Unit ID1 Know - Workplace Health and Safety Principles

International Diploma for Occupational Health and Safety Management Professionals

Unit ID1: Know – Workplace Health and Safety Principles (International)

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© Copyright All rights reserved. This book contains information from authentic and regarded sources. We have made our best efforts to put in reliable information; however Green World Safety & Security Consultancies LLC and Authors do not assume any responsibility for validity of all contents or the consequences of their use. The advice and strategies contained herein may not be suitable for your situation and you should consult with a professional where appropriate. Users of this book cannot bring any claim or legal action against Green World Safety & Security Consultancies LLC or Authors relating to knowledge obtained during the course. We have also attempted to trace the copyrights of all material here and given reference to the source where applicable. If you feel that your copyright material is used in this book without acknowledgement, please let us know so we may rectify. This book or any portion thereof may not be reproduced or used in any manner whatsoever without the express written permission from Green World Safety & Security Consultancies LLC PO Box 83127, Suite No 102, Sapphire Tower, Near Dnata, Deira, Dubai, United Arab Emirates Phone: +971 4252-8805/06 E-mail: [emailprotected] Web: www.greenwgroup.com GWG - NEBOSH IDIP Textbook - Version 1 (June 2021) Specification Date: July 2020 NEBOSH Syllabus Publication Date: April 2021

Unit ID1: Know – Workplace Health and Safety Principles (International)

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Acknowledgements and Disclaimer

Green World Safety & Security Consultancies LLC is thankful to National Examination Board in Occupational Safety and Health (NEBOSH) for allowing us to reproduce extracts from their documents including Syllabus guide, examiner reports and past exam papers available on their website. We also acknowledge the permission given by the following bodies to allow the use of their publically available material: • • • • • • • •

Health and Safety Executive HSE-UK International Labour Organization (ILO) National Institute for Occupational Safety and Health (NIOSH)-USA Occupational Safety and Health Administration (OSHA)-USA Safe Work Australia Worksafe Victoria European Agency for Safety and Health at Work Worksafe New Zealand

We’d like to express a gratitude of thanks to the authors of this book. -

Mr. Shanker Srikumar – Dip. RSA, Grad IOSH, M.Sc, MBA (UK), SIIRSM Mr. Manikandan Gobinath - Dip. RSA, Grad IOSH, MBA (UK), MIIRSM Mr. Dilip Madurai – MET (General Emphasis - US), IDip NEBOSH, Grad IOSH, Lead Auditor Mr. Logananthan Ramachandran – Grad IOSH, B.Tech, MS (Sweden), MBA Mr. Varun Vignesh – M.Tech HSE, Grad IOSH

Unit ID1: Know – Workplace Health and Safety Principles (International)

Version Control and Document History: Issue Date 1st June 2021

Summary of Review and Modifications First Issue

Version 00

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Contents 1.1 Socio-legal models .............................................................................................................................. 6 The role, function and limitations of legislation as a means of promoting positive health and safety outcomes .............................................................................................................................................. 6 What are ‘goal-setting’ and ‘prescriptive’ legal models; the advantages and disadvantages of each . 7 Legal hierarchy of state and federal laws and their application to health and safety law ................... 8 Loss events in terms of failures in the duty of care to protect individuals and the compensatory mechanisms that may be available to them ....................................................................................... 10 1.2 Enforcement ..................................................................................................................................... 13 The purpose of enforcement .............................................................................................................. 13 The principles of enforcement with reference to the British HSE’s Enforcement policy statement (HSE41) ................................................................................................................................................ 13 1.3 The International Labour Organization and its conventions and recommendations ....................... 15 The role of the United Nations ........................................................................................................... 15 The roles and responsibilities of ‘International governments’, ‘enterprises’ and ‘workers’ .............. 18 How International conventions can be used as a basis for setting International systems of health and safety legislation .......................................................................................................................... 20 1.4 Non-governmental bodies and health and safety standards ........................................................... 24 Influential parties and their role in influencing health and safety performance ............................... 24 The importance of print, broadcast and social media in a global economy and their role in changing attitudes to health and safety............................................................................................................. 32 The benefits of schemes which promote co-operation on health and safety between different companies ........................................................................................................................................... 36 The possible adverse effects on a business’s reputation due to stakeholder reaction to health or safety concerns ................................................................................................................................... 37 An organisation’s moral obligations to raise standards of health and safety within their supply chains .................................................................................................................................................. 38 The meaning of ‘self-regulation’ and the role and function of corporate governance in a system of self-regulation ..................................................................................................................................... 39 How internal rules and procedures regulate health and safety performance ................................... 42

Unit ID1: Know – Workplace Health and Safety Principles (International)

2 Green World Group 1.5 Third parties ...................................................................................................................................... 43 Reasons for ensuring that third parties are covered by health and safety management systems .... 43 Basic duties owed to and by third parties .......................................................................................... 44 Responsibilities for control of risk associated with third parties........................................................ 47 Reasons for providing information relating to hazards/risks to third parties .................................... 47 1.6 Insurers ............................................................................................................................................. 48 How insurers can influence organisational health and safety ............................................................ 48 The role of loss adjusters and claims handlers ................................................................................... 50 2.1 Organisational structures.................................................................................................................. 52 The concept of the organisation as a system ..................................................................................... 52 Organisational structures and functions............................................................................................. 53 Potential conflict between organisational goals and the goals of the individual ............................... 59 The integration of the goals of the organisation with the needs of the individual ............................ 60 The internal influences on health and safety within an organisation ................................................ 64 The external influences on health and safety within an organisation................................................ 67 2.2 Leadership ......................................................................................................................................... 74 The meaning of safety leadership ....................................................................................................... 74 Types of safety leadership .................................................................................................................. 74 Behavioural attributes of an effective leader ..................................................................................... 84 2.3 Consultation ...................................................................................................................................... 85 The role of consultation within the workplace ................................................................................... 85 The four stages to consultation .......................................................................................................... 86 Behavioural aspects associated with consultation ............................................................................. 91 The role of the health and safety professional in the consultative process ....................................... 93 2.4 Health and safety culture, Behavioural change programmes .......................................................... 94 The meaning of ‘health and safety culture’ and ‘health and safety climate’ ..................................... 94 Indicators of health and safety culture and measuring health and safety climate ............................ 96 Factors that may promote a positive health and safety culture or climate ....................................... 99 Factors that may promote a negative health and safety culture or climate .................................... 101 Changing the culture ......................................................................................................................... 103 Problems and pitfalls ........................................................................................................................ 105 The elements and levels of the British HSE’s Safety culture maturity model................................... 112 Unit ID1: Know – Workplace Health and Safety Principles (International)

3 Green World Group The concepts of blame, no-blame and just culture (Dekker) ........................................................... 113 Behavioural change programmes ..................................................................................................... 115 The organisational conditions needed for success in behavioural change programmes ................. 115 Content of typical behavioural change programmes ....................................................................... 117 2.5 Traditional and proactive safety management ............................................................................... 119 Traditional safety (sometimes called ‘Safety I’) ................................................................................ 120 Proactive safety management (sometimes called ‘Safety II’ and ‘Safety Differently’) ..................... 120 Limitations of traditional and proactive safety management .......................................................... 121 The effects of proactive safety management on health and safety culture ..................................... 121 2.6 Risk perception ............................................................................................................................... 123 Human sensory receptors and their reaction to stimuli, sensory defects and basic screening techniques......................................................................................................................................... 123 The process of perception of danger, perceptual set and perceptual distortion ............................. 124 Errors in perception caused by physical stressors ............................................................................ 126 Perception and the assessment of risk ............................................................................................. 129 2.7 Human failures and factors Improving human reliability ............................................................... 131 Human failure ................................................................................................................................... 131 Human factors................................................................................................................................... 132 Contribution of human failure and human factors to incidents ....................................................... 136 Improving human reliability .............................................................................................................. 138 3.1 Competence, training, information and supervision ...................................................................... 148 The meaning of competence ............................................................................................................ 148 The difference between training and competence .......................................................................... 149 The circ*mstances when training is likely to be required ................................................................ 149 The groups of people having specific training needs........................................................................ 150 The circ*mstances where there are specific training needs for certain hazardous types of work equipment ......................................................................................................................................... 150 The requirements for training lift truck operators ........................................................................... 151 3.2 High Reliability Organisations ......................................................................................................... 152 What is an HRO? ............................................................................................................................... 152 Characteristics of an HRO ................................................................................................................. 152 The lessons that other organisations can learn from HROs ............................................................. 154

Unit ID1: Know – Workplace Health and Safety Principles (International)

4 Green World Group 4.1 Hazard identification techniques .................................................................................................... 157 Types of hazard identification techniques ........................................................................................ 157 The importance of worker input ....................................................................................................... 162 4.2 Managing health and safety risks ................................................................................................... 163 The meaning of the term sensible risk management ....................................................................... 163 Principles of and differences between qualitative, semi-quantitative and quantitative assessments .......................................................................................................................................................... 163 How to engage workers at all levels in the risk assessment process................................................ 164 When dynamic risk assessments/situational awareness should be used ........................................ 165 The link between the outcomes of risk assessments and the development of risk controls ........... 168 Factors affecting the choice of sensible and proportionate control measures ................................ 168 Organisational arrangements for implementing and maintaining an effective risk assessment programme ....................................................................................................................................... 170 Acceptability/tolerability of risk........................................................................................................ 171 4.3 Risk management............................................................................................................................ 176 Organisational risk profiling .............................................................................................................. 176 Why health and safety risks must be integrated into main business risk ........................................ 177 The concepts of avoidance, reduction, transfer and retention with/without knowledge ............... 178 Circ*mstances when each of the above strategies would be appropriate ...................................... 180 Factors to be considered in the selection of an optimum solution based on relevant risk data ..... 181 The principles and benefits of risk management in a global context ............................................... 182 5.1 Loss causation Quantitative analysis of data .................................................................................. 183 Understand the theories/models, tools and techniques .................................................................. 183 The quantitative analysis of accident and ill-health data ................................................................. 194 5.2 Measuring and monitoring ............................................................................................................. 196 The purpose and use of health and safety performance measurement .......................................... 196 Health and safety monitoring ........................................................................................................... 201 Health and safety monitoring and measurement techniques .......................................................... 204 Reviewing health and safety performance ....................................................................................... 213 6.1 Professional skills ............................................................................................................................ 217 The role of the health and safety professional ................................................................................. 217 Effective communication and negotiation skills ............................................................................... 246

Unit ID1: Know – Workplace Health and Safety Principles (International)

5 Green World Group The health and safety professional’s use of financial justification to aid decision making .............. 264 7.1 Societal factors ................................................................................................................................ 270 Economic climate, government policy and initiatives ...................................................................... 270 Industry/business risk profile............................................................................................................ 270 Globalisation of business .................................................................................................................. 271 Migrant workers................................................................................................................................ 271 National level of sickness absence .................................................................................................... 272 Societal expectations of equality ...................................................................................................... 272 7.2 Corporate Social Responsibility (CSR) ............................................................................................. 273 What is CSR ....................................................................................................................................... 273 The four types of CSR ........................................................................................................................ 273 The benefits for organisations from CSR .......................................................................................... 274 7.3 Organisation change ....................................................................................................................... 274 Why organisational change needs to be effectively managed ......................................................... 274 Use of the Kubler-Ross Change Curve to manage the change process ............................................ 275 Key principles of managing organisational change........................................................................... 278 8.1 Contractors Supply chains............................................................................................................... 279 Selection of contractors .................................................................................................................... 279 Managing health and safety within supply chains ............................................................................ 280 Why modern slavery must be managed within supply chains ......................................................... 282

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1.1 Socio-legal models The role, function and limitations of legislation as a means of promoting positive health and safety outcomes Regulation of Health and Safety is globally variable. There are different frameworks used across the world when addressing the issue of regulation. Different States therefore take different approaches to • • •

Legislation Regulation Enforcement

In the European Union, Member States have enforcing authorities to ensure that the basic legal requirements relating to occupational safety and health are met. In many EU countries, there is strong cooperation between employer and worker organisations (e.g. unions) to ensure good occupational health and safety performance as it is recognised this has benefits for both the worker and the enterprise. The European Agency for Safety and Health at Work was founded in 1996 to cooperate with EU States on these issues. Europe has incorporated another layer of legislation through the issue of Directives; above the Member State's own legislation. These Directives are legally binding on each Member State and the hierarchy of implementation is similar to the United States federal and individual state system of legislation. In the United States, the Occupational Safety and Health Administration (OSHA) has been regulating occupational safety and health since 1971. Regulation of a limited number of specifically defined industries was in place for several decades before that, and broad regulations by some of the individual states were in place for many years prior to the establishment of OSHA. In Canada, workers are covered by provincial or federal labour codes depending on the sector in which they work. The Canada Labour Code covers workers covered by federal legislation, all other workers are covered by the health and safety legislation of the province in which they work. An Act of Parliament created the Canadian Centre for Occupational Health and Safety (CCOHS), an agency of the Government of Canada, in 1978. The act was based on the belief that all Canadians had "...a fundamental right to a healthy and safe working environment." CCOHS is authorized to promote safe and healthy workplaces to help prevent work-related injuries and illnesses. In Malaysia, the Department of Occupational Safety and Health (DOSH) under the Ministry of Human Resource is responsible to ensure that the safety, health and welfare of workers in both the public and private sector are supported. DOSH is responsible to enforce the Factory and Machinery Act 1969 and the Occupational Safety and Health Act 1994. In general, the "laws" concerning health and safety is to derive from ratified legislation or regulations, supported by codes of practice and standards. In some areas of the world, such as South East Asia, it is Unit ID1: Know – Workplace Health and Safety Principles (International)

7 Green World Group compulsory to formally adopt a recognised Health and Safety Management system. Approved auditors monitor these systems impartially. According to HSG65, although some specific health and safety legislation requires auditing, there is no general legal requirement to audit. Similarly there is no legal requirement to give ‘tool-box talks’. What are ‘goal-setting’ and ‘prescriptive’ legal models; the advantages and disadvantages of each Goal (aim) setting legislation is concerned with the promotion of self-regulation. To this end, it is not prescriptive. It sets goals and requires employers and others to manage health and safety so that they achieve them. It allows for flexibility in safety and those who are responsible are allowed to use their knowledge of activities to design the best controls for hazards In Europe, there has been a move away from prescriptive legislation to employer self-regulation via risk assessment. Other countries, such as Canada, Australia, New Zealand and Norway have developed similar self-regulation mechanisms. In Finland, Japan, Sweden, Germany, Korea, China, Mexico, Costa Rica and Poland (to name but a few), the ILO-OSH 2001 system has been adopted. The International Labour Organisation (ILO) is a United Nations agency concerned with employment welfare. ILO-OSH 2001 offers a recommended occupational health and safety management system. However, it is not intended to replace national laws, regulations and accepted standards. The ILO recognizes that a management system can only be successful when operated in conjunction with a national policy for health and safety. Advantages of goal-setting Legislation • • • •

There can be less legislation which is more generic and less detailed It needs much less amendment and updating It can be supplemented by Regulations which are quick and easy to make The necessary detailed guidance can be contained in Codes of Practice or Guidance Notes.

Disadvantages of goal-setting legislation • •

There is a risk that employers will not realise what is expected of them. Employers may feel that they can get away with the minimum compliance, since there are no prescriptive requirements.

A prescriptive approach ‘prescribes’ exactly what a duty-holder must do in relation to a particular circ*mstance; they are essentially safety rules. Examples of prescriptive clauses that may be the requirement of the law include: • •

Every part of transmission machinery shall be securely fenced No driving-belt when not in use shall be allowed to rest or ride upon a revolving shaft which forms part of the transmission machinery

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All power driven portable and handheld tools shall have their operating controls so located as to minimise the possibility of their accidental operation if such an accidental operation would constitute a hazard to the worker or other persons.

Advantages of prescriptive legislation •

•

The approach directly addresses hazards that are foreseeable and which ordinarily would be addressed by tried and tested ‘rules’. This is especially so where there are limited alternatives as to how the hazard can be managed. Secondly, small-scale operators can favor this approach because it gives them a cheaper avenue to adhere to OH&S issues. Smaller operators may struggle more than their larger counterparts to implement the other frameworks that require proactive and more systematic management of OH&S at their sites

Disadvantages of prescriptive legislation • • • •

It has a tendency to develop into very long and detailed legislation and regulation that can become unwieldy for both the industry and the regulator to implement. It is hard to keep up to date; traditionally, legislation and regulation lag behind advancements in the industry by many years. It is impractical to have a rule for every circ*mstance. Enforcement by the regulator tends to become focused on looking for breaches of these specific rules, at the expense of focusing on systemic or underlying problems (a situation akin to focusing on symptoms not the underlying causes).

It tends to engender a passive ‘check-list’ type approach to OH&S on the part of mine management, and even the regulator. Legal hierarchy of state and federal laws and their application to health and safety law Understanding the hierarchy of laws helps with developing a clear and consistent legal and regulatory OHS framework, by ensuring the appropriate content and detail is contained in each level of hierarchy. In terms of the basic elements of the hierarchy, a constitution states the grounding legal and democratic principles that its government is obligated to uphold, and because of this is considered the supreme law in a country to which all other laws must adhere. A statute is a law enacted by a legislature to govern society, and its authority is derived from the constitution or founding document of a country, which authorizes the legislature to enact it. Regulations are issued under the authority of a statute by a division of the government or by a special body. For this reason, they are sometimes referred to as “delegated” legislation, and they provide administrative and technical detail to carry out the purpose of the statute. Finally, procedures describe the required steps necessary to complete a process, and are generally written by an administrative body to ensure that the law and regulations are applied consistently and fairly to all parties.

Unit ID1: Know – Workplace Health and Safety Principles (International)

9 Green World Group The Hierarchy of Laws Constitution • Establishes the innate characteristics of the country and its sovereignty; outlines the rights and responsibilities of its citizens – as such it is the supreme law • Establishes the country’s governance structure • All other laws must adhere to the constitution • The constitution should reflect and adhere to a country’s international obligations International • Trans-border agreements that have different impacts on the country’s law, laws depending on the treaty language and the way a country’s constitution manages them • Sometimes only a limited degree of compliance with treaties, and some treaties that enshrine fundamental rights are not always followed through in the signatory nation’s constitution, or through domestic enforcement • No legal way to enforce compliance, unless the treaty sets up a dispute resolution process Statutes / • Statutes are enacted by the legislative branch of government, and govern Legislation a wide range of issues that require regulation • Must adhere to the constitution and international law • Amended by the same process as first enacted, and enforced by a country’s enforcement agencies. Common Law / • Common law is law made by the courts, not legislature, and is not a level of Case Law hierarchy • It consists of the judgments of courts, to interpret the wording of statute law, to protect the principles of natural justice, to fill a gap in the law, or to deal with an unforeseen situation not covered by statute • A judgment of a court may award damages, punishment, sanction or other remedial action, enforced by a country’s enforcement agencies. Regulations • A form of delegated legislation, developed and enacted by ministers, department heads, or by an independent body or commission, to administer their responsibilities • Must adhere to the constitution, international law, and governing statute, and can be enforced in the same way as statutory law • Provide detail on the administration of principles in the law • A violation of a regulation can be treated as an offense and enforced as such Procedures • A procedure is a description of the required steps necessary to complete a process • Procedures are generally written by an administrative body to ensure that the law and regulations are applied consistently and fairly to all parties • Enforcement of a procedure is generally achieved by requesting compliance as a condition of completing a process or receiving a benefit Code of conduct • A written set of rules, principles or standards to govern the behavior of certain groups

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Guidelines, • Instructions, and Policies • •

Enforcement of codes of conduct depends on whether they are considered “soft” or “hard” law. Codes of conduct are considered “soft law” when they are not passed by a lawmaking body and thus rely on voluntary compliance. Terms such as “guidelines” and “instructions” are uncertain in meaning and can result in ambiguity, particularly with regard to enforceability “Policies” are broad, informative statements of intent regarding principles to be followed, priority of programs These should not be used as if they were elements of the structure of the hierarchy of laws.

