convention C155
provides the following rights to the workers

Workers must be given with suitable training regarding occupational health

and safety.

• Workers must be provided with adequate information on actions

taken by the employer to establish occupational health and safety.

• Employers must make arrangements for the workers and their

representatives so that they can co-operate and consult with the
employer on matters relating to occupational health and safety.

• The employee must be given with the right to leave the workplace
where there is significant to his life or health and shall not return to the
place until the workplace becomes safe.
Internal sources of information

• HSE Policy • Risk Assessment • Accident / Ill- • Safety Committee • First aid treatment
health records meeting minutes records

• Absenteeism • Safe system of • Inspection / audit

records work / Method reports.
statement.
The Shared A common system to manage joint issues at the workplace such as Provision of
information about the risks that their business creates, it can be achieved by
Responsibilities establishing an association with regular meetings. Exchange of information takes
of Joint place in the committee meeting which helps to develop common policies and
procedures and implemented throughout the premises; Common policies
Occupiers of includes:-

Premises
 Prohibiting smoking in the premises

Common fire procedures

Bomb threat procedures

Common Emergency spill response

policies Vetting visitors at the entrance

Vehicle parking and traffic

management
The Three Parts of a
Health and Safety
Policy
Roles and Responsibilities of Management (Procedure)

CEO or MD Ultimately responsible and accountable for overall

organisation’s performance.

Management at all Levels responsible to ensure suitable controls are in

place, through allocating responsibilities down the hierarchy

All Employees are responsible to take care of themselves and others

when they are at work.

Competent person the competent workers must be specialized to carry

out specific health and safety duties, e.g. fire marshals, first aider.

Health and Safety Specialist / Practitioners provide guidance and

support to the management to achieve overall performance.
 Arrangement Section

Arrangements sections deals with specific systems and procedures

which will assist to implement the health and safety policy. This
section should clearly define how health and safety will be achieved
in the organisation through the implementation, maintenance,
monitoring and review of preventative and protective measures.

Arrangement section encompasses the rules and

procedures, it also gives detailed information on the
practical arrangements for planning, organising,
controlling, Monitoring (both active and reactive) and
reviewing performance as and when required.
 communicating the
General Arrangements • Allocating resources policy within the
organisation.

• Developing safe
• Hazard identification, system of work and
carrying out risk • Worker consultation permit to control
assessment and communication. hazards in high risk
activities.

• Provision of training
including procedures for • reporting near misses, accidents,
carrying out specific jobs (hot investigations and taking corrective
works, firefighting and first actions.
aiders).
 • Monitoring and inspection
Welfare facilities and
– arrangements to inspect
General Arrangements housekeeping arrangements
equipment and tools and the
to clean the workplace.
working methods.

• Provisions for compliance

monitoring, carrying out
• Provision of personal
• Emergency procedures. third party audits to ensure
protective equipment.
the systems are in line with
the standards.

• Arrangements for
measuring the performance
• Conducting health – monitoring the accident /
surveillance and maintaining incident, ill health; audits,
records. committee meetings and
periodic reviews.
 Specific Arrangements

•SH and Bullying of • Arrangements for • Stress, Noise, vibration

employees– prohibition monitoring Lone working and radiation at work,
• Smoking site rules and
policy, reporting systems. and emergency exposure control and
control measures.
procedures for lone setting exposure limits.
(Safeguarding policy) working. (labour law)

• Manual handling • Control of contractors • Control of visitors by

• Fire arrangements
arrangements and through selection checking their credentials
including procedures for
control by using procedures. (recruitment before accessing into the
responding to an alarm.
mechanical devices. guideline) work area.
 Reviewing Health and Safety Policy

• Followed by audit findings or risk assessments which recommends that policy is no longer valid.

• Enforcement action reveals weaknesses or specially requires a review

• As passage of time, policy must be reviewed every 2 years to ensure that it remains valid.

•Followed by accident/incident or ill health reported.

• When a new technology is introduced.

• Followed by any change in the organizational structure. For example, change in the CEO or Director.
 Reviewing Health and Safety Policy Cont...