Loss events in terms of failures in the duty of care to protect individuals and the compensatory mechanisms that may be available to them Most civil cases are settled out of court, often under a confidentiality agreement. This is usually the result of negotiation between insurers and lawyers. Often the settlement reflects both the need of the claimant to get some recompense quickly and the defendant's realisation that costs as well as damages will be payable if unsuccessful in defending an action. Failure to protect individuals in health and safety aspects may result in personal injury. The Claimant in an action to recover compensation may claim a "loss". There are different types of "loss" which result in payment of compensation known as "damages". Pecuniary loss compares a claimant's financial position before and after the tort or wrong occurred. It consists of: • • •

Pretrial expenses i.e. all the expenses reasonably incurred as a result of the accident from the time it occurred up to the time of the hearing, such as medical expenses; Pretrial loss of earnings; Future loss of earnings (which can be speculative).

Non-pecuniary loss looks at other losses less easy to quantify. •

Awards for pain and suffering are based on the severity of the injury. There are generally adopted systems of tariffs. This head of damages can include mental suffering due to shortened life expectation or inability to live life to the full.

The characterisation of a no-fault scheme is rooted in the principle of distributive justice, compensating victims without having to establish causation and fault. Conversely, current liability for negligence involves fault considerations based on legal theoretical concepts determined through judicial precedent, which are inherently limited within the confines of the established legal principles of duty of care, proximity and negligence. A system of "no-fault" liability would be likely to offer: • •

More consistency in damages More cost-efficient and quicker

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More just outcomes; fault-based actions can fail simply because it is not possible to prove the fault adequately Less likelihood of out-of-court settlement, which favors large corporations and their insurers.

•

Surprisingly enough, there are some disadvantages; •

More cases going to court. At present, the difficulty in proving fault in some cases keeps them out of court. No-fault liability could encourage litigation. Less satisfying to the claimant. In many cases the claimant needs the satisfaction of having a court determine fault on the defendant.

•

This concept of “moral values” underpins the current fault based liability for negligence in the framework of a system of “corrective justice”. The fundamental difference between the corrective system and the no fault system of distributive justice relates to the legal approach to the structure of interactions. For example, corrective justice centres on the “transaction” between two parties, whereas distributive justice is rooted in a distribution whereby compensation is awarded to members of a group. Whilst justifications for a corrective justice system are sound in principle, the problem is that the practical approach of the legal concept of fault is far removed from the actual definition of fault and blameworthiness, which begs the question as to whether the current justifications for fault based liability in tort are valid In recent decades, several key pieces of legislation have been passed, protecting both employees generally and also workers exposed to particular risks. These include: • • • • • • • • • • • • • •

Health and Safety at Work Act of 1974 Electricity at Work Regulations 1989 Manual Handling Regulations 1992 Personal Protective Equipment at Work Regulations 1992 Provision and Use of Work Equipment Regulations 1998 Working Time Regulations 1998 Management of Health & Safety at Work Regulations 1999 Work at Height Regulations 2005 Control of Vibration at Work Regulations 2005 Control of Noise at Work Regulations 2005 Registration, Evaluation, Authorisation and Restriction of Chemicals Regulations 2007 Supply of Machinery (Safety) Regulations 2008 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 Construction (Design and Management) Regulations 2015

Unit ID1: Know – Workplace Health and Safety Principles (International)

12 Green World Group Punitive damages Punitive damages are not intended to be compensatory. They are awarded in order to reform or deter pursuing a course of action such as a breach of health and safety procedure. Punitive damages are often awarded where compensatory damages are deemed an inadequate remedy. For their application, it must be argued that • • •

There has been oppressive, arbitrary or unconstitutional actions by the servants of government A defendant's conduct was 'calculated' to make a self-profit and Where a statute expressly authorises the same.

It is noticeable that Australia and Canada, countries of the Commonwealth, are critical of these criteria and have refused to follow them. Elsewhere, Japanese courts do not award punitive damages as a matter of public policy and Japanese law prohibits the enforcement of punitive damage awards obtained overseas. In contrast, punitive damages are a settled principle of common law in the United States. They are a matter of state law, and thus differ in application from state to state. In many states, including California and Texas, punitive damages are determined based on statute: elsewhere, they may be determined solely based on case law. Many state statutes are the result of insurance industry lobbying to impose "caps" on punitive damages; however, several state courts have struck down these statutory caps as unconstitutional. In response to judges and juries which award high punitive damages verdicts, the United States Supreme Court has made several decisions which limit awards of punitive damages through the due process of law clauses of the Fifth and Fourteenth Amendments to the Constitution. In a number of cases, the Court has indicated that a 4:1 ratio between punitive and compensatory damages is broad enough to lead to a finding of constitutional impropriety, and that any ratio of 10:1 or higher is almost certainly unconstitutional. In BMW of North America, Inc. v. Gore (1996), the Court ruled that punitive damages must be reasonable, as determined based on the degree of reprehensibility of the conduct, the ratio of punitive damages to compensatory damages, and any criminal or civil penalties applicable to the conduct. Most recently, in Philip Morris USA v. Williams (2007), the Court ruled that punitive damage awards must be limited to the harm caused to the individual plaintiffs involved in the litigation at hand, although harm to others may be a criterion in determining the reprehensibility of the defendants' conduct.

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1.2 Enforcement The purpose of enforcement Enforcement of the safety provisions of the Acts is primarily the responsibility of trading standards officers of local authorities. Enforcement officers have authority to make test purchases, seize, enter premises for the purpose of ascertaining whether there has been a breach of safety provisions of the Act and bring prosecutions. They can also issue suspension notices prohibiting suppliers from selling goods, which they believe breach safety legislation. There are three types of notices that can be served: • • •

Prohibition notice -this notice can be served in respect of any unsafe goods prohibiting supply, offer or agreement to supply, or exposing or possessing for supply. Notice to warn - this notice can be served and requires the publication of warnings about unsafe goods. Suspension notice - this notice can be served and prohibits for a period not exceeding six months, supply, offer or agreement to supply, or exposing for supply, any goods in respect of which there is reasonable ground to suspect the contravention of any safety provision.

The principles of enforcement with reference to the British HSE’s Enforcement policy statement (HSE41) Proportionality of enforcement HSE (Health and Safety Executive) defines the approach of proportionality of enforcement in the policy statement as; We adopt a proportionate approach to enforcing the law across different industries and sectors, recognising the importance of supporting businesses to comply and grow. In our dealings with duty holders, we will ensure that our enforcement action is proportionate to the health and safety risks and to the seriousness of any breach of the law. This includes any actual or potential harm arising from any breach, and the economic impact of the action taken. We expect that duty holders, in turn, will adopt a sensible and proportionate approach to managing health and safety, focusing on significant risks i.e. those with the potential to cause real harm. Applying the principle of proportionality means that our inspectors should take particular account of how far duty holders have fallen short of what the law requires and the extent of the risks created. Some health and safety duties are specific and absolute. Others require action “so far as is reasonably practicable”. Our inspectors will apply the principle of proportionality in relation to both. Deciding what is reasonably practicable to control risk involves the exercise of judgment. Our inspectors, when considering the adequacy of the protective measures taken, will balance the degree of risk against the money, time or trouble needed to avert that risk. Unless it can be shown that there is a gross disproportion between these factors and that the risk is insignificant in relation to the cost, duty holders must take measures and incur costs to reduce the risk and comply with the law. Some irreducible risks, particularly

Unit ID1: Know – Workplace Health and Safety Principles (International)

14 Green World Group in the major hazard sectors, may be so serious that they cannot be permitted irrespective of the consequences. Consistency of approach HSE (Health and Safety Executive) defines the approach of consistency of approach in the policy statement as; We adopt a consistent approach to enforcement of the law across different industries and workplaces, recognising the importance of fair treatment to all in promoting and sustaining economic growth. Consistency of approach does not mean uniformity. It means taking a similar approach in similar circ*mstances to achieve compliance with the law. We understand that people managing similar risks in similar industries expect a consistent approach from our inspectors when taking enforcement action. However, consistency is not a simple matter. Every situation is different – by virtue of the industry, workplace, its risks, management systems etc. As a result, our inspectors are faced with many variables in addition to the degree of risk and the seriousness of any breach, including the attitude and competence of management, incident history and previous enforcement action. Any enforcement decision therefore requires the appropriate exercise of individual discretion and professional judgement. We aim to ensure, through the application of our enforcement decision-making framework, the Enforcement Management Model (EMM) and through peer review, that our enforcement decisions are consistent. Where enforcement action conflicts with the requirements of other regulators we will work with them to resolve the differences. Transparency HSE (Health and Safety Executive) defines the approach of transparency in the policy statement as; Our enforcement action should clearly outline to duty holders not only what they have to do but, where relevant, what they don’t. Further guidance on complying with health and safety law can be found on the HSE website. Where non-compliance has been identified, our inspectors will clearly and promptly explain the decision taken, their reasons, and the actions required to achieve compliance. They will discuss reasonable timescales with the duty holder and explain what will happen if they fail to comply. Additionally, our inspectors will differentiate between the actions required to comply with the law, and advice given to achieve good practice or inform of upcoming changes to legal requirements. This will ensure that unnecessary economic burdens are not imposed on businesses. Transparency also involves keeping employees, employee representatives, injured persons and their families informed of relevant enforcement action. However, this is subject to legal constraints on disclosure

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1.3 The International Labour Organization and its conventions and recommendations The role of the United Nations The United Nations (UN) is an international organisation whose stated aims are to facilitate cooperation in international law, international security, economic development, social progress and human rights issues. It was founded in 1945 at the signing of the United Nations Charter by 50 countries, replacing the League of Nations, founded in 1919. The UN was founded after the end of World War II by the victorious Allied Powers in the hope that it would act to intervene in conflicts between nations and thereby avoid war. The organisation's structure still reflects in some ways the circ*mstances of its founding. The five permanent members of the UN Security Council, each of which has veto power on any UN resolution, are the main victors of World War II or their successor states: 1. 2. 3. 4. 5.

People's Republic of China (which replaced the Republic of China). The French Republic. The Russian Federation (which replaced the Union of Soviet Socialist Republics). The United Kingdom. The United States of America.

As of 2010, there are 192 United Nations member states, encompassing almost every recognised independent state. From its headquarters in New York City, the UN and its specialised agencies decide on substantive and administrative issues in regular meetings held throughout each year. The organisation is divided into administrative bodies, including • • • • • •

The General Assembly Security Council Economic and Social Council Secretariat Trusteeship Council The International Court of Justice (ICJ).

International Labour Organisation The International Labour organisation (ILO) is a specialised agency of the United Nations that deals with labour issues. Its headquarters are in Geneva. Founded in 1919, it was formed through the negotiations of the Treaty of Versailles, and was initially an agency of the League of Nations. It became a member of the UN system after the demise of the League and the formation of the UN at the end of World War II. Its Constitution, as amended to date, includes the Declaration of Philadelphia (1944) on the aims and purposes of the organisation. Its secretariat is known as the International Labour Office.

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16 Green World Group As stated by its Director-General, the primary goal of the ILO today is to promote opportunities for women and men to obtain decent and productive work, in conditions of freedom, equity, security and human dignity. In working towards this goal, the organisation seeks to promote employment creation, strengthen fundamental principles and rights at work, improve social protection and promote social dialogue as well as provide relevant information, training and technical assistance. At present, the ILO's work is organised into four thematic groupings or sectors: 1. 2. 3. 4.

Standards and fundamental principles and rights at work Employment Social Protection Social Dialogue

International Labour Conference The International Labour Conference is a yearly event, held each June in Geneva and is hosted by the International Labour Organisation. The conference makes decisions on the organisation's general policy, work programme and budget and creates conventions and recommendations that are adopted by majority decision. Member states are represented at the conference by four delegates; two government delegates, an employer delegate and a worker delegate. All delegates have individual voting rights, and all votes are equal, regardless of the population of the delegate's member state. The employer and worker delegates are normally chosen in agreement with the most representative national organisations of employers and workers. Usually, the worker delegates coordinate their voting, as do the employer delegates. The ILO has a specialist programme addressing child labour, the International Programme on the Elimination of Child Labour (IPEC). HIV/AIDS: Under the name ILOAIDS, the ILO created the Code of Practice on HIV/AIDS and the world of work as a document providing principles for "policy development and practical guidelines for programmes at enterprise, community and national levels." These include: • • • •

Prevention of HIV Management and mitigation of the impact of AIDS on the world of work Care and support of workers infected and affected by HIV/AIDS Elimination of stigma and discrimination on the basis of real or perceived HIV status.

Nobel Peace Prize: The organisation received the Nobel Peace Prize in 1969. International Training Centre: The ILO maintains an International Training Centre in Turin, Italy. Personnel Policy: The International Labour organisation is an agency belonging to the United Nations system, and as such shares common conditions of employment with other agencies.

Unit ID1: Know – Workplace Health and Safety Principles (International)

17 Green World Group Status of ILO conventions and recommendations Adoption of Conventions One of the principal functions of the ILO involves setting international labour standards through the adoption of Conventions and Recommendations covering a broad spectrum of labour-related subjects and which, together, are sometimes referred to as the International Labour Code. Adoption of a Convention by the International Labour Conference allows governments to ratify it, and the Convention then becomes a treaty in international law when specified number of governments have ratified it. Ratification of Conventions The coming into force of a Convention results in a legal obligation to apply its provisions by the nations that have ratified it. Ratification of a Convention is voluntary. Conventions that have not been ratified by member states have the same legal force as Recommendations. Governments are required to submit reports detailing their compliance with the obligations of the Conventions they have ratified. Every year, the International Labour Conference's Committee on the Application of Standards examines a number of alleged breaches of international labour standards. In recent years, one of the member states that has received the most attention is Myanmar/Burma, as the country has repeatedly been criticised for its failure to protect its citizens against forced labour exacted by the army. All adopted ILO Conventions are considered international labour standards, regardless of how many national governments have ratified them. The topics covered by them cover a wide range of issues, from freedom of association to health and safety at work, working conditions in the maritime sector, night work, discrimination, child labour and forced labour. Recommendations Recommendations do not have the binding force of Conventions, and are not subject to ratification by member countries. Recommendations may be adopted at the same time as Conventions to supplement the latter with additional or more detailed provisions. The intent of these recommendations is often to more precisely detail the principles of related Conventions. In other cases recommendations may be adopted separately, and address issues not covered by, or unrelated to any particular Convention. ILO Codes of Practice Codes of practice are not legally binding instruments and are intended for all those with a responsibility for occupational safety and health and contain practical recommendations. The Codes of practice are not intended to replace national laws, regulations or standards, but serve as practical guidelines for all parties concerned including authorities, services, employers and employees.

Unit ID1: Know – Workplace Health and Safety Principles (International)

18 Green World Group The roles and responsibilities of ‘International governments’, ‘enterprises’ and ‘workers’ Responsibilities of national governments The Occupational Safety and Health Convention C155 details the responsibilities of member countries in Articles 4, 8 to 15 below: Article 4 1. Each Member shall, in the light of national conditions and practice, and in consultation with the most representative organisations of employers and workers, formulate, implement and periodically review a coherent national policy on occupational safety, occupational health and the working environment. 2. The aim of the policy shall be to prevent accidents and injury to health arising out of, linked with or occurring in the course of work, by minimising, so far as is reasonably practicable, the causes of hazards inherent in the working environment.

Article 8 Each Member shall, by laws or regulations or any other method consistent with national conditions and practice and in consultation with the representative organisations of employers and workers concerned, take such steps as may be necessary to give effect to Article 4 of this Convention. Article 9 1. The enforcement of laws and regulations concerning occupational safety and health and the working environment shall be secured by an adequate and appropriate system of inspection. 2. The enforcement system shall provide for adequate penalties for violations of the laws and regulations. Article 10 Measures shall be taken to provide guidance to employers and workers so as to help them to comply with legal obligations. Article 11 To give effect to the policy referred to in Article 4 of this Convention, the competent authority or authorities shall ensure that the following functions are progressively carried out: a) The determination, where the nature and degree of hazards so require, of conditions governing the design, construction and layout of undertakings, the commencement of their operations, major alterations affecting them and changes in their purposes, the safety of technical equipment used at work, as well as the application of procedures defined by the competent authorities; b) The determination of work processes and of substances and agents the exposure to which is to be prohibited, limited or made subject to authorisation or control by the competent authority or authorities; health hazards due to the simultaneous exposure to several substances or agents shall be taken into consideration;

Unit ID1: Know – Workplace Health and Safety Principles (International)

19 Green World Group c) The establishment and application of procedures for the notification of occupational accidents and diseases, by employers and, when appropriate, insurance institutions and others directly concerned, and the production of annual statistics on occupational accidents and diseases; d) The holding of inquiries, where cases of occupational accidents, occupational diseases or any other injuries to health which arise in the course of or in connection with work appear to reflect situations which are serious; e) The publication, annually, of information on measures taken in pursuance of the policy referred to in Article 4 of this Convention and on occupational accidents, occupational diseases and other injuries to health which arise in the course of or in connection with work; f) The introduction or extension of systems, taking into account national conditions and possibilities, to examine chemical, physical and biological agents in respect of the risk to the health of workers.

Article 12 Measures shall be taken, in accordance with national law and practice, with a view to ensuring that those who design, manufacture, import, provide or transfer machinery, equipment or substances for occupational use-a) Satisfy themselves that, so far as is reasonably practicable, the machinery, equipment or substance does not entail dangers for the safety and health of those using it correctly; b) Make available information concerning the correct installation and use of machinery and equipment and the correct use of substances, and information on hazards of machinery and equipment and dangerous properties of chemical substances and physical and biological agents or products, as well as instructions on how known hazards are to be avoided; c) Undertake studies and research or otherwise keep abreast of the scientific and technical knowledge necessary to comply with subparagraphs (a) and (b) of this Article. Article 13 A worker who has removed himself from a work situation which he has reasonable justification to believe presents an imminent and serious danger to his life or health shall be protected from undue consequences in accordance with national conditions and practice. Article 14 Measures shall be taken with a view to promoting in a manner appropriate to national conditions and practice, the inclusion of questions of occupational safety and health and the working environment at all levels of education and training, including higher technical, medical and professional education, in a manner meeting the training needs of all workers. Article 15 1- With a view to ensuring the coherence of the policy referred to in Article 4 of this Convention and of measures for its application, each Member shall, after consultation at the earliest possible stage with the most representative organisations of employers and workers, and with other bodies as appropriate, make arrangements appropriate to national conditions and practice to ensure the

Unit ID1: Know – Workplace Health and Safety Principles (International)

20 Green World Group necessary co-ordination between various authorities and bodies called upon to give effect to Parts II and III of this Convention. 2- Whenever circ*mstances so require and national conditions and practice permit, these arrangements shall include the establishment of a central body. Enterprises Under this Convention employers have many responsibilities including ensuring that so far as is reasonably practicable, the workplaces, machinery, equipment and processes under their control are safe and without risks to health. Whenever two or more employees are engaged in activities simultaneously at one workplace, they must collaborate in meeting these requirements. Workers Workers are required to protect themselves and those around them who may also be at risk from harm. They should co-operate with their employer and should receive adequate training and information to ensure their occupational safety and health. How International conventions can be used as a basis for setting International systems of health and safety legislation According to ILO C187: Article 4 1. Each Member shall establish, maintain, progressively develop and periodically review a national system for occupational safety and health, in consultation with the most representative organizations of employers and workers. 2. The national system for occupational safety and health shall include among others: (a) Laws and regulations, collective agreements where appropriate, and any other relevant instruments on occupational safety and health; (b) An authority or body, or authorities or bodies, responsible for occupational safety and health, designated in accordance with national law and practice; (c) Mechanisms for ensuring compliance with national laws and regulations, including systems of inspection; and (d) Arrangements to promote, at the level of the undertaking, cooperation between management, workers and their representatives as an essential element of workplace-related prevention measures. 3. The national system for occupational safety and health shall include, where appropriate: (a) A national tripartite advisory body, or bodies, addressing occupational safety and health issues; (b) Information and advisory services on occupational safety and health;

Unit ID1: Know – Workplace Health and Safety Principles (International)

21 Green World Group (c) The provision of occupational safety and health training; (d) Occupational health services in accordance with national law and practice; (e) Research on occupational safety and health; (f) A mechanism for the collection and analysis of data on occupational injuries and diseases, taking into account relevant ILO instruments; (g) Provisions for collaboration with relevant insurance or social security schemes covering occupational injuries and diseases; and (h) Support mechanisms for a progressive improvement of occupational safety and health conditions in micro-enterprises, in small and medium-sized enterprises and in the informal economy. Article 5 1. Each Member shall formulate, implement, monitor, evaluate and periodically review a national programme on occupational safety and health in consultation with the most representative organizations of employers and workers. 2. The national programme shall: (a) Promote the development of a national preventative safety and health culture; (b) Contribute to the protection of workers by eliminating or minimizing, so far as is reasonably practicable, work-related hazards and risks, in accordance with national law and practice, in order to prevent occupational injuries, diseases and deaths and promote safety and health in the workplace; (c) Be formulated and reviewed on the basis of analysis of the national situation regarding occupational safety and health, including analysis of the national system for occupational safety and health; (d) Include objectives, targets and indicators of progress; and (e) Be supported, where possible, by other complementary national programmes and plans which will assist in achieving progressively a safe and healthy working environment. 3. The national programme shall be widely publicized and, to the extent possible, endorsed and launched by the highest national authorities.