• When a new process or procedure is introduced or any change in the existing procedures. For
example, lifting process by manual handling is changed by lifting loads using a mechanical load
handling device, forklift.

• Any significant change in the work premises

• Any new legislation is introduced or any change in the existing legislation.

 Benefits of Health and safety policy
• Minimizing the sickness absence rates.

• Reduction in number of accidents/incidents.

• Reduction in enforcement actions.

• Completing the training related to health and safety to all the supervisors and managers in next 6 months.

• Completion of workplace inspections.

• Completion of workplace risk assessments covering all the activities in next 8 months.

• Improve the system for recording near misses and accidents.

• Conducting regular health surveillance to the workers once in every 3 months.

• Improving the safety culture within the organisation by involving workers through consultation in decision making process.
Indicators of an Organization's Health and
Safety Culture

• Level of compliance • The number of • The number of Work-

with rules and complaints about related accident/
procedures working conditions incidents happening.

• Absenteeism and
• Staff turnover.
sickness rates.
Module-2: Workplace Communication
 Communication
Communication may be
defined as: "imparting,
conveying or exchanging Verbal
Communication
information, ideas or
opinions by the use of
speech, writing or Written
Communication
graphics".

Graphic
Communication
Cooperation and Consultation with
workforce

To establish a positive safety culture worker cooperation and

consultation is important concern for the top management.

Have a dedicated health and safety committee. They are

effective if your organisation has several representatives for
different groups, larger numbers of employees, both union-
appointed representatives and employee-elected
representatives, or representatives responsible for more than
one site.
Module-3: Scheduling Safety Activities-
Training, Testing and Auditing
 THE MAIN INSTANCES - TRAINING GIVEN TO
WHERE TRAINING IS ALL NEW EMPLOYEES–
REQUIRED MAY BE INDUCTION TRAINING.
CLASSIFIED AS
FOLLOWS:

Training

- TRAINING WHICH − NEW WORKING

BECOMES NECESSARY METHODS BEING
BECAUSE OF CHANGES
CARRIED OUT IN THE INTRODUCED.
BUSINESS, SUCH AS:
 Induction Training
• Health and Safety • Risks to which
• Hazard profile of • Risk Assessments
Policy of the employees exposed
the organisation in the workplace
organisation. to

• Specific Site
Rules, moving • Emergency • Relevant Risk
• Restricted Area
around the Procedures control measures
workplace

• Accident • Safe system of

• Welfare Facilities • First Aid provision Reporting work and permit
procedures systems
Factors to consider when planning training
need analysis
• The business functions of an organisation including hazards or risks level.

• The nature of hazards and risks involved in their business activities.

• Accident history of the organisation, which indicates the areas where there is lack and the need for
training.

• The details of the employees who have provided with training before, when and what topic were
covered.

• Is there any legal requirement to carry out specific training (e.g. first aid training)?
 Training Records
Training records must be maintained up to date, must witness the progress against the
training plan.

Training records give detailed information on the topics being covered with the level of
competence gained by the learner; date of training being conducted.

All such records shall be provided to the regulating authority that suitable training was
provided to the workers to improve their competence, or it may be used to prove
during any accident investigation to confirm that training was provided to the worker.
Evaluating Training Effectiveness

01 02 03 04
• Whether • Do they work as • Significant • Increased
employees are how they have been improvement in the awareness in
performing the trained to carry out organisation’s accident/ near
tasks safely without the task. health and safety misses reporting
risk to health performance. systems.
Module-4& 5: Management of Hazardous
Substance and Load Management Planning
Risk
Assessment
Risk Assessment is an
important step in protecting
people from ill health and
accidents by recognising what
can cause harm and how to
prevent them from occurring
by implementing controls.
 Risk
“Risk is a combination of how likely the hazard will cause harm and the potential severity of the
harm”

Quantitative Risk Assessment - If the rating is calculated using numerical

values is called as quantitative risk assessment.