Unit ID1: Know – Workplace Health and Safety Principles (International)

22 Green World Group As per ILO R-197, Article 5: In promoting a national preventative safety and health culture, Members should seek: a) To raise workplace and public awareness on occupational safety and health through national campaigns linked with, where appropriate, workplace and international initiatives; b) To promote mechanisms for delivery of occupational safety and health education and training, in particular for management, supervisors, workers and their representatives and government officials responsible for safety and health; c) To introduce occupational safety and health concepts and, where appropriate, competencies, in educational and vocational training programmes; d) To facilitate the exchange of occupational safety and health statistics and data among relevant authorities, employers, workers and their representatives; e) To provide information and advice to employers and workers and their respective organizations and to promote or facilitate cooperation among them with a view to eliminating or minimizing, so far as is reasonably practicable, work-related hazards and risks; f) To promote, at the level of the workplace, the establishment of safety and health policies and joint safety and health committees and the designation of workers' occupational safety and health representatives, in accordance with national law and practice; and g) To address the constraints of micro-enterprises and small and medium-sized enterprises and contractors in the implementation of occupational safety and health policies and regulations, in accordance with national law and practice.

Article 14: (1) The national profile on occupational safety and health should include information on the following elements, as applicable: (a) Laws and regulations, collective agreements where appropriate, and any other relevant instruments on occupational safety and health; (b) The authority or body, or the authorities or bodies, responsible for occupational safety and health, designated in accordance with national law and practice; (c) The mechanisms for ensuring compliance with national laws and regulations, including the systems of inspection; (d) The arrangements to promote, at the level of the undertaking, cooperation between management, workers and their representatives as an essential element of workplace-related prevention measures; (e) The national tripartite advisory body, or bodies, addressing occupational safety and health issues; (f) The information and advisory services on occupational safety and health;

Unit ID1: Know – Workplace Health and Safety Principles (International)

23 Green World Group (g) The provision of occupational safety and health training; (h) The occupational health services in accordance with national law and practice; (i) Research on occupational safety and health; (j) The mechanism for the collection and analysis of data on occupational injuries and diseases and their causes, taking into account relevant ILO instruments; (k) The provisions for collaboration with relevant insurance or social security schemes covering occupational injuries and diseases; and (l) The support mechanisms for a progressive improvement of occupational safety and health conditions in micro-enterprises, in small and medium-sized enterprises and in the informal economy. (2) In addition, the national profile on occupational safety and health should include information on the following elements, where appropriate: (a) Coordination and collaboration mechanisms at national and enterprise levels, including national programme review mechanisms; (b) Technical standards, codes of practice and guidelines on occupational safety and health; (c) Educational and awareness-raising arrangements, including promotional initiatives; (d) Specialized technical, medical and scientific institutions with linkages to various aspects of occupational safety and health, including research institutes and laboratories concerned with occupational safety and health; (e) Personnel engaged in the area of occupational safety and health, such as inspectors, safety and health officers, and occupational physicians and hygienists; (f) Occupational injury and disease statistics; (g) Occupational safety and health policies and programmes of organizations of employers and workers; (h) Regular or ongoing activities related to occupational safety and health, including international collaboration; (i) Financial and budgetary resources with regard to occupational safety and health; and (j) Data addressing demography, literacy, economy and employment, as available, as well as any other relevant information.

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24 Green World Group

1.4 Non-governmental bodies and health and safety standards Influential parties and their role in influencing health and safety performance In most countries around the world, you will find an infrastructure of dedicated occupational health and safety professional bodies, governmental departments, employee representatives, trade unions and individuals. Most of these have links with other countries, which have additional links. Occupational Health and Safety, environmental matters, employee rights and human rights are of course intertwined in many cases. As an exercise, make notes of the topics you would need to address when discussing the matter of an open cast mine in a third world country. Certainly, working conditions, workers' rights, the environmental impact and of course the safety of those who work there and in the surrounding area would all need to be considered. The question is how can other countries influence and assist the less developed country in these matters, if at all? Employer bodies; trade associations Certainly, governments can play a role and do in some cases. Trade Unions and Human Rights groups put pressure on poor employers and governments who exploit workers. The media can also play a major role in some circ*mstances. Employers–that is, providers of work–are usually differentiated depending upon whether they are in the private or the public sector. Historically, trade unionism and collective bargaining developed first in the private sector, but in recent years these phenomena have spread to many public sector settings as well. Employers have common interests to defend and precise causes to advance. In organizing themselves, they pursue several aims which in turn determine the character of their organizations. These can be chambers of commerce, economic federations and employers’ organizations (for social and labour matters). Where issues centre essentially on social matters and industrial relations, including collective bargaining, occupational health and safety, human resource development, labour law and wages, the desire for coordinated action has led to the creation of employers’ organizations, which are always voluntary in nature. Some employers’ organizations were initially established in response to pressure from the trade unions to negotiate, but others may be traced to medieval guilds or other groups founded to defend particular market interests. Employers’ organizations have been described as formal groups of employers set up to defend, represent and advise affiliated employers and to strengthen their position in society at large with respect to labour matters as distinct from economic matters. Unlike trade unions, which are composed of individual persons, employers’ organizations are composed of enterprises. The structure of employers’ organizations will depend not only on the level at which bargaining is done, but also on the country’s size, political system and sometimes religious traditions. In developing countries, the main challenge has been the integration of a very heterogeneous membership that may include small

Unit ID1: Know – Workplace Health and Safety Principles (International)

25 Green World Group and medium-sized businesses, state enterprises and subsidiaries of multinational corporations. The strength of an employers’ organization is reflected in the resources its members are willing to devote to it, whether in the form of dues and contributions or in terms of their expertise and time. The size of an enterprise is a major determinant in its approach to labour relations, with the employer of a small workforce being more likely to rely on informal means for dealing with its workers. Small and medium-sized enterprises, which are variously defined, sometimes fall under the threshold for legally mandated workers’ participation schemes. A representative for health and safety at work may be elected by employees to ensure their right to information and to discuss matters related to this area. The total number of these representatives depends on the total number of employees working with the employer and on the degree of risk of the undertaken work. The term of office is determined by the election of this representative at defined interval and the termination of his or her term. Trade unions The classic definition of a trade union as given by ILO is “a continuous association of wage earners for the purpose of maintaining or improving the conditions of their employment”. Trade unions reflect the conviction that only by banding together can workers improve their situation. Trade union rights were born out of economic and political struggle which saw short-term individual sacrifice in the cause of longer-term collective gain. They have often played an important role in national politics and have influenced developments in the world of work at the regional and international levels. The functions fulfilled by trade unions are, like employers’ organizations, basically the following: defence and promotion of the members’ interests; political representation; and provision of services to members. The flip side of trade unions’ representative function is their control function: their legitimacy depends in part upon the ability to exert discipline over the membership, as for example in calling or ending a strike. The trade unions’ constant challenge is to increase their density, that is, the number of members as a percentage of the formal sector workforce. The members of trade unions are individuals; their dues, called contributions in some systems, support the union’s activities. Affiliation is generally a matter of an individual’s voluntary decision, although some unions that have been able to win closed shop or union security arrangements are considered to be the representatives of all workers covered by a particular collective bargaining agreement (i.e., in countries where trade unions are recognized as representatives of workers in a circ*mscribed bargaining unit). Trade unions may be affiliated to umbrella organizations at the industrial, national, regional and international levels. Unions in different countries have brought significant changes to society, including: • • • • •

A national minimum wage The abolition of child labour Improved worker safety Improving living standards by reducing the number of hours in the working week and encouraging a healthy work/life balance Improved parental leave

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26 Green World Group • • •

Equality legislation Better protection of migrant workers and a reduction in exploitation Minimum holiday and sickness entitlements.

Professional groups We have provided many links to safety organisations around the world. You may need to consider those local to you and gain an understanding of their influence, both locally and globally. Each of these has, of course, a great deal of local influence, both in prescriptive terms in the way of setting and enforcing legislation and statutory requirements and in terms of providing an advisory and consultation services. Reading through this section of the learning material, you will see how they have had an influence on each other, either directly or indirectly. •

National Institute for Occupational Safety and Health (NIOSH): The Occupational Safety and Health Act of 1970 created both NIOSH and the Occupational Safety and Health Administration (OSHA). OSHA is in the U.S. Department of Labour and is responsible for developing and enforcing workplace safety and health regulations. NIOSH is in the U.S Department of Health and Human Services and is an agency established to help assure safe and healthy working conditions for working men and women by providing research, information, education, and training in the field of occupational safety and health. Information pertaining to the responsibilities of NIOSH are found in Section 22 of the Occupational Safety and Health Act of 1970 (29 CFR § 671). The Institute is authorised to: • Develop recommendations for occupational safety and health standards • Perform all functions of the Secretary of Health and Human Services under Sections 20 and 21 of the Act • Conduct Research on Worker Safety and Health (Section 20) • Conduct Training and Employee Education (Section 21) • Develop information on safe levels of exposure to toxic materials and harmful physical agents and substances • Conduct research on new safety and health problems • Conduct on-site investigations (Health Hazard Evaluations) to determine the toxicity of materials used in workplaces (42 CFR Parts 85 and 85a) • Fund research by other agencies or private organisations through grants, contracts, and other arrangements. The Federal Mine Safety and Health Amendments Act of 1977 delegated additional authority to NIOSH for coalmine health research. The mine health and safety law authorised NIOSH to: • •

Develop recommendations for mine health standards for the Mine Safety and Health Administration; Administer a medical surveillance programme for miners, including chest X-rays to detect pneumoconiosis (black lung disease) in coal miners;

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27 Green World Group • •

Conduct on-site investigations in mines similar to those authorised for general industry under the OSH Act; and Test and certify personal protective equipment and hazard-measurement instruments.

NIOSH provides national and world leadership to prevent work-related illness, injury, disability and death by gathering information, conducting scientific research and translating the knowledge gained into products and services. NIOSH's mission is critical to the health and safety of every American worker. Each day, an average of 9,000 U.S. workers sustain disabling injuries on the job, 16 workers die from an injury suffered at work, and 137 workers die from work-related diseases. The Liberty Mutual 2005 Workplace Safety Index estimates that employers spent $50.8 billion in 2003 on wage payments and medical care for workers hurt on the job. •

Health & Safety Executive: Their job is • To protect everyone in Great Britain against risks to health or safety arising out of work activities • To conduct and sponsor research • Promote training • Provide an information and advisory service • Submit proposals for new or revised regulations and approved codes of practice. They also have a specific duty to maintain the Employment Medical Advisory Service, which provides advice on occupational health matters. This is achieved with the help of people from a wide variety of backgrounds, interests and experience brought together through a network of advisory committees. They actively encourage feedback from the public - and make special efforts to seek the views of small firms. The Health and Safety Executive is also responsible for health and safety regulation in Great Britain. HSE and local government are the enforcing authorities who work together to ensure that health and safety legislation and regulations are observed. Their mission is to protect people's health and safety by ensuring risks in the changing workplace, are properly controlled. They look after health and safety in nuclear installations and mines, factories, farms, hospitals and schools, offshore gas and oil installations, the safety of the gas grid and the movement of dangerous goods and substances and many other aspects of the protection both of workers and the public. Local authorities are responsible to HSE for enforcement in offices, shops and other parts of the services sector. The HSE is sponsored by the Department of Work and Pensions and is ultimately accountable to the Parliamentary Under Secretary for Work and Pensions.

•

Institution of Occupational Safety & Health (IOSH): IOSH is Europe's leading body for health and safety professionals. As an independent and not- for-profit organisation, they aim to regulate and steer the profession, maintaining standards and providing impartial, authoritative guidance on health and safety issues. They believe that offering communicated expert advice from competent safety and health practitioners is an essential component in defining the safety, health and welfare policies of employers. By encouraging, facilitating and leading communication of good

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28 Green World Group practices and expertise, they aim to promote awareness of health and safety matters in the workplace and ensure that high standards are achieved, and maintained. IOSH is the conduit for knowledge, opinion and research on many important matters affecting the health and safety profession, and is often consulted by government departments for members' views on draft legislation, codes of practice and other government initiatives. They aim to ensure that members have a strong and effective voice which influences health and safety related issues with governments, employers and trades unions. IOSH aims to increase its contribution within the European Community and explore ways in which it can more directly influence European directives and guidance. They also aim to work with committees of national and international standards-making bodies, advancing research and pro-actively assisting the dissemination of knowledge throughout the wider European community and accession states. •

•

European Network of Safety and Health Practitioner Organisations: ENSHPO (www.enshpo.org) was established in 2001. The members of the Network are health and safety practitioner organisations from the current EU member states, new member states, applicant countries, and other European countries. INSHPO - International Network of Safety and Health Practitioner Organisations: INSHPO (www.inshpo.org) is a non-profit organisation and exists to bring together generalist professional safety and health practitioner organisations throughout the world in order to reduce, minimise or eliminate the exposure of humans to risks connected with work activities. POOSH - Professional Organisations in Occupational Safety and Health: POOSH (www.poosh.org) exists to promote the continuous improvement of the practice of occupational safety and health through education, communication and the encouragement of cooperation between all persons and agencies involved in the provision of a healthy and safe working environment. Royal Society for the Prevention of Accidents: RoSPA is a registered charity established over 80 years ago and aims to campaign for change, influence opinion, contribute to debate, educate and inform - for the good of all. By providing information, advice, resources and training, RoSPA is actively involved in the promotion of safety and the prevention of accidents in all areas of life - at work, in the home, and on the roads, in schools, at leisure and on (or near) water. In order to give a clearer picture of some of the key understandings which inform its approach to safety, RoSPA has developed fifteen Safety Points, both as a guide to outside organisations and as an aide memoire to its own trustees, staff, members and supporters. The Society works towards its aims with central and local government, the caring services, the police and with public and private sector organisations large and small. Some of its work is funded by grant and sponsorship but mostly relies on the support of its growing membership. As well as contributing to RoSPA's valuable work, members enjoy a range of benefits from journal subscription to course discounts. RoSPA featured prominently in the media with its views on issues such as speed cameras, drink- driving, mini-motorbikes, thermostatic mixing valves and Christmas safety, featuring on television and radio and in the national press. Specialist magazines carried articles about RoSPA, including a spread in Auto Express on Driver Profiler and a feature on RoSPA's views on road safety laws in The House Magazine, which circulates in Parliament. RoSPA's own journals continued to be an important source of information for safety professionals.

Unit ID1: Know – Workplace Health and Safety Principles (International)

29 Green World Group RoSPA was heavily involved in the launch of Safety Groups UK. This was formed out of the National Health and Safety Groups Council, a body representing around 80 community-based groups, which give advice to small and medium-sized businesses in their area. The groups reach out to small businesses in local communities to help create a safer workplace and have signed a partnership agreement with HSE. Pressure groups and public In Great Britain, consumers are becoming more and more aware of the influence they have with suppliers of consumer products. As an example of this, marble and other natural stone products have increased in popularity for use as work surfaces, flooring and decorative features in the home. Recently (2006) the media, television, newspapers and radio have presented articles of the poor working condition at some of the quarries where the stone originated. As a result, labels are now posted on those products where working conditions at the quarries and supply chains have improved. Consumers now have a choice and many are paying the additional premium as they struggle with their conscience. Challenges to OHS As in many other EU Member States, small firms (defined by the UK's Department of Trade and Industry DTI - in the UK context as employing fewer than 50 employees) play an increasingly important part in the economic life of the UK. They account for some 3.5 million businesses (99 per cent of all firms) and about 45 per cent of all private sector employment. The growth in the number of small firms in recent years has been associated with a number of trends, including the restructuring of traditional industrial sectors, contracting out by large firms of non-core business activities and the growth of self-employment and in the number of micro- businesses (fewer than five employees). Also, many large organisations have restructured as small independent cost centres which, in practice, function like smaller firms. Although the survival rate for business start-ups is still relatively low, small firms are viewed as a major source of new employment. These trends have led to an increasing recognition by Government and regulatory agencies of the need to modify approaches to regulation and business assistance to create a positive environment for business survival and development. In 1996, the UK Health and Safety Executive (HSE) carried out a consultation initiative aimed at small firms, which received an unprecedented response from small businesses themselves. It demonstrated on the whole that, in contrast to views expressed by some small firms' organisations, SMEs themselves were not opposed to health and safety law but required assistance to interpret it and develop appropriate responses.

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30 Green World Group This consultation exercise and subsequent work undertaken by HSE and others confirmed that small firms face a number of distinct challenges when dealing with OS&H issues. • • • • • • • • • •

Accident rates are generally higher (on average in manufacturing in firms employing fewer than 50 the rate of fatal accidents is roughly twice that in firms employing 1000+). Nevertheless, in any particular small firm, the average interval between accidents and incidents can be long, meaning no corporate memory of accidental harm. The lean management structure in most SMEs (owner/managers running all aspects of the business themselves) means there is little time to focus on health and safety in detail. The business is likely to have other pressing priorities including finance, sales, meeting deadlines as well as a raft of other regulatory requirements covering taxation, employment, environmental requirements and so on. Many small businesses have a relatively short life meaning insufficient time to mature and establish necessary systems and skills. Those in charge may not have had any specific OS&H training and may not have access to specialist advice and services. Both owners and employees may be ignorant of hazards, risks and control measures ('not knowing what they don't know'). They are unlikely to be part of business networks and rely on informal, word-of mouth communication to secure information and advice. Many small businesses, which are either owned by or employ ethnic minorities, face difficulties in coming with terms with OSH requirements. Further, there may be suspicion of or anxiety about contacting enforcing authorities and fears about the potential costs of OS&H compliance.

Very importantly, there is an increasing recognition that, although in essence the business challenges faced by small firms are similar to those confronted by large organisations, small firms are not simply smaller versions of large companies. While they may adopt formal systems (for example, as required by customer specifications and business standards) their internal dynamics are much more informal, their communication pathways are more direct, they are characterised by oral rather that literate cultures, and their business structures and tactics tend to be highly flexible. All of these factors have implications for the way in which OHS system stakeholders seek to engage with SMEs. Certification: In recent years, there has been an increasing focus on the development and standards for OSH management systems. The underlying motivation has been to outline the system elements which an organisation should have in place to enable it to manage OSH in the same way that it manages other key business issues such as quality or environmental impact. Since the publication by the HSE of their now well-known guidance, 'Successful Health and Safety Management' (HSG65), the British Standards Institution (BSI) has produced guidance on health and safety management systems (BS 8800) and further guidance has been produced on the same subject by the European Commission's 'Luxembourg Committee' and the International Labour Organisation. These publications have been deliberately constructed as guides and not auditable standards and thus, in April 1999, BSI's commercial arm, sponsored by a consortium of certificating bodies, launched OHSAS 18001. This is a health and safety management system 'standard', certification, which is based on auditing. Certification in OSH is now widely available and has been taken up by a variety of organisations in different

Unit ID1: Know – Workplace Health and Safety Principles (International)

31 Green World Group sectors. RoSPA strongly supports the case for promoting a systematic approach to OSH management and the development of guides which enable organisations to carry out 'gap analysis' to assess strengths and weaknesses in their current approach. However, together with many industry organisations, RoSPA has expressed opposition to the proliferation of quasi- standards such as OHSAS 18001 on the grounds that: • • • • •

A 'standard' is unnecessary given that authoritative guidance is already available in HSG65 and the other publications mentioned The level of competence required of auditors - a critical issue - is often not specified There is the danger of too great a reliance on scrutiny of documents rather than evidence gathered by auditors from interview and observation Given this bias, 'certification' to such an OSH management 'standard' cannot of itself attest to high or improving standards of overall performance, only basic standards of administrative consistency 'Certification' is likely to be 'pushed' inappropriately to clients by certifying bodies (many with little previous involvement in OSH), leading possibly to additional costs, bureaucracy and little real added value. Consequently the significance of basic 'certification' on these lines is likely to be oversold by both 'certificating bodies' and the 'certificated'.