Qualitative Risk Assessment - This is a subjective judgement backed by

information and knowledge about the workplace, so the assessor’s
competence is relied on.

Risk Profiling - The risk profile of an organisation informs all aspects of the
approach to leading and managing its health and safety risks.
A risk profile examines:

• the nature and

• the likelihood of
level of the threats
adverse effects
faced by an
occurring
organisation

• the effectiveness • the level of

of controls in place disruption and costs
to manage those associated with
risks each type of risk
Outcome of risk
profiling

The outcome of risk profiling will

be that the right risks have been
identified and prioritized for
action, and minor risks will not
have been given too much priority.
It also informs decisions about
what risk controls measures are
needed.
Objectives of Risk Assessment

Evaluate Remove the Minimize the

hazards hazard level of risk

Implementing Create a safer

new control and healthier
measures workplace.
Five Steps to Risk Assessment

Step 1 - Identify the Hazards

Step 2 – Identify the People at Risk

Step 3 - Evaluate the Risks and Decide on Precautions

Step –4 Record Your Findings

Step –5 Review your Assessments and Revise if Necessary

 • Physical, for example:

Step 1 - − Slipping or tripping hazards.

− Moving parts of machinery.

Identify − Work at heights.

• Chemical, for example:

the − Fumes, Vapours

− Chemicals (e.g. battery acids).

Hazards
• Biological, for example:
− Viruses, Fungi
− Bacteria
• Ergonomic, for example:
− Manual handling.
− Poor lighting.
 Hazard Identification Methods- Task Analysis

1 2 3 4 5 6
Select the task Record each steps Evaluate the risk Develop safe Implement safe Monitor
of the tasks associated with working methods working methods performance to
each step ensure its
effectiveness.
 Step 2 – Identify the People at Risk

Maintenance Visitors /
Workers Cleaners Contractors
Personnel Public
Vulnerable groups may include
• young people, who
may be more at risk • pregnant, post-natal
due to their • elderly people and breastfeeding
inexperience and lack employees
of training

• people with different • people who are

• night and shift
abilities or disabilities; handling money or
workers
and dealing with the public.
Risk of Expectant and Nursing Mothers
• standing or
• lifting/carrying • exposure to • exposure to
sitting still for long
heavy loads. infectious diseases lead.
lengths of time.

• exposure to
• exposure to toxic • work-related • workstations and
radioactive
chemicals. stress. posture.
material.

• threat of
• long working • excessively noisy
violence in the
hours. workplaces.
workplace.
Step 3 - Evaluate the Risks and Decide on
Precautions

The term risk can be

defined as ‘the • The likelihood of the
• The severity of the
likelihood of harm’. This hazardous event
harm that results
is usually regarded to occurring
have two components:
Risk rating
 When determining controls, or considering changes to
Hierarchy of existing controls, consideration shall be given to
reducing the risks according to the following
Control with hierarchy:

reference to • eliminate the hazard.

ISO 45001 • substitute with less hazardous processes,
operations, materials, or equipment.
• use engineering controls and reorganization of work.
• use administrative controls, including training.
• use adequate personal protective equipment.
 General Hierarchy of Controls

Risks should be reduced to the

lowest reasonably practicable
level by taking preventative
measures, in order of priority. This
is what is meant by a hierarchy of
control. The list below sets out
the order to follow when planning
to reduce risks you have identified
in your workplace. Consider the
headings in the order shown, do
not simply jump to the easiest
control measure to implement.
Benefits and Limitations of PPE- Limitations
• PPE may not provide adequate protection because of poor selection, poor fit, incompatibility with other
PPE, misuse of PPE or non-use of PPE.

• It protects only the wearers not others who are nearby.

• Relies on the behaviour of the people wearing the equipment always.

• PPE may bring in new hazard for instance impaired vision, unable to hear emergency alarms, wearing for
long time causes fatigue.

• It only reduces the injury rather than preventing it.

• If fails to danger, does not provide 100% protection.

Residual Acceptable and
Tolerable Risk

The risk that remains after introducing all control measures is referred as
residual risk.
For example, the use of seat belts while driving a car reduces the probability and
severity of injury from the road accidents, however in the event of accident
there is probability of injury remains, this is referred as residual risk.
If the residual risk is low, then it is considered as acceptable risk – the existing
control measures are adequate.
 Step –4 Record Your Findings

The significant findings of the assessment must be recorded and kept. There
should, then, be a record of all hazards, the risks that they present and what
precautions are in place to protect people from harm. This written record is an
important reference for future use – as the basis for reviewing risks, but also as
information for enforcement officers or even as evidence in any proceedings
arising from an accident involving the risk.

The record needs to cover all significant risks and state the current position – for
example,
“electrical wiring checks carried out in Work site ABC and everything found to be
satisfactory”.

If the company has less than five employees it is not necessary to prepare this
written record,
although it is always useful to keep one anyway.
 Risk Register:
Risk Register :
Rating

Risk Strategy
Risk Owner
Specific Description Possible Estimated Existing key

Likelihood
Mitigation Date of Budget Status

Impact
Risk

Rating
No Risk of the risk root causes Impact controls Plan completion
Category Name

1
 Step –5 Review your Assessments and Revise if Necessary

• Followed by an accident or an increase in near misses

• Significant change in the procedure, equipment and

substances.

• New hazard information available as a result of health

surveillance.

• Change or update in the legislation for e.g. Occupational

Exposure Limits to hazardous substance.
Module-6: Accident ,Incidents and Investigations
Reporting
 The Management of Change

The hazards of temporary nature or work can present significant risks to the
workers and others who are associated with the temporary works. They may
include own employees of the client for example quality monitoring team. They
may be engaged contractors to undertake construction work.

The hazards of temporary nature of work can also present risk to those who might
or might not be involved to the business such as a visitor or trespassers.
 Managing the Impact of Change

Communication and Co- Segregation- The temporary

operation- Effective work area must be
Risk Assessment- Risk communication and co- segregated from the existing
assessment must be carried operation between the all workplace. This can be
out considering the hazards parties undertaking the work achieved by the use of
associated with temporary and all those affected by the physical barriers and
works and its effect on the work are important. Effective signage. Access points to the
existing workplace. communication can be temporary work site must be
achieved by proper planning controlled to prevent
of the temporary works. unauthorized access.
Management of Contractors (safe recruitment)

A client has duties towards a contractor and their workers as well as visitors to their workplace.

In addition, when a client commissions a contractor to conduct work relating to the client’s
undertaking, the client retains responsibility to see that it is conducted in a safe and healthy
manner.

A contractor that agrees to a contract for service must provide appropriate health and safety
standards when conducting the work – this will benefit all those that might be affected

It is therefore essential that all contracted work be effectively planned and co-‐ordinated. This will
include conducting appropriate risk assessments of work activities, foreseeing how the activities
and parties involved in the work interact with each other.
 • Address the risk to their own
employees arising from the work.
Contractors
Responsibilities
(Contractor & • Address the risk to the client
employees arising from the work.
Sub-‐Contractor
as Employer)
• Address the risk to the client
arising from the work.
 • Selection of Contractor

The effective
management of • Planning the job

contractors by the
client can be • Co-ordination of the work.

broken down into

the following key • Monitoring the contractors work
areas:
• Review the contractor’s performance and
effectiveness of existing control.
 Developing Safe system of Work- Task analysis

Select Record Evaluate Develop Implement Monitor

Select the task Record each Evaluate the Develop safe Implement safe Monitor
steps of the risk associated working working performance to
tasks with each step methods methods ensure its
effectiveness
Emergency Procedures
and First Aid

Even though when control

measures are in place, there are
chances that still things may go
wrong. The organisation must
develop and maintain procedures
to deal with accidents and
emergency situations in order to
prevent and minimise the impacts
arising from it.
 • Fires

• Toxic gas releases

A workplace emergency is
• Chemical spills
unforeseen that threatens
the business operations. • Radiological accidents

Such emergencies may • Explosions

include the following: • Floods

• Threats from terrorists

• Workplace violence resulting physical harm and trauma

Emergency Procedure Arrangements

Foreseeable Procedures for Procedures to deal Suitable

emergencies raising the alarm with emergency equipment

Arrangements for
Responsible contacting
Dealing with Media
Persons emergency
services
Training and Testing
• Individual roles and responsibilities

• Threats, hazards, and protective actions

• Notification, warning, and communications procedures

• Means for locating family members in an emergency

• Emergency response procedures

• Evacuation, shelter, and accountability procedures

• Location and use of common emergency equipment; and

• Emergency shutdown procedures.