More significantly however, when promoted to SMEs by clients in the contracting context, there may be further dangers. The management system approach embodied in the standard may not fully recognise the informality and flexibility that tend to be hallmarks of SME management. The imposition of standards may in turn violate principles of 'good regulation' and thus may serve only to damage SME perceptions of health and safety in general (c.f. 'quality' standards such as BS 5750/BS EN ISO 9000); and certification may involve use of scarce resources in SMEs which might be better deployed in other ways. In RoSPA's view, the future use of OSH management standards remains an open question very much. RHS includes a recommendation that HSE should work to create a health and safety management 'yardstick' for small firms. Regardless of what form this takes or indeed whether certification gains wider acceptance, it seems clear to RoSPA that companies will need to be encouraged to prove to themselves and others that they: • • • •

Have the essential elements of an OSH management system in place Are on a path of continuous improvement Are measuring progress against plans and targets Are learning from their health and safety experiences.

Small firms, like all businesses, need to consider carefully how they can best furnish evidence to key audiences, (such as potential clients, insurers etc.) of their capability to manage health and safety. In its web-based guidance on 'Measuring and Reporting on Corporate H&S performance' RoSPA has argued for a broader approach to OSH performance assessment, taking account of: • • •

'Inputs' (integrity of OSH management systems and culture) 'Outputs' (measures of safe systems of work) 'Outcomes' (low levels of error, harm and loss).

Unit ID1: Know – Workplace Health and Safety Principles (International)

32 Green World Group In small firms, for statistically obvious reasons, evidence of 'inputs' and 'outputs' is bound to be of more significance than 'outcome' evidence such as accident rates. Given that requirements for extensive documentary evidence will not be appropriate for most SMEs, such businesses need to be encouraged to develop approaches to OSH performance reporting which are proportionate to their circ*mstances (for example, reporting progress achieved against a simple 'health and safety action plan' - as suggested above). RoSPA takes the view that developing consensus about OSH management system standards and auditing (and health and safety performance measurement generally) is going to be vital in order to meet the targets set in RHS. The Society has therefore suggested that the HSE should consider setting up a special review group in this area to examine and report on the issues involved and to serve as a focus for stimulating a wider debate on strategic OSH management issues raised in RHS. The importance of print, broadcast and social media in a global economy and their role in changing attitudes to health and safety Mass media are tools for the transfer of information, concepts, and ideas to both general and specific audiences. They are important tools in advancing public health and safety goals. Communicating about OHS through mass media is complex, however, and challenges professionals in diverse disciplines. Using mass media can be counterproductive if the channels used are not audience-appropriate, or if the message being delivered is too emotional, fear arousing, or controversial. Undesirable side effects usually can be avoided through proper formative research, knowledge of the audience, experience in linking media channels to audiences, and message testing. Mass media campaigns have usually been one element of broader health and safety promotion programmes with mutually reinforcing components: • • • •

Mobilising and supporting local agencies and professionals who have direct access to individuals within the target population Bringing together partnerships of public, voluntary and private sector bodies and professional organisations Informing and educating the public, but also setting the agenda for public debate about the OHS topic, thereby modifying the climate of opinion surrounding it Encouraging local and national policy changes so as to create a supportive environment within which people are more able to change their behaviour.

Unit ID1: Know – Workplace Health and Safety Principles (International)

33 Green World Group Some of the situations in which media have been found to be most appropriate are as follows: •

•

• •

•

When wide exposure is desired. Mass media offer the widest possible exposure, although this may be at some cost. Cost–benefit considerations are at the core of media selection When the timeframe is urgent. Mass media offer the best opportunity for reaching either large numbers of people or specific target groups within a short timeframe When public discussion is likely to facilitate the educational process. Media messages can be emotional and thought provoking. Because of the possible breadth of coverage, they can be targeted at many different levels, stimulating discussion and thereby expanding the impact of a message When awareness is a main goal. By their very nature, the media are awareness-creating tools. Mass media Where awareness of an OHS, issue is important to its resolution, the mass media can increase awareness quickly and effectively When accompanying back-up can be provided on the ground. Regardless of whether media alone are sufficient to influence the safety behaviour, it is clear that the success of media will be improved with the support of back-up programmes and services When long-term follow-up is possible. Most changes in health behaviour require constant reinforcement. Media programmes are most effective where the opportunity exists for long-term follow-up. This can take the form of short bursts of media activity over an extended period, or follow-up activities unrelated to media When a generous budget exists. Paid advertising, especially on television, can be very expensive. Even media with limited reach, such as pamphlets and posters, can be expensive depending on the quality and quantity. For media to be considered as a strategy in OHS promotion, careful consideration of costs and benefits needs to be undertaken.

Several aspects of mass media campaigns may influence their effectiveness. These can be categorized into variables related to message content and to message delivery. •

•

Message content: One important aspect of message content involves the themes used to motivate the desired behavior change. For example, some common motivational themes in mass media campaigns to prevent unhealthy behaviors include: - fear of legal consequences promotion of positive social norms - fear of harm to self, others, or property - and stigmatizing unhealthy behaviors as irresponsible and dangerous. The actions promoted by the campaigns also vary, ranging from messages related to abstinence or moderation to more specific behavioural recommendations. Message delivery: A mass media campaign cannot be effective unless the target audience is exposed to, attends to, and comprehends its message. Two important aspects of message delivery are control over message placement and production quality. Control over message placement

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34 Green World Group

•

helps to ensure that the intended audience is exposed to the messages with sufficient frequency to exceed some threshold for effectiveness. It also allows for the optimal timing and placement of those messages. This control can only be assured with paid campaigns. Those that rely solely on donated public service time may attain adequate exposure, but message placement and frequency are ultimately left to media schedulers and station management; paid advertising time always gets preferential placement. Assuming that the target audience is adequately exposed, high production quality of the campaign messages may maximize the probability that the audience will pay attention to them. Message pretesting: Pretesting of campaign themes and messages is also thought to be important for a successful outcome. Pretesting can help to assess which themes or concepts are most relevant to the target audience. It can also help to ensure that the target audience will attend to and comprehend the specific messages presented.

Media performs three key functions: educating, shaping public relations, and advocating for a particular policy or point of view. As education tools, media not only impart knowledge, but can be part of larger efforts (e.g., social marketing) to promote actions having social utility. As public relations tools, media assist organizations in achieving credibility and respect among public health opinion leaders, stakeholders, and other gatekeepers. Finally, as advocacy tools, mass media assist leaders in setting a policy agenda, shaping debates about controversial issues, and gaining support for particular viewpoints. Television: Television is a powerful medium for appealing to mass audiences—it reaches people regardless of age, sex, income, or educational level. In addition, television offers sight and sound, and it makes dramatic and lifelike representations of people and products. Public health authorities have expressed concern about the indirect influence of television in promoting false norms about acts of violence, drinking, smoking, and sexual behavior. A hypothetical equation for viewers might be drinking plus smoking equals sex and a good time. Safe sex practices are rarely portrayed on television. An additional public health concern is that TV viewing promotes sedentariness in a population already known for its multiple risk factors for cardiovascular disease and other chronic illnesses. Despite all its potential strengths, TV suffers many shortcomings. The cost of placing messages on TV is high, not only because of the expense of purchasing airtime, but because of production time for advertisem*nt creation. Radio: Radio also reaches mass and diverse audiences. The specialization of radio stations by listener age, taste, and even gender permits more selectivity in reaching audience segments. Since placement and production costs are less for radio than for TV, radio is able to convey public health and safety messages in greater detail. Thus, radio is sometimes considered to be more efficient. Internet: The advent of the World Wide Web and the massive increase in Internet users offers regulatory authorities and public health personnel enormous opportunities and challenges. The Internet places users in firmer autonomous control of which messages are accessed and when they are accessed. It is possible to put virtually anything on-line and disseminate it to any location having Internet access, but the user has little control over quality and accuracy. Internet search engines can direct users to tens of thousands of web sites after the user's introduction of one or more keywords. A critical task for public educators will be to assist people in discriminating among Internet information sources.

Unit ID1: Know – Workplace Health and Safety Principles (International)

35 Green World Group Unlike TV or radio, which are available in nearly all households, Internet access requires some technical skill, as well as the resources to purchase hardware and Internet subscription services. Also, the Internet suffers from a certain "legacy of fear" about its impact on children, youth, and others. As with cinema since the 1940s and TV since the 1950s, the Internet has been accused of promoting mindlessness; exposing people to p*rnography, violence, and other examples of society's lowest common denominators; and enabling sedentary behavior. The Internet is said to facilitate activities of society's hate groups and to teach children and others how to construct bombs and obtain weapons. Unlike some other mass media, the Internet is presently not universally available across socioeconomic strata due to cost and other barriers. It is possible that this lack of universality has already contributed to existing information gaps between society's "haves" and "have-nots." The Internet's utility for conveying health and safety information can be illustrated by looking at some sample web sites. www.hse.gov.uk www.osha.gov www.ccohs.ca www.safeworkaustralia.gov.au Speculating about the Internet's future is not easy. However, the Internet offers all of the audio and visual strengths of other electronic media, plus interactivity and frequent updates. The challenge is to increase its availability and augment the skills of Internet users. Magazines: Magazines have several strengths, including audience selectivity, reproduction quality, prestige, and reader loyalty. Furthermore, magazines have a relatively long shelf life—they may be saved for weeks or months, and are frequently reread, and passed on to others. Magazine reading also tends to occur at a less hurried pace than newspaper reading. Health and safety messages, therefore, can receive repeated exposure. Other Print Media: Pamphlets, brochures, and posters constitute other print media used to disseminate health and safety messages. Outdoor Media: Outdoor media include billboards and signs, placards inside and outside of commercial transportation modes, flying billboards (e.g., signs in tow of airplanes), blimps, and skywriting. For persons who regularly pass by billboards or use public transportation, these media may provide repeated exposure to messages. However, the effectiveness of such postings wears out quickly as audiences grow tired of their sameness.

Unit ID1: Know – Workplace Health and Safety Principles (International)

36 Green World Group The benefits of schemes which promote co-operation on health and safety between different companies The OS&H Role of Larger Clients: Strategically, RoSPA has chosen to focus its limited resources on advancing and maintaining OHS standards in relatively larger organisations with established OS&H culture, expertise and values. Partly this is because the Society sees them as a resource for the OSH system generally, for example, given the powerful effect, which such organisations can play in influencing OHS standards in many other smaller businesses in the business chain. HSE too have placed considerable emphasis on the idea of large firms and central Government (which is committed in RHS to being an exemplar employer) influencing OSH standards in SME contractors, suppliers and even customers. The idea here is that companies which have themselves developed a strong capability to manage work related risk and have a vigorous health and safety culture, have a key role to play in exercising influence over health and safety standard in all other businesses with which they routinely come into contact. Where larger companies engage contractors - particularly to undertake high-risk tasks such as installation, maintenance, waste disposal or cleaning - HSE have insisted that they will have suitable arrangements in place to ensure that they only engage safe contractors. This involves close attention to detail at all stages of the process, beginning with a thorough assessment of competence at the pre-contract stage and continuing throughout the job via close co-operation between all parties and appropriate levels of supervision and monitoring. This goes right through to the end of the contract when health and safety performance is reviewed and recorded. Such companies may choose to develop their own lists of 'approved' contractors. They will also provide contractors and sub-contractors with all necessary information and other forms of advice and support including training, specialist occupational medical and hygiene services and encouragement to enter either their own or external health and safety award schemes. This approach to influencing SMEs has great potential but, handled incorrectly there is a real danger that large firms may develop unnecessarily bureaucratic approaches to OSH management of suppliers and contractors leading to a reinforcement of negative OSH stereotypes rather than the reverse. It is important therefore that, in seeking to screen and control contractors, clients do not adopt approaches that actually work against HSE efforts to simplify OSH law and guidance. Suppliers Auditing: Companies which are committed to high standards of health and safety performance can also be encouraged to have procurement systems and standards in place which enable them to avoid purchasing plant, equipment, substances which pose unacceptable risks to quality and/or the health and safety of their operations. Such systems will also be capable of identifying cases in which a supplier's management of health and safety is deficient so that remedial action can be taken. Companies which exercise such a role in relation

Unit ID1: Know – Workplace Health and Safety Principles (International)

37 Green World Group to their suppliers often support them through the provision of appropriate health and safety information and consultancy, through training and appropriate, periodic reviews of performance. Often, the client's motivation to exert influence over OSH further up the supply chain is not only to exercise corporate social responsibility but to avoid adverse impacts on their business continuity arising from accidents and enforcement action, for example where the client may be working on a 'just-in-time' basis. Good Neighbour’ Principles: They can do this by supplying necessary information, by making available their own expertise to such neighbours, for example, by providing additional places on training courses, by providing specialist advice and services and by providing practical support and funding for local voluntary health and safety groups (see below). They may also seek to raise awareness of OSH issues in local businesses by sponsoring events, seeking media coverage for health and safety initiatives (for example during 'European Weeks of H&S') and working with appropriate intermediaries to disseminate information at a local level. HSE has produced useful guidance, 'Good Neighbour Schemes - a guide for employers' aimed particularly at larger businesses which are working alongside smaller firms. RoSPA has sought to support this approach by including reference to these principles in its guidance criteria for its own OSH 'sector awards'. The possible adverse effects on a business’s reputation due to stakeholder reaction to health or safety concerns The fundamental question to be asked is, ‘Why should any stakeholder wish to become involved in the promotion of health and safety in, and through, the workplace?’ Several answers are possible, and in reality, stakeholder involvement may well be based on a mixture of some or all of them. They include: • •

• •

Altruism – we do it because we believe it is the right thing to do irrespective of cost Investment – we do it because we perceive that there will be a return on our investment. This can be tangible e.g. an employer might expect that sickness absence costs will diminish, and / or intangible – the workforce will see that we are a caring employer and commitment and morale might rise as a consequence Compulsion – we do it because we have been told we have to. The significant risk with this approach is that we will do the absolute minimum Lost opportunity – we do it because the potential benefits are so great that we cannot afford not to, or that our competitors are doing it, thus we must do the same to maintain our market position

The overarching reason for the involvement of any of the stakeholders is the beneficial outcomes that their involvement brings to them or to those they represent. In the case of governments this may well be improvements in public safety, the creation of a safe society etc. But this will not be a legitimate reason for other stakeholders to become involved. For these, employee productivity, organisational efficiency and increase in profit will be the driving force. The roles of individual stakeholders can vary in different circ*mstances, e.g., the role of the Trade Unions may initially be reluctant participant but having seen the

Unit ID1: Know – Workplace Health and Safety Principles (International)

38 Green World Group benefits of workplace safety promotion they may become proactive champions. This also means that roles can be interchangeable. The exception of this principle is the leadership role. Whilst all stakeholders can take the lead in workplace health and safety initiatives, certain groups of stakeholders, such as employees, can never manifest true leadership as they do not possess the organisational authority necessary to act in a full leadership role. Where there is mutual respect for one another’s goals, and an understanding that the achievement of positive outcomes will mean different things for different stakeholders, then significant progress can be made in developing and implementing a positive safety culture; company and nationwide. An organisation’s moral obligations to raise standards of health and safety within their supply chains Organisations might have several reasons for changing and improving their performance and developing the health and safety management system. One of these included pressure from suppliers, customers or shareholders, suggesting that consideration of the supply chain when it comes to ensuring health and safety is advisable. In addition, health and safety management is integral to the successful completion of a contract or to the delivery of goods on time and to the required quality standards. One accident or incident of ill health with one employer will have knock-on effects on others in the supply chain by disrupting supply or services. Considering occupational health in the supply chain is therefore very important. The successful management and co-ordination of supply chains is a major contributor to the success or failure of companies, which can include success or failure in health and safety performance. There is a strong move towards more collaborative relationships between people in the supply chain, which should be beneficial for considering occupational health hazards and control measures along the chain. There must be both a willingness to share any mutually beneficial information along the supply chain, but also the means to do so.’ • •

• •

•

Ensuring quality: Health and safety often appear in quality management systems and organisations may expect their contractors and suppliers to operate to the same standards. Ensuring value: Assessing and reviewing potential contractors and suppliers can be expensive and costs or loss of business from a health and safety incident can be great. Organisations may look towards reducing contractors and suppliers to achieve better value and excellent health and safety records may be an important determinant of which ones are chosen. Ensuring competence: Being able to ensure that contractors and suppliers are competent and trained in health and safety is important. This will benefit contractors and suppliers by preventing loss of business and clients by ensuring safe working and supplies. Ensuring reputation: When incidents occur organisations need to show that they were working in a healthy manner and need to know that their supplies or contractors were not to blame. Therefore, high health and safety standards are important to maintain the reputation of all organisations in the supply chain. Ensuring everyone’s interest: It is important for all organisations in a supply chain to perform well in health and safety and to meet the client’s health and safety requirements. This is to ensure that organisations are not pushed out of the supply chain, which may lose business for one organisation and may reduce the contractor and supply bases for other clients.

Unit ID1: Know – Workplace Health and Safety Principles (International)

39 Green World Group The meaning of ‘self-regulation’ and the role and function of corporate governance in a system of self-regulation The term is frequently used in business and medicine to denote the "self-regulation" of those enterprises as opposed to governmental regulation. The new approach at EU level represents a shift of regulatory emphasis away from prescriptive requirements on duty holders towards more process-orientated measures. By this is meant that developments in regulatory initiatives have increasingly shared two main new features. One is a broad tendency to replace traditional detailed technical standards in primary legislation with more general duties for employers and other duty holders, in which the aim of the provision is outlined, and to supplement such primary provisions with delegated legislation and codes of practice in which technical standards are included. The second feature is their requirement from duty holders for a more systematic management of occupational health and safety. This latter requirement, while fundamental to the shift in regulatory style, has experienced as low and uncertain gestation in many national systems but is currently an element of major importance behind regulatory thinking. Health and safety performance has reached a plateau in many countries and traditional regulatory approaches towards preventing occupational injuries and ill-health are no longer perceived as primary contributors to further improvement. They also recognise that traditional approaches to enforcement have limitations. They are concomitant with a movement away from the external enforcement of detailed provisions imposed on duty-holders by regulatory inspectorates to a system in which forms of participatory self-regulation are promoted as means to achieve best practice in health and safety performance. Some elements of these developments in regulatory strategies have been influenced by the changes in the structure and organisation of work. Others have been brought about by changes in the political and economic strategies of countries within the EU (and in the EU itself). The effects of neo-liberal policies of disengagement of the state from traditional roles in regulation for example, are also reflected in emphasis on more self-regulatory systems for health and safety management. The new approaches to regulatory strategies on health and safety have been introduced at the same time as governmental concerns over public expenditure and the effect on the national and EU economies of so-called 'over-regulation' of employment. This has meant that in many countries there have been trends towards reduced support for the resourcing of regulatory inspectorates and deregulation of existing provisions governing employment. Such scenarios also add their influence, causing regulatory strategies to place greater emphasis on selfregulation and require less involvement of inspectorates in the piecemeal application of detailed provisions. It is therefore important to distinguish the (ideal) application of this concept from that of deregulating health and safety altogether. In 'regulating self-regulation' the regulatory function is not meant to disappear; rather it is intended to operate more in relation to the management system than in relation to inspecting and enforcing compliance with detailed and specific prescriptive standards. If the management system is functioning

Unit ID1: Know – Workplace Health and Safety Principles (International)

40 Green World Group effectively, then it is argued to be a reasonable assumption that compliance with detailed requirements will follow. It is no coincidence that such increased attention to regulating the management of health and safety also embraces nostrums that better health and safety equates to better business performance. In the UK for example, the HSE has attributed a large share of responsibility for reduced reporting of injury and ill-health to changes in the nature of employment, with a massive shift from employment in dangerous industries such as manufacturing and mining to lower risk employment in the service sector. Similar patterns exist in other EU countries. OHSAS 18001: OHSAS 18001 was created via the concerted effort of a number of the world's leading national standards bodies, certification bodies and specialist consultancies. A main driver for this was to try to remove confusion in the workplace from the proliferation of certifiable OH&S specifications. A number of older documents were used in the creation process. These included: • • • • • • • • • •

BS8800:1996 Guide to occupational health and safety management systems. Technical Report NPR 5001: 1997 Guide to an occupational health and safety management system. SGS & ISMOL ISA 2000:1997 Requirements for Safety and Health Management Systems. BVQI Safety Cert: Occupational Safety and Health Management Standard. DNV Standard for Certification of Occupational Health and Safety Management Systems (OHSMS):1997. Draft NSAI SR 320 Recommendation for an Occupational Health and Safety (OH and S) Management System. Draft AS/NZ 4801 Occupational health and safety management systems specification with guidance for use. Draft BSI PAS 088 Occupational health and safety management systems. UNE 81900 series of pre-standards on the prevention of occupational risks. Draft LRQA SMS 8800 Health & safety management systems assessment criteria.