 First-aid in the workplace
“The immediate care given to a person who has been injured prior to obtaining qualified
medical assistance”.
The role of first aid
• Preserve life- Effective first aid helps to save life
• Prevent condition from worsening- Treating the cause will prevent condition becoming
worsening
• Promote Recovery- Constant support and treating minor injuries help to promote
recovery.

The aim of first aid is to reduce the effects of injury or illness suffered at work, whether
caused by the work itself or not. First-aid provision must be ‘adequate and appropriate in
the circumstances.
Role of First Aiders

The minimum requirement for an

employer is to appoint a person to
Arrangements should always be
take charge of the first-aid
made for an appointed person to
arrangements, including looking
be available to undertake these
after the equipment and facilities,
duties when people are at work.
and calling the emergency services
when required.
Active and Reactive Monitoring

• Providing information • Identifying areas

on how the system where remedial action is
operates in practice required

• Providing a basis for • Providing feedback

continual improvement and motivation
 Monitor the design, development, installation,
and operation of management arrangements.
Active These are preventive in nature, for example:

Monitoring -
• routine inspections of premises, plant, and
equipment by staff
Gathering information
before an event,
involves inspections, • health surveillance to prevent harm to health
audit, safety survey and
put things right to
prevent accident • planned function check regimes for key
happening. pieces of plant.
 Reactive Monitoring -

Gathering information followed by an event, to find out the reasons for failure in the systems,
usually lessons learnt from mistakes. If an organization needs to improve their performance, they
need to monitor both the performances.

Monitor evidence of poor

health and safety practice
• Monitoring cases of ill
but can also identify better • Investigating accidents
health and sickness
practices that may be and incidents
absence records
transferred to other parts
of a business, for example:
Arrangements for Active Monitoring

• A general workplace inspection to ensure legal

requirements are met in accordance with standards.

• Sampling methods to a specific item from a group.

• Safety tour of the entire organisation or department.

Checklist
• Housekeeping

• Access and egress

• Transport

• Electrical safety

• Machinery safety

• Hazardous substances

• Personal Protective Equipment

• Emergency Arrangements
Planning action
Planning action - is essential for the issues found during the inspection
to control the risks proactively before something goes wrong.
Inspection without corrective action represents ineffective
management system. Planning actions must be clear with:
• What corrective action required
• Person responsible to close out the action
• Timescale with priorities
The agreed methods of active monitoring shall be documented and put
in to practice for effective functioning of the system.
Factors to be considered when determining
the frequency of the inspections
• Activities being carried out and the level of risk present.

• Processes being carried out, changing processes may require frequent

monitoring

• Followed by risk assessment, as it may emphasize inspection as an additional

control measure

• Findings from previous inspection, as part of follow up routines

Factors to be considered when determining
the frequency of the inspections
• Manufacturers recommendation–for example routine inspection of the equipment

• Statutory requirement may vary based on the legal standards

• Previous accident history

• Investigation outcomes

• Followed by worker complaints

• Recommendations from enforcement authority.

 Reactive Monitoring
Failures in risk control also need to be measured (reactive monitoring), to provide
opportunities for organisations to check performance, learn from failures and
improve the health and safety management system.
Reactive monitoring arrangements include systems to identify and report:
• injuries and work-related ill health
• other losses such as damage to property.
• incidents, including those with the potential to cause injury, ill health or loss.
• hazards and faults
• weaknesses or omissions in performance standards and systems.
 • Near misses
• Dangerous occurrences
• Accidents

Statistics • Lost workdays

Data collected and
reported about several • Damaged property
unwanted events, such
as • Ill health cases
• Workforce complaints
• Enforcement actions–number and type
• Civil claims–number and type
• Accident costs
Trends–consistent increases or decreases in the number of certain types of events over a period

Patterns–hot-spots of collections of certain types of events.