It is worth noting that the certification bodies involved in creation hold about 80% of the world market for management system certification. OHSAS 18001 has been developed to be compatible with the ISO 9001 (Quality) and ISO 14001 (Environmental) management systems standards, in order to facilitate the integration of quality, environmental and occupational health and safety management systems by organisations, should they wish to do so. The (OHSAS) specification gives requirements for an occupational health and safety (OH&S) management system, to enable an organisation to control its OH&S risks and improve its performance. It does not state specific OH&S performance criteria, nor does it give detailed specifications for the design of a management system. The OHSAS specification is applicable to any organisation that wishes to:

Unit ID1: Know – Workplace Health and Safety Principles (International)

41 Green World Group • • • • • •

Establish an OH&S management system to eliminate or minimise risk to employees and other interested parties who may be exposed to OH&S risks associated with its activities Implement, maintain and continually improve an OH&S management system Assure itself of its conformance with its stated OH&S policy Demonstrate such conformance to others Seek certification/registration of its OH&S management system by an external organisation Make a self-determination and declaration of conformance with this OHSAS specification.

International Organisation of Standardization (ISO): ISO is a network of the national standards institutes of 157 countries, on the basis of one member per country, with a Central Secretariat in Geneva, Switzerland that coordinates the system. ISO is a non-governmental organisation: its members are not, as is the case in the United Nations system, delegations of national governments. Nevertheless, ISO occupies a special position between the public and private sectors. This is because, on the one hand, many of its member institutes are part of the governmental structure of their countries, or are mandated by their government. On the other hand, other members have their roots uniquely in the private sector, having been set up by national partnerships of industry associations. Therefore, ISO is able to act as a bridging organisation in which a consensus can be reached on solutions that meet both the requirements of business and the broader needs of society. When the large majority of products or services in a particular business or industry sector conform to International Standards, a state of industry-wide standardisation can be said to exist. This is achieved through consensus agreements between national delegations representing all the economic stakeholders concerned - suppliers, users, government regulators and other interest groups, such as consumers. They agree on specifications and criteria to be applied consistently in the classification of materials, in the manufacture and supply of products, in testing and analysis, in terminology and in the provision of services. In this way, International Standards provide a reference framework, or a common technological language, between suppliers and their customers - which facilitates trade and the transfer of technology. Here is how ISO can benefit the society: For businesses: The widespread adoption of International Standards means that suppliers can base the development of their products and services on specifications that have wide acceptance in their sectors. This, in turn, means that businesses using International Standards are increasingly free to compete on many more markets around the world. For customers: The worldwide compatibility of technology which is achieved when products and services are based on International Standards brings them an increasingly wide choice of offers and they also benefit from the effects of competition among suppliers. For governments: International Standards provide the technological and scientific bases underpinning health, safety and environmental legislation.

Unit ID1: Know – Workplace Health and Safety Principles (International)

42 Green World Group For trade officials: Negotiating the emergence of regional and global markets, International Standards create "a level playing field" for all competitors on those markets. The existence of divergent national or regional standards can create technical barriers to trade, even when there is political agreement to do away with restrictive import quotas and the like. International Standards are the technical means by which political trade agreements can be put into practice. For developing countries: International Standards that represent an international consensus on the state of the art constitute an important source of technological know-how. By defining the characteristics that products and services will be expected to meet on export markets, International Standards give developing countries a basis for making the right decisions when investing their scarce resources and thus avoid squandering them. For consumers: Conformity of products and services to International Standards provides assurance about their quality, safety and reliability. For everyone: International Standards can contribute to the quality of life in general by ensuring that the transport, machinery and tools are safe. For the planet: International Standards on air, water and soil quality, and on emissions of gases and radiation, can contribute to efforts to preserve the environment. Consumers & Negative Reactions So far, we have considered Governmental policy, professional body influence, Trade Union pressures and Employer strategies. Here we will consider how the consumer has an effect both on raising standards of health and safety at the companies whose products they purchase and use and the financial impacts on business who get it wrong. We have provided you with examples of the effects on business of adverse stakeholder reaction to health or safety concerns. You may wish to search out others local to you. You need to consider how these impacted on the business concerned and short and long term affects impacted on consumers. How internal rules and procedures regulate health and safety performance Governmental health and safety regulations represent minimum requirements. In almost all cases, organizations will have to augment these regulations with specific rules. We need rules – to protect the health and safety of workers – but there are dangers in having either too few or too many rules. Too few rules may be interpreted as a sign that health and safety are not important, or that common sense is all that is required to achieve them. Too many rules may be seen as not treating employees as thinking adults and makes enforcement of all rules less likely. Following are some guidelines for establishing rules: • •

Rules should be specific to health safety concerns in the workplace The joint health and safety committee should participate in their formulation

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43 Green World Group • • • • • •

Rules should be stated in clearly understandable terms Rules are best stated in positive terms ("employees shall" not "employees shall not") The reasons for the rule should be explained Rules must be enforceable, since disregard for one rule will lead to disregard for others Rules should be available to all employees in written form, in the languages of communication of employees Rules should be periodically reviewed to evaluate effectiveness and to make changes for improved effectiveness.

Compliance with health and safety rules should be considered a condition of employment. Rules must be explained to new employees when they start work or if they are transferred or retrained. After a suitable interval, these employees should be briefed to ensure they understand the rules applicable to their work. The employer must establish procedures for dealing with repeat rule violators. Supervisors are responsible for correcting unsafe acts, such as a breach of rules, and they must be supported in this duty. Points that should be considered in establishing procedures on this issue are: • • • • • • • •

Ensure that employees are aware of the rule Ensure that employees are not encouraged, coerced, or forced to disregard the rule by fellow employees All rules are to be observed No violation will be disregarded The role of discipline is that of education, not punishment Action is taken promptly While having guidelines for penalties for the first offence or infractions may be desirable, some flexibility is required when applying the guidelines since each case will vary in its circ*mstances Action is taken in private, and recorded.

1.5 Third parties Reasons for ensuring that third parties are covered by health and safety management systems Almost all organisations will use contractors at some time. Contractors often work in workplaces with hazards that are unfamiliar to them. This can include exposure to chemicals, asbestos, lead, noisy or hot/cold conditions. Employees of the contracting organisation, or its client, may be at risk from the activities of a contractor, as could members of the public. Organisations that engage contractors and sub-contractors have a responsibility under Health and Safety Law to protect them from harm caused by company work activities. Similarly, contractors and sub-contractors must co-operate with the client and each other to ensure they don’t do anything that puts themselves or others at risk. Members of the public should not be put at risk by the contract activities. The main duties under the Health and Safety at Work etc. Act 1974 that apply to the use of contractors are contained in sections 2, 3 and 4 of this Act. Employers have to ensure as far as is reasonably practicable, the health, safety and welfare at work of employees, employees of other employers and

Unit ID1: Know – Workplace Health and Safety Principles (International)

44 Green World Group members of the public. Those who have control over premises have to consider the safety of anyone who comes on the premises, including contractors and customers. The Management of Health and safety at Work Regulations 1999 are of particular importance in any client/contractor relationship. They set out requirements for a health and safety management system in all workplaces. Employers have to assess risks in their workplace and take steps to control or eliminate the risks. Basic duties owed to and by third parties Both the client and any external service provider will also have duties under the Management of Health and Safety at Work Regulations 1999 including: • • • • •

Undertaking suitable and sufficient risk assessments Making suitable health and safety arrangements Providing information to employees and, where an external service provider has been appointed, to each other where appropriate Where an external service provider has been appointed, co-operating and coordinating with each other Taking action as an individual organisation and, where appropriate, in concert to eliminate or control risks to an acceptable level.

Good practices in working with contractors include: • • • • • • • • • • • • •

Provide the project specifications and requirements to contractors before they tender to help them decide if they can do the job Use appropriate selection criteria to ensure competent contractors are engaged Assess any risks to contractors and employees prior to, and during the activity Inform contractors of workplace hazards, including special requirements e.g. permit to work systems or requirements for 'hot' work Give information on emergency procedures, site rules and welfare facilities Co-ordinate and control the work and ensure all parties are aware of their responsibilities Maintain regular communication with all parties to ensure everyone has up-to-date information Make company employees aware of hazards created by contract activity Monitor Health and Safety performance Investigate all injuries, near misses and cases of ill health Maintain records of the contract activity When the contract ends, review the activity with all parties, discuss what went well and what areas could have been improved Decide if the contractors should go on an approved list for future contracts

Contractors should plan the work and tell the principal about: • • • • •

Hazards caused by the work they are doing Site-specific hazards Any changes, including number of workers, new equipment Safety procedures for other people who may be affected by that work, including the public Plant to be used, and

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45 Green World Group •

Necessary safety equipment.

Contractors should confirm they have the relevant health and safety information from the person they are working for, such as: • • • •

Hazards in the place where they are working Company health and safety rules Emergency procedures and supply of first aid, and How to report new hazards.

If you are a contractor, you have responsibilities as one or more of these roles: • A self-employed person • An employer, if you employ others to do work for you • A principal, if you engage contractors or subcontractors to work for you. A self-employed person might also have duties as a principal, a contractor, or both. If you hire subcontractors, you are a principal under the Act. As well as looking after your own health and safety, you also have a principal’s duties towards subcontractors and their employees. Principal contractors have an important role in managing health and safety risks during the construction phase so they must have the skills, knowledge, experience and, where relevant, organisational capability to carry out this work. The principal contractor must: • • • • • • • • • • •

Plan, manage, monitor and coordinate the entire construction phase Take account of the health and safety risks to everyone affected by the work (including members of the public), in planning and managing the measures needed to control them Liaise with the client and principal designer for the duration of the project to ensure that all risks are effectively managed Prepare a written construction phase plan before the construction phase begins, implement, and then regularly review and revise it to make sure it remains fit for purpose Have ongoing arrangements in place for managing health and safety throughout the construction phase Consult and engage with workers about their health, safety and welfare Ensure suitable welfare facilities are provided from the start and maintained throughout the construction phase Check that anyone they appoint has the skills, knowledge, experience and, where relevant, the organisational capability to carry out their work safely and without risk to health Ensure all workers have site-specific inductions, and any further information and training they need Take steps to prevent unauthorised access to the site Liaise with the principal designer to share any information relevant to the planning, management, monitoring and coordination of the pre-construction phase

Duties of self-employed people: Every self-employed person shall take all practicable steps to ensure that no action or inaction of the self-employed person while at work harms the self-employed person or any other person. As a self-employed person you must look after your own safety and the safety of others, but the principal who engages you also has duties under the Act towards you. Talk about health and safety with the principal and agree to a work plan that takes health and safety into account. In particular, ask if

Unit ID1: Know – Workplace Health and Safety Principles (International)

46 Green World Group they know about any hazards related to the work or workplace, and how those hazards will be managed. You should also tell the principal of any hazards your work may involve (including site-specific hazards that you have found), and how they will be managed. This should be documented, and both parties should have a copy. Duties of designers: The designers of plant (who 'know or ought to know' that the plant will be used in workplaces) have a duty to; so far as reasonable practicable: • Design it to be safe and without risks to health • Carry out testing of the plant to ensure that it is safe and without risks to health • Give the necessary information to those s/he supplies the design to (e.g. possible manufacturers) regarding the purpose of the plant, the test results, and any conditions necessary to ensure the plant is safe. This information must also be given, if requested, to anyone who uses or will use the plant. Manufacturer responsibilities: Manufacturers tend to have general duties to design safely, to test and provide information. Manufacturers have the responsibility to follow a designer’s specifications precisely in order to ensure the plant is as free from risk as the designer intended. Under some conditions, for example, if the designer is located outside the country’s territory, the manufacturer takes on the designer’s responsibility to make sure the risks associated with design are assessed and controlled. The manufacturer also has a responsibility to provide particular kinds of safety information to the users of the plant. The manufacturer is obliged to provide safety information about the plant to end users – either directly (if supply is direct) or through the supplier. This will generally be in the form of an operating or instruction manual, either provided by the designer, the manufacturer or jointly. The manufacturer should review and reissue safety documentation whenever new information becomes available about the use of an item or any associated system of work likely to affect health and safety. The manufacturer should also notify owners and users if design or manufacturing faults become apparent after supply. The nature of the fault, risk posed, or action necessary to remove a design risk should be indicated and the item recalled if the fault is impossible to rectify at the workplace. Similarly, manufacturers and importers have clear obligations to ensure safety and testing, provide appropriate information and prevent unsafe use of substances for use in the workplace Supplier responsibilities: ‘Supply’ essentially involves a commercial transaction and the legislation generally categorises the transactions as sale, lease, hire, hire-purchase and exchange. It seems logical that an importer is a sub-category of a supplier - i.e. an importer may be a supplier who supplies the products. A manufacturer may also be a supplier, of course, if the manufacturer supplies to another that which it has already manufactured. Suppliers with a general duty under the OHS statutes are legally responsible for making sure the risks to health and safety from the plant that they supply are eliminated or minimised. For new plant the supplier must provide the purchaser with the health and safety information provided by the designer or manufacturer. For used plant any available health and safety information originally provided by the designer and manufacturer as well as any records kept by the previous owner must be provided. Material accompanying imported items may need revision to ensure clarity and effectiveness in the eyes of the reader. Generally, the supplier is required to: • Ensure that the substance, at the time of supply, is safe for use and without risk to health of employees • Have carried out, or caused to have carried out, adequate research, testing, and examination of the substance to assess risk to health and safety in the workplace

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Make available to the employer adequate information about the condition of the substance at time of supply, risks likely unless properly used, steps to be taken to avoid risk, and the first aid and medical procedures.

Importer responsibilities: According to the national standards in most of the countries, an importer of plant takes on the responsibility of designer and manufacturer and supplier to ensure the risks associated with the plant are assessed and controlled, and to provide the required safety information to users. Franchisors responsibilities: The increasing use of licensing and franchising arrangements means that business organisations are designing and closely controlling the business operations of those operating under licence, and imposing detailed requirements restricting the types of suppliers and contractors with whom the licensee may contract. It is argued that franchisors owe a duty to ensure that in business systems the subject of the franchise arrangement is designed so as to be, as far as is reasonable practicable, safe and without risk to health.

Responsibilities for control of risk associated with third parties If you have a contractor working for you, then both you and the contractor will have duties under health and safety law. This also applies when a contractor employs subcontractors. When employing contractors you should: • • •

•

• •

Select a suitable subcontractor – ensure they have sufficient skills and knowledge to do the job safely and without risks to health and safety Assess the risks of the work – the level of risk will depend on the nature of the job. Whatever the risk, you will need to consider the health and safety implications Do a risk assessment – you and the contractor should be aware of its findings. You should already have a risk assessment for the work activities of your own business. The contractor must assess the risks for the contracted work and then both of you must get together to consider any risks from each other’s work that could affect the health and safety of the workforce or anyone else Provide information, instruction and training to your employees. You should also provide any information to contractors on the risks from your activities and the controls you have in place. It may also be beneficial to consider, with the contractor, what instruction and training contractors will need Set up liaison arrangements for co-operation and co-ordination with all those responsible to ensure the health and safety of everyone in the workplace Decide what you need to do to manage and supervise the work of contractors and agree the nature of the controls before work starts

Reasons for providing information relating to hazards/risks to third parties Ideally, contractor induction training should be delivered to all contractors before they are permitted to enter a company site or begin their work. This ensures that contractors understand the important environmental, health & safety issues in the company. It emphasises the responsibility they have for ensuring their safety and the safety of others. Communicate company procedures and standards applicable to all contractors who enter your premises. Your health and safety induction training should cover:

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48 Green World Group 1. Health, safety and environment: Train your contractors on all your health, safety and environment precautions and rules for your site. In order for them to comply they need to know the rules first. 2. Road traffic rules: You may have a lot of trucks, concrete mixers, cranes etc. working on your site. Make sure everyone is aware of the traffic rules to avoid any accidents. 3. Security: Train them on your security procedures. You may require all contractors to wear an identity badge to get access to your site. 4. Fire prevention and emergency response: Your contractors must know what to do in the event of a fire. They also need to know your rules and regulations when it comes to preventing fires from occurring. This also includes fire alarms, fire call points, muster points, fire drills etc. 5. Hygiene and housekeeping: Remind your contractors of your storage rules, keeping the workplace clean and tidy. 6. Welfare facilities: including toilets, washrooms, changing rooms, lockers etc. 7. Mandatory PPEs requirement: which may include safety helmet, safety shoes, safety glass and high visibility jackets 8. PTW and Risk assessment system: to increase their awareness about carrying out critical and hazardous jobs on site in safe manner. 9. Confidentiality: You may have certain aspects of your site not open to the public and contractors may not share this information. 10. Insurance: Your contractors need to know what insurance coverage you have for the site and employees; and 11. Legislation pertaining to your premises.