This analysis usually involves converting raw data (the numbers) into an accident rate so that more
meaningful comparisons can be made.

Accident rate used to measure an organisation’s safety performance is Accident Frequency Rate:
𝐹r=Number of injuries(per year)Number of hours worked(per year) ×1,000,000

The reasons for using rate rather than actual numbers is because it allows for a more meaningful
comparison of accident statistics from one year to next year, even there may be a change in the
number of employees or there may be more hours worked.
Investing, Recording and Reporting Incidents

The main aim of accident investigation is to prevent accidents from happening again.

The organisation needs to identify the root cause of the accident so that corrective actions can be
implemented to prevent such accidents again.

Often the main thing that differentiates a near miss or a minor injury accident from serious-injury accident is
the probability.

A worker drops a hammer from scaffold which is missing a head of the worker below, but it if it is happening
again it may hit the worker head causing a serious harm or injury, where there is a foreseeable probability, a
thorough investigation must be initiated so that potential incident can be prevented.
 Reasons for Investigation Accidents

• To identify immediate cause and root cause–accident are caused by unsafe acts
and unsafe conditions which arise from underlying or root causes.

• To prevent reoccurrence–introduce corrective actions so that accidents will

not happen again is a key factor in incident investigation.

• Recording–recording incidents data can be used as a reactive tool in the

future.

• Legal Reasons–certain types of incidents need to be reported to the

enforcement authority to determine compliance with statutory requirements.

• Insurance Claims–insurance company will analyse accident investigation

report to determine the liability.
 Reasons for Investigation Accidents

• Staff Morale–investigating accidents and implementing corrective

actions will enhance a positive safety culture in an organisation, if
the organisation fails to investigate accidents, the workers may have
thought their life is not valued by the employer.

• To review and update risk assessment–investigation may suggest

the weakness in the risk assessment, hence the risk assessment
may be reviewed.

• Disciplinary Actions–due unacceptable behaviour of the workers,

disciplinary actions must be taken against the worker who failed to
follow the standards.
Basic Investigating Procedures

Step 1: Gathering the information

Step 2: Analysing the information

Step 3: Identifying suitable risk control measures

Step 4: Implement action plan

Step 1: Gathering Information

• Physical evidence

• Verbal evidence identifies the witness, especially those who have been involved
in the accident and know what had happened? Their statement must be
recorded.

• Document evidence this may include photographs, sketches, CCTV footages and
samples collected from the accident spots.
Witness Interviewing Techniques

• Prompt witness interview followed by the event to avoid information being erased from their memory.

• Conduct interview in a private room, it should be free from distractions and interruptions.

• Introduce themselves and try to build a rapport with the witness, care should be given to observe witness body
language, the interviewer must maintain their voice tone and provide response in calm and neutral manner.

• Explain the witnesses about the purpose of the interview i.e. its not about to blaming people, the main aim is
to find the cause to prevent reoccurrence.

• Keep them informed that the explanation and responses will be taken as notes during the interview
Witness Interviewing Techniques
• Use Open questions, such as, what, why, where, when, Who and How.

• Keep an open mind to the responses.

• Record the details including the names of the interviewer, interviewee, and any other witnesses.
Location, date, and time of interview along with important comments during the interview.

• Summarise your understanding and ask witnesses to write and sign a declaration statement to
generate a record of their testimony.

• Appreciate the witness for providing the information and thank them for their support.
 An analysis involves examining all the facts, determining
what happened and why. All the detailed information
gathered should be assembled and examined to identify
what information is relevant and what information is missing.
Immediate Cause

Step 2:
Analysing Unsafe act
Information
Unsafe Conditions
Underlying or Root Cause – Management failure

• Failure to provide
• Inadequate risk
• Failure to monitor. training to the
assessment
workers

• No maintenance
• Lack of provision of • Inadequate
carried out for plant
suitable PPE inspections.
and machinery.
Step 4: Implement Action plan

An action plan for implementing additional risk control measures is

the desired outcome of a thorough investigation.

The action plan should have SMART objectives, i.e. Specific,

Measurable, Agreed, and Realistic, with Timescales.
 Report to Management Process

• Who – the
• What – type of
injured person, • When – date and • Where – location • How – details of
accident and
witnesses and time details events
nature of injury
interviewer.

• Why – analysis of • Investigation • Legal references

• Actions plans • Documentation
cause level to breaches of law.
Recording and Reporting Requirements

The employer should ensure that Workers’ compensation insurance

records of occupational accidents, In cases in which more than one reports and accident reports to be
occupational diseases, commuting worker is injured in a single submitted for notification are
accidents, dangerous occurrences occupational accident, a record acceptable as records if they
and incidents are available and should be made for each of the contain all the facts required for
readily retrievable at all injured workers. recording or are supplemented in
reasonable times. an appropriate manner.
Health and Safety
Auditing
Scope and Purpose of the Audit
The main purpose of the audit is to evaluate how well health and
safety is being managed against the standards. The audit identifies
the strengths and weaknesses and areas which are vulnerable.
The outcome of the audit is the report to the management with
action plans which allows to manage health and safety
successfully.
• Occupational ill-health
• Fire prevention and emergency arrangements
• Work at height
• Confined space
Pre-Audit Preparations

• THE SCOPE OF • THE AREA OF • THE EXTENT • PERSONNEL • GATHERING

THE AUDIT THE AUDIT OF THE AUDIT REQUIREMENTS INFORMATION
 During the Audit

• PHYSICAL OBSERVATION – OF THE • INTERVIEWING PEOPLE – WHO NEEDS • VERIFYING DOCUMENTS – RISK
WORKPLACE, EQUIPMENT, PROCESSES, TO BE INTERVIEWED, A MEETING ASSESSMENTS, INTERNAL AUDIT
AND BEHAVIOR. SCHEDULE MUST BE PLANNED AND REPORTS, HSE POLICY, TRAINING
ORGANIZED. RECORDS ETC.
Closing the Audit
• Corrective action is action taken to eliminate the causes of an existing
nonconformity, defect, or other undesirable situation in order to prevent
recurrence (reactive). Corrective action is about eliminating the causes of
problems and not just following a series of problem-solving steps.

• Preventive action is action taken to eliminate the causes of a potential

nonconformity, defect, or other undesirable situation in order to prevent
occurrence (proactive).
Section 2 Module-7: Safety Maintenance
Production/Utility Maintenance

I use You maintain & We maintain

I Fix

Old Attitude TPM Attitude

TPM is a Paradigm Shift

TYPES OF MAINTENANCE

Condition
Predictive

High efficiency
based/
(Data Base)
Proactive

Unplanned Planned

Low efficiency
Preventive
Corrective /
Reactive (Time
based)
 Autonomous Maintenance

Equipment & process

Improvement
Key strategies Pillars

Planned Maintenance

Early Equipment
management
TPM

Process quality Maintenance

Manufacturing Support
Total Employee Participation
6S || Visual Control || Administrative Control

Education and Training

Zero Defect || Zero Breakdown || Zero Accident || Zero Waste

Safety, Health &

Environment
 Pillar What it is
Autonomous maintenance Involve the operator in daily machine maintenance

Equipment and process Identification and problem solving of recurring problems

improvement
Planned maintenance Plan maintenance activities so that production is not
interrupted
Early equipment management New equipment achieves desired performance levels earlier

Process Quality management Introduce improvement projects to address

quality issues
Manufacturing Support Address waste in administration functions

Education and training Develop operators so that they can routinely maintain
equipment
Safety, Health & environment Eliminate potential safety risks, improve the working
environment
 Thank You..!!
• Any Question?