1.6 Insurers How insurers can influence organisational health and safety For every business protecting their workforce is one of the major concerns that they are facing. If they are able to give adequate protection then it creates a more productive workforce who are morally up and this will help to avoid a greater amount of financial liabilities than can arise due to an unforeseen incident. Say for example sick pay, overtime payment, compensation payment etc. As per Health and Safety at Work etc. Act 1974 under the section General duties of employers to their employees it is mentioned that – It shall be the duty of every employer to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all him employees. So, providing insurance to the employees also becomes a part of running the business effectively. The potential risk of not having business insurance is very high. Without insurance in place, if an accident or any situation arises where in a situation has come for the company to pay out a large amount of money to the victim could seriously jeopardies the future of business, which also lead to bankrupt / ceasing it operations. Business have an additional level of insurance in the form of liability insurance which covers them in the event of them being sued as a result of an action on their part which caused damage to a person’s health or property. Some managers and directors of a company may think of insurance premiums as an added expense. Even worse, they may see them as a waste of money if they do not make an insurance claim, and so think about

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49 Green World Group cutting them out of an already stretched budget. Whilst all insurance costs are slightly strange insofar as business hope that they are paying money into something that they will never need, the fact is that cover is there to protect the business in the event that it will be forced to pay out a large sum of money as a result of a circ*mstances which is covered by the insurance. Even if the business does end up paying more in premiums than they ever get out of it, the cover is there as a protection to avoid financial disaster. Now another important thing to consider is even if there is insurance to cover the financial loss in the event of a health and safety related claim, it does not in any way lessen the organizations responsibilities for providing a safe place of work and reducing potential risks. Not only as said about there is a legal responsibility with regards to health and safety in a place of work, meaning that criminal charges could be brought in addition to any civil financial case, but negligence or a failure to do or not do certain actions may in fact invalidate the insurance completely. So even with a comprehensive level of business insurance cover in place, company managers still have to comply with their many duties and obligations with regards to workplace health and safety. Why do insurance companies care about health and safety? The amounts of money involved for corporate insurance claims are often far higher that they are for private individuals. Insurance companies will feel a greater financial impact when they have to pay out for a large corporate claim. As such, they will want to have more of an idea about what goes on within the company and, more pertinently, what measures and controls are in place to minimize the chances of an incident taking place which would result in an insurance claim. The extent to which insurance companies are concerned with potential pay-outs has resulted in an increase in the level of scrutiny and influence which they have over the company to which they are insuring. If they are going to cover them for such large amounts, they want to know what the company is doing to reduce the chances of such an incident occurring. They may even demand certain conditions be met and particular control measures be put in place as a prerequisite of them providing the requested level of insurance cover to the organisation. It is also likely that the insurance company will require a certain level of understanding about what the company does, how it goes about it, the risks involved and what it does to minimise such risks when it decides upon the level of premium to charge for providing the insurance. Because circ*mstances change, the insurance company will often want to conduct periodic reviews to ensure that risks are still being managed appropriately to determine that the premium being charged is high enough. It may also be the case that the company can introduce such comprehensive controls, safety features and level of health and safety training that it actually warrants a lower insurance premium than currently being charged. How a change to the workplace could cause premiums to increase Insurance companies will typically determine premium levels that need to be paid by the company based on a number of factors. Not only will the amount of cover be a significant determining factor, but there will also be a number of others, including but not limited to:

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The type of industry The countries or jurisdictions of operation Number of employees The equipment used Existing levels of health and safety controls and staff training

Of course, all of those things can change quite quickly (with perhaps the exception of the type of industry, but even this is not unheard of). The world of business is dynamic and ever-changing, which means that factors that the insurance provider used to work out appropriate premiums may now be materially different. It may not be an issue, or it could be so much of an issue that it invalidates the insurance. For clarity and to ensure that every business have the insurance cover that they expect and may depend upon at some point in the future, it is imperative that regular communication takes place with the insurers. Preferably, this should take place before major alterations are made. Benefits of complying with rules set by insurance companies Aside from simply complying with legislation and ensuring every business meet the terms and conditions associated with their insurance policy, proactively taking steps to satisfy any insurance health and safety criteria can also have other benefits for all organisations. For one, a company which is seen to be proactively taking steps to create a safe place of work with a positive health and safety culture in place will often be viewed more favourably by employees. Not only will motivation and productivity pick up, but staff turnover should also decrease as fewer employees have a strong desire to leave the company. As mentioned earlier, if changes are made which lower the probability of accidents and injuries occurring, insurance premiums may in fact go down, and which over a fairly short period of time will more than offset the cost of the additional safety features or health and safety training provided to staff members. Improved health and safety within the workplace will also reduce the occurrence of relatively minor accidents. Whilst these may not have resulted in any compensation claims or need to claim on the company insurance, having employees sat at home or unable to work at full speed would still have caused unwanted productivity headaches for the company. By keeping workers healthy and happy, the company will have a greater number of its workers actually at work, and operating at 100%. The role of loss adjusters and claims handlers Loss Adjusters Insurance companies are generally reluctant to pay out large settlements to policyholders. They might therefore call upon a loss adjuster to investigate your case. A loss adjuster is a claims specialist appointed and paid by an insurance company to investigate a complex or contentious claim on their behalf. They are responsible for establishing the cause of a loss and to

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51 Green World Group determine whether it is covered by your insurance policy. They will therefore visit the site of the loss in order to gather evidence and assess damage. In some cases, your insurance company may even hire private and forensic investigators to work on their behalf. These investigators are more often than not completely unregulated, and they will go out of their way to discredit your claim. They will then present the insurance company with a report, recommending appropriate payment based on their perceived validity of the claim. Essentially, they review your claim from the insurance company’s perspective. Because they are in the pay of insurance companies, loss adjusters might actively work to secure the lowest possible settlement. They are ostensibly hired to find evidence that could negate your claim. For that reason, it is important to have a qualified loss assessor fighting your corner. They are not appointed to advise you on the best way for you to make a claim – they only look at the incident in the context of your policy cover, and the remit they have with your insurer. They will not help you if you want to dispute a settlement offer – the onus is on you to prove you are entitled to more than the offer recommended to your insurer by the loss adjuster. In some cases, it might feel as though loss adjusters are actively working against your best interests. But if you appoint a loss assessor, they will fight your corner and expertly negotiate your claim on your behalf. It pays to appoint them as early in the claim as you can. If you appoint a loss assessor after the loss adjuster’s report has been submitted, it can be very difficult to challenge their decision. Claims Handler When a policy holder requires the services of their insurer for an emergency, they file a claim with their company. The employee in charge of taking in that claim and seeing it through is the Insurance Claim Handler. They work for insurance companies as part of a Customer Service team. Their job is to take note of the client’s personal information, recall their insurance contract, and provide assistance during the claim process. Insurance Claim Handlers usually take charge of a case and see that it is properly handled by all the people involved. They often have to contact Insurance Underwriters, Adjusters, and Brokers when they require their expertise in a case. Once a settlement payment is issued, Insurance Claim Handlers verify that it was done properly and that there was no under or overpayment. In some cases, Insurance Claim Handlers are also required to contact external experts to work on a specific case. They liaise with hospitals, mechanic workshops, Engineers, and other experts whenever they’re needed to assess and work on a claim.

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2.1 Organisational structures The concept of the organisation as a system In recent years, an approach has developed towards organisations using an analogy of control systems theory. This approach developed in the late 1960s, and it probably originated at this time for two primary reasons: • •

First, the fresh concern with science following World War II, and such spectacular progress as nuclear armaments and the computer and, Secondly out of the realisation of the inadequacy of existing theory against the background of new, more complex, organisations.

At its widest, the theory is married (or, at least, the attempt is made) to seemingly-unrelated spheres. The work organisation is compared with, at one extreme, systems in the human body, atoms, bacteria, and so forth, and, at the other, with the universe itself! This is general systems theory, seeking dynamic principles applicable to all kinds of systems - living, mechanical and natural. When we use the term "system", we mean the whole entity made up of interrelated, functioning parts. The effective functioning of the whole depends, to a greater or lesser extent, on the performance of the parts. If we look at the human body, certain parts - such as the heart, lungs and liver - are crucial to the survival of the body; others - such as hands, feet and gall bladder function to assist survival, but the body could live without them. All the parts of the human body are linked through the nervous system so that change or malfunction in one part affects the other parts. Likewise, the engine and its related parts are vital to the running of a car, whereas parts such as the windscreen wipers merely help it to be effective and safe in wet conditions. We can parallel this approach in looking at organisations. They, too, have certain vital parts and, if these fail, the whole organisation ceases to function. For instance, if finance elements fail, the organisation will have no funds and will cease to exist. Just as with the body or the car, change or malfunction in one part of an organisation affects other parts - this is what we mean by saying that the parts of an organisational system are "functionally interrelated". Definition of a System There are a number of definitions of a system. A simple but useful one is: "A system is a regularly interacting or interdependent group of items forming a united whole." This is one of several definitions which can be applied to systems. At this point, it is sufficient for you to know what a system is. The systems approach to management is, basically, a way of thinking in which the organisation is viewed as an integrated complex of interdependent parts which are capable of sensitive and accurate interaction among themselves and within their environment. Characteristics of Systems

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53 Green World Group a) b)

Every system is part of a still larger system and itself encompasses many subsystems ("circles within circles"). Every system - whether biological, physical or social - has a specific purpose to which all its parts are designed to contribute. Without such a common purpose, the interrelationships would be meaningless. A system is complex - any change in one variable will effect change in others. (For example, a change in one area can create frustrations and reduce job satisfaction in another area because one variable in the system has been changed without regard to its effect elsewhere.) Equilibrium: a system strives to maintain balance between the various pressures affecting it, internal and external. Of course, some systems experience more pressures to change than others, giving rise to stable and unstable systems. Initial reaction to pressure is often what is called dynamic conservatism - the organisation fights like mad to stay just as it is! However, sooner or later homeostasis takes place - "activities which serve to stabilise and vitalise the organisation as a whole in an evolving state of dynamic equilibrium".

Open and Closed Systems One systems concept commonly used is the distinction between "open" and "closed" systems. Closed Systems: A "closed" (or "impervious') system is one in which there is no interaction between any part of the system and the external environment. You will realise that, nowadays, in the organisational sense, such a situation does not arise - the concept is used purely for debating reasons. Weber, perhaps, looked at his ideal bureaucracy as though a closed system were possible: socio- emotional factors did not intrude into the organisation. However, Michel Crozier (b.1922) a sociologist who wrote on the French bureaucracy, among others, showed that the environment does affect both goals and the structuring of the organisation. A major criticism of the classical school must be its unawareness of the invalidity of the closed-system approach. Open Systems: The vast majority of organisations are open-loop, rather than closed-loop, systems. The inputs and outputs can be materials, knowledge and ideas, or even people (as in the education system). The employees who carry out the processing within the systems are, themselves, drawn from outside, and so they are influenced at work by environmental factors. The organisation must, therefore, deal with the demands and constraints imposed by the environment on raw materials, money and consumer preferences, and it must also deal with the expectations, values and norms of the people who must operate the work organisations. Organisational structures and functions The study of organisations has produced a huge body of sociological research with a number of conflicting interpretations. However, there has been a convergence of opinion amongst the more prominent sociologists about the nature of the organisation. Here are a few definitions:

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54 Green World Group "Organisations are social units deliberately constructed and reconstructed to seek specific goals" (Talcott Parsons). "Organisations are stable associations of persons engaged in concerted activities directed to the attainment of specific objectives" (Egon Bittner). "Organisations are bodies persisting over time which are specially set up to achieve specific aims" (Amitai Etzioni). In layman's terms an organisation is a group of persons who interact with each other in an effort to attain certain predetermined goals or objectives. Take a look at the particular company for which you work. Does it fit within any of the above definitions? At a very basic level, the shop-floor employee goes to work to earn money - so do his shop steward, foreman, manager and managing director. The earning of money, then, is a specific goal common to everyone in that particular enterprise. There will be many other shared goals and objectives. There will also be many goals which are not shared, which lead to conflict, and which, ultimately, may have a bearing on the success or failure of the organisation. A work organisation, then, is an organisation which has been established for a specific purpose, and within which work is carried out on a regular basis by paid employees. Examples of such are businesses, hospitals, educational institutions, government departments, etc. Formal and Informal Organisation All organisations have a formal and informal structure. Within each organisation, there is a formal allocation of work roles and the administrative procedures necessary to control and integrate work activities. This concept of control within an organisation is important. It can be exercised differently by different organisations. There is a power structure within which workers are controlled by the managers. Etzioni described how power was used according to the type of organisation. He suggested that management power could be described as "coercive, remunerative, and normative" and that there was a corresponding reaction by the workers which could be termed "alienative, calculative and moral". We have, so far, been discussing the "classical" theories of organisation and concentrating on the formal model. Traditionally, formal organisation was typified by the rules and specifications of management, and you can probably sketch a formal organogram of your own particular company based on the traditional, conventional management pyramid. Your company probably also has a formal system of written rules and procedures, contained perhaps in a company handbook, for the smooth and efficient operation and management of the company.

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55 Green World Group However, you will also be aware from your own work experience of an informal arrangement or power structure within your company, which is based on the behaviour of workers - how they behave towards each other and how they react to management instructions. The foreman or supervisor will have specific instructions from management aimed at achieving certain goals or production targets. In many cases, he often "adjusts" those instructions in accordance with his personal relationships with individual, or groups of, workers. This takes us some way towards being able to make a distinction between formal and informal organisations. There is a blurring at the edges between the two - a cross-over point, where the distinction between the formal and informal at the actual point of action becomes obscured and is the subject of a great deal of sociological argument and discussion. For our purposes, it is sufficient to describe or explain them in the following way. Formal Organisational Structure: Most organisations describe their structure in the form of an organogram. This shows the reporting relationships from the chief executive of the company down to the staff carrying out the most basic tasks. Informal Organisational Structure: An organisational chart cannot identify all the interactions which occur between staff. Invariably, it will be the quality of personal relationships which determines how communications flow within a company, and "how things get done". Within the prison system, for example, there are strict rules of behaviour enforced by the prison authorities by means of a rigid authoritarian structure. The prisoners themselves, however, have their own informal organisation which often dictates "how things get done" in prison. This refers back to Etzioni's "coercive - alienative" theory. In the prison workshop, the objective is to produce x number of objects per week. The work is imposed on the unwilling prisoner (coercion). The prisoner's objective is not the same as that of the prison authorities - he is not interested in producing x number of objects. He resents being confined in prison and resents being made to work (alienation). He does only as much work as will keep him out of trouble: • •

With the supervising prison officer, and With his fellow prisoners.

The end result is that the number of objects produced is considerably less than x. In most organisations, the formal structure represents the model for interaction, but in reality, the informal relationship is of considerable importance in understanding how organisations work. The informal structure cannot replace the formal structure, but works within it. It can influence relationships and effectiveness in both positive and negative ways. An understanding of it is an in-valuable aid to good management. Structure and Function of Organisations

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56 Green World Group The structure of an organisation is determined by its general activities - its size, location, business interests, customer base, etc. It is also determined by the way in which its personnel are configured. The organisational pyramid mentioned earlier is probably the principal model for most organisations, with management at its apex and the workforce at its base. The total management structure can be represented as a pyramid but within it, each separate department has its own pyramid with its own power structure and departmental goals. With its own head, senior, middle and junior members of staff, each departmental pyramid has to be climbed by the aspiring, career-minded employee. Career progression depends on the ability to climb the pyramids - first the departmental one and, with any luck, the company one. If the organisation is very large, then considerable problems involving communication, efficiency, effectiveness, etc. will be encountered. With giant enterprises such as Microsoft or Ford Motors, organisational theory becomes more and more problematic. Is it realistic to expect their respective managing directors to share the same goals as their most junior employees? Yet we started out by saying that organisations were groups of persons interacting in order to achieve predetermined goals or objectives. Perhaps the success of these companies indicates that they have solved the organisational problems of motivation and communication. By examining the pyramidal structures, it is easy to identify the formal levels of authority and responsibility within the organisation or department. Basically, authority or control runs from top to bottom or from apex to base. However, there are other important management/employee relationships such as line management, staff, and functional relationships. Line Management A typical line management function in a factory is represented by below figure. From this, you can see a direct line of authority from the Works Director to the production Operatives. Large or small structures: It is very important to understand span of control and organizational structure when describing an organization. Simply, span of control refers to the number of subordinates under the manager’s direct control. As an example, a manager with five direct reports has a span of control of five. Too many or too few direct reports is a good way to view how efficient an organization is as long as it looked at in the context of the company’s organizational structure. What needs to be considered is the nature of the work that subordinates are performing and how much attention each requires. For example a Call Center, the span of control can be numbers over 100, while executive functions – with high degrees of collaboration and interaction – could productively tolerate no more than three or four. So the nature of the work being performed, and how much attention it requires should govern the assignment of personnel to a manager, and not some industry ideal goal. While we are addressing span of control, let’s also broaden our understanding to see it in the context of the organizational structure levels of hierarchy. Unit ID1: Know – Workplace Health and Safety Principles (International)

57 Green World Group Width: Organization structures can be described as wide (with larger span of control) or narrow (with smaller span of control.) Height: As there are levels of management, or hierarchy, an organization may be tall (with many levels) or flat (with fewer levels.) Flat organizations have a ‘wide’ span of control and tall organizations have a ‘narrow’ span of control. While there are pros and cons with both tall and flat structures, a company’s structure must be designed to suit the business (the customer and markets) and in a way that fits with the workforce’s capability. Hierarchical vs flat management structures: A hierarchical or ‘tall’ structure has a longer ‘chain of command’. Employees are ranked at many different levels within the organisation; each level is one above the other. Like a pyramid, there will be less people at each level the higher up you go, usually with one chief executive at the top. Larger businesses will use this type of structure. The advantages of a hierarchical structure are: • • •

Authority and responsibility are clear and well defined Opportunities for promotion motivates employees Employees can specialise and develop expertise in their field

The disadvantages of a hierarchical structure are: • • • •

Communication between different departments may be less effective Bureaucracy can slow down decision making It may be more difficult for the business to adapt and change There could be rivalry between departments leading to decisions that benefit one team, instead of the organisation as a whole

A flat structure means that the business either has no management layers or where 'chain of command' is very short and staff level employees all report to one overall manager. This type of structure works in small businesses and those that need to be very flexible. The advantages of a flat organisational structure are: • • • •

Better communication and relationships between different roles Simple, faster decision making processes It is easier for the business to change and adapt Increase in employee responsibility levels

The disadvantages of a flat organisational structure are: • •

When employees don’t report to specific manager there may be confusion Employees may be less specialised and specific job functions may not be clear

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58 Green World Group • •

Long-term growth prospects may be stunted as a result of a flat structure It may not be feasible to maintain this structure as the company becomes larger

Staff Relationship The managing director's secretary reports to the MD and carries out his instructions by passing on his wishes to other directors and senior heads of department, but there is no "line" relationship between the secretary and those departments. There is no instruction from the secretary as her/his authority stems from the MD. A health and safety consultant reporting directly to a MD is not in a position to "instruct" heads of departments to carry out health and safety policies or instructions. Again, his/her authority stems from the MD and, in practice, he would advise heads of department of any changes in policy agreed with, and authorised by, the MD. It would be most unlikely in such circ*mstances for a departmental head to refuse to cooperate. Functional Relationship In many larger organisations, certain members of staff have a company-wide remit to carry out activities "across the board". Human resources departments often implement company appraisal plans which affect every department; internal auditors visit every department to carry out their work; and quality control inspectors and health and safety managers have a company-wide role in order to inspect and check procedures. In such circ*mstances, any defects discovered would normally be dealt with by reporting them to the departmental head rather than dealing directly with any individual members of the department. The various hierarchies and line, staff and functional relationships can create huge problems for any organisation. Office "politics" and protocols often obstruct communication, which is one of the keys to efficient management. Organisation for the Management of Health and Safety The management of health and safety is a function of management no less than the management of production, purchasing, sales, human resources, etc. The biggest stumbling block to inculcating the importance of good health and safety management in many organisations is the attitude of management itself. "It is expensive"; "It does not produce added value"; "It is not my responsibility"; "It is boring"; are cries of woe often voiced during any discussion of the subject. So far, we have looked at formal organisation, hierarchies and lines of authority. It should be a simple matter, then, to write health and safety instructions and implement those using the models so far discussed. But is it? In the real world, health and safety is not, unfortunately, a high priority. Informal organisations as often as not "water down" or even ignore the formal organisation's instructions. How can this state of affairs be altered? According to the HSE in "Successful Health and Safety Management" (HSG-65) the key

Unit ID1: Know – Workplace Health and Safety Principles (International)

59 Green World Group elements of successful health and safety management are the concepts of policy; organising; planning and implementing; measuring performance; reviewing performance; and auditing. Potential conflict between organisational goals and the goals of the individual It is imperative for any person to be sincere and goal-driven to be successful in life. One needs to have a dream and has to be confident and ambitious enough to nurture it over time, in order to transform it to reality. It would be naïve, however, to imagine that life would present a series of uniformly convenient situations to simply push individuals along in their road to success. Conflicting circ*mstances can, and often do, make an appearance as one moves through life. A prime example of such a situation would be when an individual perceives his/her job-oriented goals to be coming in the way of personal ambitions. However, personal goals and professional goals need not be looked upon as two opposing forces and a person, to attain success in life, needs to find a way to reconcile the two in a viable, effective manner. Clear-headed, methodical thinking should be one’s constant companion as one sets about in the quest of bridging apparent conflicts between personal and professional goals. To start off with, the personal goals of a person should always be within the realms of possibility, which again vary from one individual to another. A proper assessment of one’s own strengths, capabilities and weaknesses (preferably with the help of SWOT analysis) would be in order in this regard. While setting too modest goals for oneself can be self-demeaning, extravagant (and consequently, impossible) dreams can often frustrate people, simply because they cannot be achieved. Once a person has a fair idea about his own goals in life, one has to pursue such career paths that would ultimately help realize his/her personal ambitions. One needs to be extremely careful and selective while searching for jobs and should take up such a profession where it would be possible to successfully streamline personal aspirations with the goals of his/her organization. Individuals should be smart enough to assess the growth prospects that any line of employment has to offer and take up jobs accordingly. Reconciling personal and professional goals is not the sole responsibility of individuals, however. While recruiting candidates, organizations need to assess whether the profiles and the aspirations of applicants are in sync with the overall targets of a company. The role of employees in corporate houses needs to be clearly stated out, so that their contributions towards the realization of company goals can be properly monitored, or indeed, enhanced. While choosing and getting selected for just the right job can be a tricky task, people who manage to do the same are often the most successful ones in life. In the current age of ‘smart work’, the bridge between personal and organizational goals has to be done away with by every corporate individual. Landing up in the wrong profession, where personal growth plans are at loggerheads with company targets, inevitably results in discontent – both on the part of the concerned employee as well as the management. That, in turn, would lead to the worst possible scenario for any organization, namely, high attrition rates. In a nutshell, the ability to select the right job often proves to be instrumental in erasing out perceived differences between personal targets and professional ones. Individuals need to strike the right balance between their personal and work-lives to ensure a smooth progress through life. Focusing too much on personal development, neglecting official assignments, would

Unit ID1: Know – Workplace Health and Safety Principles (International)

60 Green World Group never be looked upon kindly by any organization. One must also ensure that (s)he is not spending all of his/her time and effort for fulfilling professional commitments, for that could result in the family life of the concerned person going for a toss. An ideal job would be one where employees would have ample scope to align their personal aspirations with organizational goals. It is high time that we got rid of the notion that personal goals and organizational goals are necessarily opposing forces. Selection of the right job, maintenance of a smart work-ethic and adjustments in lifestyle can help a person in overcoming the differences that seemingly demarcate these two sets of goals. After all, nothing could be better than a situation where an individual significantly contributes towards organizational growth and has enough opportunities to evolve as a person too. The integration of the goals of the organisation with the needs of the individual The need to effectively leverage the skills of employees is even more critical for small and mid-sized firms since most simply cannot compete with large companies when it comes to technology, physical infrastructure, or financial resources. To survive in today's marketplace, small to mid-sized businesses must find ways to be smarter, more productive, and more cohesive than their larger competitors. How can this be accomplished? Studies show a dramatic increase in both worker and business performance when an organization effectively sets and closely ties individual employee goals to the company's overall strategy. Increased Operating Margins: Employees who clearly understand their individual goals-and how they relate to those of your company-naturally become more engaged with their work. Once employees see how they can make a direct contribution to your company's success, they begin to focus on finding ways to work smarter and more efficiently. This boost in employee productivity will naturally lead to increased operating margins and profitability for your company. To achieve these results, your company must put a performance management process in place that: • • • •

Increases employee engagement with "SMART" goals Provides visibility up, down and across reporting levels Creates shared accountability between employees by "cascading" goals from one employee to another when relevant Communicates expectations clearly during every phase of goal completion

Quicker Execution of Company Strategy: Tighter goal alignment and goal visibility allows for quicker execution of company strategy by enabling your management team to more effectively allocate labor resources across various projects. By exposing redundant business initiatives, it also increases overall efficiency by ensuring employees are not duplicating the efforts of others. Plus, goal alignment strengthens the leadership at your company by allowing managers to: • • •

Understand more clearly all responsibilities associated with specific goals Eliminate redundancies across job titles Focus their staffs on your company's most pertinent goals

Reduced Employee Turnover: The business value of having employees engaged in their work cannot be overestimated. As proof, a recent Gallup poll showed that companies with large numbers of dissatisfied

Unit ID1: Know – Workplace Health and Safety Principles (International)

61 Green World Group workers experience greater absenteeism and lower productivity-as well as a 51% higher employee turnover rate2. Fortunately, clear goal alignment can remedy this situation by helping to create greater employee ownership in your company's ultimate success. Goal alignment also lets you establish a true pay-for-performance culture at your company by providing the foundation for closely linking reward systems with both individual and team performance. Setting Effective Goals for Your Employees and Your Company: To be effective, goals must serve both the needs of your company and those of your employees. For your company, goals must contribute directly to your short- and long-term business strategies. For your employees, goals must be clear, objective, and understandable or they will quickly become disengaged. To achieve "goal alignment" at your organization, you must first clearly communicate strategic business objectives across your entire company. Interdepartmental goal visibility can also help speed the process of alignment. By allowing managers to access and see the goals of other departments, your company can greatly reduce goal redundancies and conflicts throughout your organization. Additionally, many employee objectives are not entirely under the control of one individual. Enabling and even mandating that individuals assign some goals to two or more people increases engagement and shared accountability throughout the organization. Goal sharing also helps departmental heads find ways to better support each other, as well as identify areas where they may be inadvertently working against each other. Once company-wide goals have been established, managers can then set goals for their individual departments which clearly support your overall business strategies. Major job functions and responsibilities can serve as a general framework when writing employee goals. Managers must remember to communicate to staff members not only what is expected of them, but how each task is to be completed. For example, a customer service rep might be given the goal to boost customer retention (the "what") by improving customer service (the "how"). To be most effective, goals should also pass the S.M.A.R.T. test and be specific, measurable, attainable, relevant and timely. This provides clarity up front to employees who will ultimately be evaluated against these goals. Leveraging Technology to Achieve Goal Alignment: As you've already learned, goal alignment is a powerful management tool that not only clarifies job roles for individual employees, but one that also demonstrates to workers their ongoing value to your organization. When you engage employees with their work through goal alignment, they become more committed to your company and achieve higher levels of job performance. However, fully engaging employees in this manner only becomes possible when individual workers understand-and accept-your corporate vision and goals. To accomplish this sometimes difficult task, company managers need tools that can help them communicate and align goals across your organization with greater clarity and efficiency. Fortunately, a new breed of web-based, automated performance management system that includes goal alignment is now available to companies of all sizes. And today, small and mid-sized businesses are increasingly using these automated systems to increase productivity-and improve their bottom lines. The Top Reasons to Automate your Performance Management System

Unit ID1: Know – Workplace Health and Safety Principles (International)

62 Green World Group By automating the process of creating, cascading, monitoring, and measuring performance against goals, your company will enjoy a wealth of benefits. Here are the top reasons to implement such a system at your company: 1. 2. 3. 4. 5. 6. 7.

Establish a more effective and efficient goal-setting process Speed completion of corporate goals exponentially Boost employee cooperation company-wide with shared goals Accelerate performance improvements with clear, continuous feedback Gain powerful insights by using collected data more effectively Improve the quality and relevance of feedback with real-time coaching Improve your company's bottom line

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Establish a more effective and efficient goal-setting process: Often the task of setting companywide goals can be even more difficult than actually accomplishing them. By deploying an automated performance management system, your company can significantly streamline its entire goal-setting process. For instance, the best performance management solutions include technology to help managers set goals that are specific, measurable, attainable, relevant and time based-or S.M.A.R.T. for short. Many automated systems also offer role-based goal libraries, developed in conjunction with organizational development experts, which include lists of appropriate goals for specific job titles. These goals can then be easily customized for your particular needs. Finally, performance management systems can help keep the goal-setting process on schedule by sending automatic reminders to managers and reporting their progress back to you. Exponentially speed completion of company goals: By providing everyone at your company with the same vision of success, automated performance management solutions that include goal alignment help your organization achieve its corporate goals quicker. These systems increase goal visibility and boost shared accountability, allowing both your employees and managers to: o Understand how their individual goals match up with your company's business objectives o Achieve more-in less time-by providing greater visibility into both individual and company-wide goals Boost employee cooperation company-wide with cascading goals: No employee is an island when it comes to accomplishing your company-wide goals-most can be achieved only through the combined efforts of many people. By cascading and aligning goals across multiple employees, you can create a corporate atmosphere of shared responsibility that will drive the success of your company. An automated performance management solution can greatly simplify the task of establishing these shared goals and help keep your entire organization working together toward the same objectives. With an automated solution, goals can be easily aligned and cascaded for shared accountability. Accelerate performance improvements by tying reviews directly to goal performance: If you want to improve worker performance, you must provide employees with clear and consistent feedback. Most managers rely heavily on memory to evaluate employees. This leads to a disproportionate consideration of recent actions and performance. An automated goal management solution that pulls performance data on each goal directly into the employee appraisal allows for more accurate and fair employee evaluations. Additionally, leading automated performance management systems include writing and goalsetting tools to help managers communicate their thoughts more effectively so they can easily provide meaningful, concise goals and reviews.

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63 Green World Group

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Automated systems like Success Factors let managers more easily stay in touch with employees, allowing them to immediately reinforce progress or to coach workers to get their performance and deadlines back on track. Gain powerful insight by using collected data more effectively: With most paper-based systems, employee goal plans and reviews usually get filed away somewhere, never to be seen again. But an automated solution collects feedback and other valuable information and stores it conveniently online where can be utilized by authorized personnel. Who has and has not set their goals? Which teams are behind their milestones and need extra attention? By making this important data available company-wide, managers can always find the information they need to make the best business decisions possible. Leading automated systems allow you to: o o o o o

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Track your company's overall progress against its goals Identify key strengths and weaknesses, organizational skills, total-rewards drivers, and other employee performance trends Determine competency gaps and pinpoint any missing organizational skills Closely monitor any rise (or fall) in employee ratings Assess employee rating distributions across the company, so you can appropriately reward your best performers

Improve the quality of employee feedback with real-time coaching: Many automated solutions include integrated coaching tools that offer professional advice on promoting individual employee achievement. Managers receive specific suggestions for coaching employees on office communications, interpersonal skills, and other competencies. These tools not only make it easier for managers to deliver actionable feedback, but also improve its quality and relevance. At the end employees have a clearer understanding of what they need to do to be successful at their jobs. Improve your company's bottom line: Automating your performance management process can provide huge returns for your company, generating thousands of dollars annually through increased employee productivity, improved retention, and compensation optimization. The following tool will help you estimate the typical bottom-line savings your organization can expect to realize each year. Automation can bring about dramatic cost savings by impacting the three cost figures in the above formula in the following ways: Increased Operating Margins via Improved Productivity • • • •

Align employees to corporate goals Increase daily engagement Improve performance accountability More efficient employee review process

Cost Savings via Better Compensation Planning • • •

Reward top performers Remove "blanket" bonus plans Real-time view of budget allocations

Cost Savings via Higher Retention •

Create meaningful feedback

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64 Green World Group • ▪

Understand development needs Provide fair compensation adjustments

The internal influences on health and safety within an organisation The internal organisation consists therefore of the four Ps - People; Procedures; Premises; and Plant and substances. If the organisation has eliminated or minimised risk in relation to premises, plant and procedures, it can concentrate its energies on the fourth element - people. They in turn are influenced by a number of internal pressures - finance, production targets, and trade unions. •

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Finance: Setting up and running a company requires considerable financial investment. Once established, the company needs to generate more income than it expends on running costs, i.e. cost of premises, plant, wages, insurance, etc. To do this, the company will set annual budgets specifying the amount of money available to each department to support its running costs, and setting production targets to be attained. When budgets are being pared down to make economies, very often some health and safety requirements will be "short circuited". It is essential that the person responsible for health and safety is prepared to fight his corner when budgets are under discussion, to ensure that there are sufficient funds available to support health and safety requirements. Lack of sufficient funding will inevitably lead to a lessening of the resources required to administer health and safety effectively. To the uninitiated, health and safety costs might appear minimal and could be easily absorbed in departmental administration costs. To operate on this basis would be a recipe for financial disaster and could lead to costly prosecutions for non-compliance. The following headings give some idea of the possible range of expenditure. It is worth examining accident costs as an example of how spiraling costs can result from a seemingly comparatively minor incident. Costs of Accidents: Most accidents are minor in nature but may stop production for some time and lead to the injured employee being away from work for a few days. This involves the cost of lost production, and sick pay, etc. A major accident, on the other hand, can lead to a prolonged absence from work for the employee involved, and the costs of an investigation during which equipment and machinery may be at a standstill. Classifying Accidents: An accident is an unplanned event - it may involve personal injury, damage to property, both or neither. Accidents can be classified into four groups for cost purposes:

Class A: Those causing no injury. Class B: Those causing no injury but damaging property. Class C: Those causing injury but no property damage. Class D: Those causing injury and property damage

Unit ID1: Know – Workplace Health and Safety Principles (International)

65 Green World Group Examples: a) Steps on banana skin - does not slip. b) Steps on banana skin - slips - drops cup which breaks. c) Steps on banana skin - slips - sprains ankle. d) Steps on banana skin - slips - sprains ankle - drops cup which breaks. Direct and Indirect Costs: Costs of accidents may be split into two types: o o

Those relating directly to the incident Those relating indirectly to the incident

Some examples are given below: •

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Class A Accident o Direct Costs - None o Indirect Costs - Negligible. Possibly the cost of lost production during investigation of the "near- miss". Class B Accident: o Direct Costs: Cost of damaged property, cost of replacement property, cost of repair to property. o Indirect Costs: Waste of material and time spent on job to date, downtime awaiting repair & downtime awaiting replacement. Class C Accidents: o Direct Costs: Costs of medical treatment - first aid, ambulance, etc. Compensation payments & fines for breach of statutory duty o Indirect Costs: Lost time due to: workers stopping to assist, sympathise or discuss the incident, machinery stop- page to free victim, supervisors assisting victim, persons investigating accident, rearrangement of schedules, preparation of reports, attendances at courts of law hospital visits, visits to relatives. Lost profit due to loss of victim's production, cost of training replacement, reduced productivity, wages and overtime failure to meet production dates, cancellation of orders, loss of future orders. Lost overheads due to higher insurance premiums, plant and staff idle, cost of plant hire. Incidental costs: difficulty recruiting good staff poor staff causing increase in waste poor workers having more accidents.

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Class D Accidents: These are likely to include, at least, all the costs involved in Class B and C accidents. Budgets: A budget based on company-wide requirements is much easier to administer and control. Training costs may sometimes be shared with other training budgets. If health and safety budgets are administered departmentally, there is a huge temptation either to ignore health and

Unit ID1: Know – Workplace Health and Safety Principles (International)

66 Green World Group

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safety requirements or to divert health and safety monies to priorities perceived as being more urgent. Production Targets: The attainment of production goals subjects operatives to intense pressures which can lead to stress and an increase in incidents and accidents in the workplace. Indeed, it is well-recognised that increased competition, longer hours, increased workloads, new technology and new work patterns are prominent in the list of occupational stressors. It is equally well-known in industrial psychology that in a "conveyor-type" operation, the speed of the belt should be geared to the capacity of the slowest operator. The pressures on management to attain production targets can be translated into action on the shop floor in a number of ways in order to increase production: Make existing workforce work longer hours. Increase size of existing workforce. Pay incentive bonuses to existing workforce to increase daily rate of production. Reduce quality of actual goods by using inferior materials. Apart from increasing the size of the workforce, the above measures can induce a "corner- cutting" mentality in the workforce, e.g. longer hours bring fatigue and a lessening of attention to safety factors. Payment of bonuses for increased production can lead to disregard for safe systems of work which may slow down the speed at which the worker can operate. Increased production expectations may cause anxiety in the slower worker, especially if part of a team, and again short cuts are taken in an effort to keep pace with colleagues. Reducing quality may necessitate the introduction of new systems of work, leading to stress. All of these can lead to unsafe acts which may have considerable effect on the company's health, safety and accident record. Trade/Labour Unions: Earlier, we noted that trade unions exerted an external influence on organisations but they also exert considerable internal influences. Trade union safety representatives are involved as members of safety committees, and as such are actively involved in improving health and safety in the workplace. They have a dual role in that they can be involved in the formulation of policy (in the more enlightened companies), but they also have a policing role in as much as they can monitor management's performance. They carry out the following functions: - Investigating potential hazards and dangerous occurrences. - Examining the cause of accidents. - Investigating health and safety complaints from employees they represent. - Making representations to the employer on complaints, hazards and accidents. Carrying out inspections of the workplace. - Consulting with HSE inspectors on behalf of the employees they represent. - Receiving certain information from the HSE inspector. Employee representation has been widened to include employees who are not members of a trade union. These employees will be represented by "elected representatives of safety". Safety representatives are protected by legislation from victimisation by employers. Organisational goals and culture: An organizational culture that supports safety is essential for the prevention of injuries and illness. Management systems and programs can provide an effective safety framework; however, it ultimately is the worker's perception of the value of safety to himself and the importance of safety to the organization that governs safety performance.

Unit ID1: Know – Workplace Health and Safety Principles (International)

67 Green World Group Simply put, for true performance, you need both the underlying systems and an organizational culture that supports them. This is often called "safety culture." Once you've met the basic health and safety program requirements, you can focus on the following: -

Active health and safety management Planning for safety Leadership and commitment Supervising for health and safety Engaging workers Due diligence

The external influences on health and safety within an organisation • Legislation: Businesses owe a duty of care to safeguard health and safety at the workplace and they must have an awareness of the main provisions of the Health and Safety at Work Act and subordinate regulations relevant to their activities. The primary purpose of the Health and Safety at Work Act should be to help prevent death, injury and ill-health within the workplace – not simply to prosecute offenders – and this objective should not be forgotten, despite the increased amount of health and safety prosecutions, particularly of individuals, in recent years. In order to reduce the risk of prosecution and maintain a preventative approach to health and safety, businesses should: o Develop and regularly review their health and safety policies o Properly assess the risks posed by their activities o Consult their employees about anything that could significantly affect their health and safety at work o Seek the advice of competent health and safety professionals to ensure that they are discharging their legal duties. Failure to comply with these requirements can have serious consequences – for both organisations and individuals. Sanctions include fines, imprisonment and disqualification. Some of the main pieces of legislation applicable have been summarized below; which if followed in true sense, will significantly improve the H&S of the organisation.

Legislation Requirement The Management of Health • Making 'assessments of risk' to the health and and Safety at Work Regulations safety of its workforce, and to act upon risks they 1999 identify, so as to reduce them (Regulation 3) • Appointing competent persons to oversee workplace health and safety Also known as the 'Management • Providing workers with information and training Regs', these came into effect in on occupational health and safety

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68 Green World Group 1993. Main employer duties under the Regulations include:

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Operating a written health and safety policy.

The Workplace (Health, Safety and Welfare) Regulations 1992

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Adequate lighting, heating, ventilation and workspace (and keep them in a clean condition) Staff facilities, including toilets, washing facilities and refreshment Safe passageways, i.e. to prevent slipping and tripping hazards. Make a risk assessment of workstation use by DSE users, and reduce the risks identified Ensure DSE users take 'adequate breaks' Provide regular eyesight tests Provide health and safety information Provide adjustable furniture (e.g. desk, chair, etc.) Demonstrate that they have adequate procedures designed to reduce risks associated with DSE work, such as repetitive strain injury (RSI).

• The main provisions of these Regulations require employers to provide: The Health and Safety (Display Screen Equipment) Regulations 1992 The main provisions here apply to display screen equipment (DSE) 'users', defined as workers who 'habitually' use a computer as a significant part of their normal work. This includes people who are regular users of DSE equipment, or rely on it as part of their job. This covers you if you use DSE for an hour or more continuously, and/or you are making daily use of DSE. Employers are required to: The Personal Protective Equipment at Work Regulations 1992

• • • • • • •

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The main provisions require employers to:

• The Manual Handling Operations Regulations 1992 The main provisions of these Regulations require employers to:

• •

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Ensure that suitable personal protective equipment (PPE) is provided free of charge "wherever there are risks to health and safety that cannot be adequately controlled in other ways." The PPE must be 'suitable' for the risk in question, and include protective face masks and goggles, safety helmets, gloves, air filters, ear defenders, overalls and protective footwear; and Provide information, training and instruction on the use of this equipment. Avoid (so far as is reasonably practicable) the need for employees to undertake any manual handling activities involving risk of injury Make assessments of manual handling risks, and try to reduce the risk of injury. The assessment should consider the task, the load and the individual's personal characteristics (physical strength, etc.) Provide workers with information on the weight of each load.

Unit ID1: Know – Workplace Health and Safety Principles (International)

69 Green World Group The Provision and Use of Work Equipment Regulations 1998 The main provisions require employers to:

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The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Under these Regulations, employers are required to report a wide range of workrelated incidents, injuries and diseases to the Health and Safety Executive (HSE), or to the nearest local authority environmental health department. The Regulations require an employer to record in an accident book the date and time of the incident, details of the person(s) affected, the nature of their injury or condition, their occupation, the place where the event occurred and a brief note on what happened. The following injuries or ill health must be reported:

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The Working Time Regulations 1998 (as amended) These Regulations implement two European Union directives on the organisation of working time and the employment of young workers (under 18 years of age). The Regulations cover the right to annual leave and to have rest breaks, and they limit the length of the working week. Key

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•

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Ensure the safety and suitability of work equipment for the purpose for which it is provided Properly maintain the equipment, irrespective of how old it is Provide information, instruction and training on the use of equipment Protect employees from dangerous parts of machinery. The death of any person Specified injuries including fractures, amputations, eye injuries, injuries from electric shock, and acute illness requiring removal to hospital or immediate medical attention 'Over-seven-day' injuries, which involve relieving someone of their normal work for more than seven days as a result of injury caused by an accident at work Reportable occupational diseases, including: Cramp of the hand or forearm due to repetitive movement Carpal tunnel syndrome, involving hand-held vibrating tools Occupational asthma Tendonitis or tenosynovitis (types of tendon injury) Hand-arm vibration syndrome (HAVS), including where the person’s work involves regular use of percussive or vibrating tools Occupational dermatitis Near misses (described in the Regulations as 'dangerous occurrences'). The HSE has produced a list of the kinds of incidents regarded as 'dangerous occurrences. A 48-hour maximum working week. Employers have a contractual obligation not to require a worker to work more than an average 48-hour week (unless the worker has opted out of this voluntarily and in writing) Minimum daily rest periods of 11 hours, unless shift-working arrangements have been made that comply with the Regulations An uninterrupted 20-minute daily rest break after six hours' work, to be taken during, rather than at the start or end of the working time.

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70 Green World Group protections for adult workers include:

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Extra protection is available to young workers (workers aged 15 to 18). In particular, young workers: Are entitled to a daily uninterrupted rest break of 30 minutes after working more than 4.5 hours Are entitled to an uninterrupted 12-hour break in each 24 hour period of work. Are entitled to weekly rest of at least 48 hours in each seven-day period (and unlike adult workers, they cannot be made to take this rest over two days averaged over two weeks) Cannot normally work more than eight hours a day or 40 hours a week. These hours cannot be averaged out. There is no 'opt-out' for young workers. All full-time workers are entitled to 5.6 weeks' paid holiday each year, reduced pro-rata for parttime worker. These basic limits on the working week make a vital contribution to health and safety at work. Employers have the right to ask their staff to enter into a written agreement to opt out of the 48hour limit, for a specific period or indefinitely. However, if such an agreement is opted into, a worker is entitled to bring the agreement to an end without the employer's consent.

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Enforcement agencies: There are a wide range of activities that are typically performed by enforcement agencies: o Promotion of good standards of health and safety at work o Inspection of all places of work and monitoring of compliance with health and safety laws o Investigation of serious accidents, causes of ill health and complaints o Undertaking and sponsoring research on health and safety at work o Developing and publishing codes of practice, guidance and information documents o Providing an information service o Developing new laws and standards on health and safety at work.

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Courts/tribunals: If a company is found to have inadequate standards of health and safety, matter may be brought to courts and the company may have to face civil or criminal case or both. Courts; depending upon circ*mstances; may impose financial penalties, imprisonment or remedial orders by holding the companies accountable as appropriate.

Contracts: Drafting contractor’s agreement can be quite tricky if you do not seek the appropriate legal advice and guidance. Ensure a contract lawyer looks over your proposed contractor’s agreement or simply have him or her draft it for you. The Workplace Health and Safety clause is incredibly important in any

Unit ID1: Know – Workplace Health and Safety Principles (International)

71 Green World Group contractor’s agreement, as it outlines the duties and rights of workers on your site. It is essential that workers (employees, contractors, agents, etc.) are made aware of their rights and responsibilities. •

Although these obligations may be different in different countries and are subject to what a court considers reasonable, the duties typically include the following: o Taking reasonable care for personal wellbeing/safety o Ensuring that other persons are not harmed by the actions/inactions of workers o Comply with the orders/instructions as appropriate and reasonable practicable o Comply with any workplace policy/procedure that is aimed at increasing safety of workers. Your contract lawyer should draft the Agreement so that the contractor is required to take responsibility for itself and its workers. Some important points to consider in drafting contracts include: o Have your contract lawyer include a sub-clause that requires the contractor and its agents/employees to comply with any WHS legislation, as well as any safety procedures or directions during the term of the contract. o Both parties should guarantee that all equipment is safe and used in accordance with any applicable safety procedures. Have your contract lawyer reciprocate this sub-clause so that both parties are responsible for their own tools. o If something happens to the contractor’s staff, who will take responsibility? If your contract lawyer inserts a clause that makes the contractor responsible for its own staff, you will more adequately protect the interests of the business by decreasing its liability. o Each Party must ensure that before its employees, agents and subcontractors perform the Services they receive adequate training in security, workplace health and safety and risk management. o Have the contract lawyer insert a sub-clause that warrants the removal of any contractor (or its employees) if the Principal becomes concerned about the safety of other workers because of their misconduct. o There are many policies and procedures that are designed to lower the risk of injury on the workplace, and by including a sub-clause that enables the Principal to impose those policies the overall risk of injury is decreased. o Include a sub-clause that shares the reporting responsibilities between the Principal and the Contractor. If your Contractors Agreement does not include it already, you should consult your contract lawyer.

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Clients/contractors: For all contracts, good practice clients will: o Use health and safety responses to pre-tender questionnaires throughout the tender, clarification and award processes o Create a culture that fosters cooperation, co-ordination, communication and competence, avoiding confrontation based on narrow interpretations of the contract, both internally and with the contractor o Consistently manage their own dealings with the contractor and expect the contractor to do the same with their subcontractors o Have clear contract health and safety management processes and accountabilities, including regular active monitoring and enforcement of performance standards where appropriate.

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72 Green World Group Good practice contractors will consistently: o o o o •

Trade unions: HSE recognises that "workplaces where workers are involved in taking decisions about health and safety are safer and healthier workplaces" Union H&S representatives make a difference because they: o Help reduce injuries at work o Help reduce the levels of ill-health caused by work o Encourage greater reporting of injuries and near-misses o Help develop a more positive safety culture in the organisation. Typical role of trade unions include: o o o o o o

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Identify hazards and implement risk based controls for all their activities Create a culture which fosters cooperation, co-ordination, communication and competence, avoiding confrontation based on narrow interpretations of their contract Both internally and with the client - adopt up-to-date regional and global health and safety standards Be good practice clients for their own subcontractors.

Negotiate safe working conditions for their embers Disseminate collective bargaining agreements regarding OSH to all union members. Educate shop floor union leaders about OSH legislation, codes of practice and support their actions in ensuring members and employers compliance Take active part in the formation of OSH legislation and policies as well as monitor and evaluate their implementation. Identify, expose and report abuses of workers working conditions. Organize awareness raising campaigns through multiple channels to educate members, employers, public authorities and the population at large about the importance of improved OSH working conditions.

Insurance companies: Insurers play a major role in helping organisations to protect against and manage health and safety risks by providing advice and guidance on assessing and managing risk, and incentivizing good behaviour. Insurers complement the regulatory system, but are not themselves regulators – they deal with civil, not criminal, liability. Insurers have identified following key measures organisations can adopt to manage their health and safety risks effectively. These measures build on the HSE's regulations on the management of health and safety at work. - Ensure senior management's commitment to and leadership on health and safety: Organisations should adopt the principles of the HSE and the other applicable legal guidance on leading health and safety at work, which encourage senior management's leadership of, and worker involvement in, health and safety practices. - Obtain competent assistance: Organisations are required to appoint one (or more) competent people to assist them in complying with health and safety requirements. A person is regarded as competent if they have relevant and sufficient health and safety training, experience and knowledge. Depending on the size and nature of your organisation, your competent person may be an internal member of staff or an external consultant. Many

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organisations, such as small businesses and those in the voluntary sector, will be able to appoint an internal staff member as a competent person. - Adopt a structured approach: Organisations are required to make appropriate arrangements to ensure the effective planning, controlling and review of any preventive and protective measures that are put in place. These arrangements must be recorded (usually as part of the health and safety policy) if the organisation has five or more employees. - Complete suitable and sufficient risk assessments: Organisations are required to establish relevant performance standards for the control of specific risks. Suitable and sufficient risk assessments can determine the extent of compliance with health and safety law and associated guidance, identify any further measures that need to be implemented, and assist in the defence of claims. - Foster a positive culture: Once the relevant performance standards have been identified they need to be implemented and followed to successfully prevent accidents and disease. Competing demands between productivity and safety, employee perceptions of bureaucracy, and ineffective safety leadership all impact on the safety culture within an organisation. Organisations not only need to define arrangements to control the particular hazards they face, but must also get employees to agree that those arrangements are necessary and workable. Public opinion: Public reaction to risk often appears to be at odds with scientific estimates. Although risk may technically be defined as ‘probability times severity of harm’, the suggestion that a hazard poses an annual risk of death of ‘one chance in x’ may cause anything from near panic to virtual indifference. Perception of risk varies according to the target, gender, value system and the way in which the different risks are presented. Reactions to risks depend also on the different type of risk: they can be voluntary or involuntary, natural or man-made or possess other characteristics. To communicate risk in an effective way, it is important to understand the reasons behind these variations, perceptions and biases, a sense of outrage is most commonly triggered if risks are perceived: - To be involuntary (e.g. exposure to pollution) rather than voluntary (e.g. smoking) - To be inequitably distributed (some benefit while others suffer the consequences) - To be inescapable even if personal precautions are taken; - To arise from unfamiliar or novel sources - To cause hidden and irreversible damage, such as becoming sick many years after exposure to a risk factor - To pose some particular danger to small children or pregnant women or more generally to future generations - To cause death (or illness) arousing particular dread - To damage identifiable rather than anonymous victims - To be poorly understood by science - To be subject to contradictory statements from responsible sources (or, even worse, from the same source).

These factors can be interdependent and strengthen one another Outrage must be carefully managed. If hazard is high and outrage low (e.g. in the case of smoking), people must be alerted. If hazard is low and outrage high (e.g. in the case of electromagnetic fields), outrage must be managed with caution as simple reassurance can upset people. The challenge is to narrow the distance between the risk transmitted by the communicator’s message and the actual risk. Science claims a certain degree of uncertainty about many risks and the magnitude of many risks is not fully known. Furthermore, not everyone is faced with the same degree of risk, which is often unequally distributed in the population. For these and other

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74 Green World Group reasons, risk management and communication are very complex tasks relying on variables such as timely and correct information, empathy, candour, public trust in authorities and effective policies.

2.2 Leadership The meaning of safety leadership Safety leadership is defined as the process of interaction between leaders and followers, through which leaders can exert their influence on followers to achieve organizational safety goals. What most often confuses people is the concept of leaders and followers. Too often, the terms ‘leadership’ and ‘management’ are used interchangeably. The problem here is that many do not recognize the critical differences between these roles and the vital functions of each in building strong safety performance. Specifically, managers exist as part of the organization’s structural hierarchy and exert formal influence over their subordinates, while leadership is a voluntary activity by which an individual exerts social influence over coworkers by setting an example of appropriate behavior to elicit shared goals and effect positive change in the organization. Certainly one individual can be both a manager and a leader, but this only occurs through conscious effort to effectively perform both roles. Types of safety leadership What is Authentic Leadership

Leadership elements

Whether you've recently been promoted to a leadership position, or you've been leading your team for years, it can often seem tricky to discern what being a "good" leader actually means. When you're trying to determine the components of a successful leader, it's easy to fall back on certain terms we commonly associate with leadership -- words like "assertive", "inspirational", and "confident". But what about being "authentic"? While the idea of authentic leadership is not a new concept -- it has its roots in Ancient Greek philosophy, which posited that authenticity is an important state of being and enables you to control your own destiny -- it can certainly feel like a novel component of leadership today. I mean, what does "being true to yourself" have to do with anything? In fact, research has shown authentic leadership serves as the single strongest predictor of an employee's job satisfaction, organizational commitment, and workplace happiness. To ensure long-term happiness and productivity out of your team, then, it's critical you demonstrate a level of authenticity as a leader.

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75 Green World Group There are four distinct components to the Authentic Leadership Theory. Let's dive into those, now. Self-Awareness As a leader, it's critical you have a strong sense of self, including your strengths, weaknesses, and values. It's impossible to demonstrate authenticity as a leader if you're unsure of who you are or what you stand for in the first place. Additionally, by displaying both your strengths and weaknesses to your team, you're able to demonstrate that you have nothing to hide, and don't play games. In this way, you're better equipped to build trust among your team, and when your employee makes a mistake, she'll feel more comfortable admitting her error to you. Self-awareness is also critical for you to grow as a leader, and strengthen other components of authentic leadership. For instance, perhaps you've noticed you don't do a great job at displaying transparency with your team. By acknowledging this weakness, you can take steps to rectify it. In Bruce J. Avolio and Tara S. Wernsing's essay Practicing Authentic Leadership, they outline three ways authentic leaders should practice self-awareness: • • •

Seek feedback from the environment Use self-reflection to better understand your behavior Practice regular self-observation to stay aware of your feelings at all times

Self-awareness is vital for acting appropriately as a leader, and feeling empathy for how your employees might perceive your feedback. For instance, perhaps you feel a conversation you had with your team was demoralizing -- you'd just received some disappointing news about your team's performance, and you'd spoken out of frustration. It's critical you seek feedback from your environment by asking your team what you can do to help them improve moving forward. Additionally, perhaps you can mitigate these issues in the future by regularly practicing self-observation, so you're able to notice, in the moment, "I am very frustrated right now, so I will wait until I am calm to have this conversation with my team." Relational Transparency Passive aggression, subtle messaging, and convoluted feedback have no place in leadership. To truly foster authenticity, it's critical you remain genuine, straightforward, and honest with your team. Let them know where they stand -- if they mess up, tell them. While it might seem counterintuitive -- "How will I become close to my team if I am often providing constructive rather than positive feedback?" -- it works in your favor in the long-run, as your employees trust that you are not "hiding" your true feelings regarding their performance. Transparency and honesty must be encouraged from the leadership level if you want your business to be successful. For instance, when Former President and CEO of Ford, Alan Mulally, began working at Ford,

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76 Green World Group he implemented a system in which business leaders would produce color-coded charts at each of their meetings -- green to signify success, red to signify failure. At the time, Ford was forecast to lose 17 billion that year. At the meeting, however, Mulally noticed every chart was green. He recognized that Ford's culture was one in which leaders hid problems, and avoided transparency out of a fear for job safety. When one leader, Mark Fields, handed over a chart with red on it -- due to a production issue -- Mulally began clapping. His reaction signified the concept that failure can be seen as an exciting opportunity for growth, and honesty should be always rewarded. The following week, he saw charts varying from green to yellow to red. The point is, authentic leadership must start with you displaying behavior you hope to see in your employees, as well. If you aren't transparent and honest, how can you expect your employees to come forward with problems when they arise? Balanced Processing A leader needs to make decisions and stay true to her decision in the face of opposition -- but she must also be capable of receiving and considering alternative viewpoints before choosing a plan of action. When making major decisions, it's important you ask for alternative opinions and remain open to discussion. While it's important you stick to your values, it's equally critical you seek out opposing viewpoints, which can help you see flaws in your initial course of action, or enable you to strengthen your argument by understanding all points of view. Additionally, if you want to be an authentic leader, it's critical you create an environment in which employees feel both safe and encouraged to share their opinions. This ties back to self-awareness -- you must be self-aware enough to accept that your opinion, by itself, is likely biased or partial. By collecting outside feedback, you're able to see more potential weaknesses in your decision. Internalized Moral Perspective (“Do the right thing”) An authentic leader needs to know when to put the needs of the company and its customers ahead of herself and her team. Ultimately, a leader should be focused on doing the right thing for the long-term success of the business -- not herself. Additionally, it's critical a leader have strong ethical values and integrity, and exercise these traits even in the face of tempting shortcuts. For instance, let's say your employee comes to you with a "make money quick" scheme -- his idea is to make it difficult for customers to know how to cancel their subscription, so they are forced to keep paying unless they call up customer support.

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77 Green World Group As a leader, it's important you recognize the downfall of this type of decision. While it could temporarily help boost your team's numbers, it's not a decision made out of integrity or fairness for your customer, and won't result in lasting loyalty. What is Resonant Leadership? We are being inspired by great leaders to succeed and innovate in ways we had not anticipated. When people work with successful leaders who bring out the best in them, we consider building resonant leadership. Resonant leaders inspire others through consistent, positive relationships and emotions. It is precisely what we mean when we depict somebody who causes us to change our organizations. Just like everything else, leadership also comes in many different leadership styles that one may choose to follow. It's just an example of what works best, not an example of right or wrong for the organization. Leaders can impact the emotional states of the people around them. They will have a positive effect, pulling everyone onto the identical upbeat wavelength. Or they'll create dissonance, where their negativity starts affecting others. Resonant leadership is an idea coined by Daniel Goleman. Resonant leaders work on emotional intelligence to direct their feelings to help a group meet its goals. Resonance is the ability to synchronize with one another; thus, resonant leadership can adjust the needs to a team of people. When talking about top managers, according to psychologist and best-selling author David Coleman, emotional intelligence (EQ) is two times vital as skills and IQ. Successful leadership is not about who created a product, who is the brightest, or who has most skills; it is about the relationship that a leader has with his team members. Resonant leaders have a higher degree of EQ and the ability to connect with their teams. Their employees trust them, even more, when leaders care for their employees during downsizing times, challenges, and personal crises. Leaders build unity within a team and motivate employees to follow a goal, even when the situation is highly stressful. For instance, if you strike a glass containing a small amount of water, it will resonate with a particular frequency, causing other glasses to resonate. Resonant leaders are aware that their actions can impact others and work on emotional intelligence to guide and help others.

There are four styles of Resonant Leadership: 1. Visionary

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78 Green World Group Visionary leaders can see the organization's overall picture, and share it with their employees, encouraging them to work together to achieve the team's goals. Everyone recognizes the importance and significance of your work in this leadership style. If they appreciate the big picture's aim, they will be actively sticking around a job to achieve it. 2. Coaching The coaching leadership style most frequently occurs in one-on-one communications. This leadership style focuses on the personal development of employees. It helps leaders show a genuine interest in individuals, builds connections, grows trust, and leads to higher levels of motivation. The leadership style of coaching can bring more motivated employees and better results. This approach builds consistency by connecting what people want with the objectives of the organization. 3. Affiliative The affiliative leadership style is about building relationships and working together. Affiliative leaders can boost employee morale by giving value to the employees, and their feelings by using empathy, a crucial skill of emotional intelligence. In a team, you can use this style to fix tensions, help during stressful times, or improve connections. In the long run, the collaborative relationships that this style creates will boost efficiency and productivity. 4. Democratic The democratic leadership style depends on the team's knowledge to provide feedback or cooperate in the decision-making process. Leaders who use this style need many skills in emotional intelligence, including teamwork and communication, conflict management, and control. They always communicate easily, as well as great listeners. Empathy is essential, particularly for understanding the thoughts and feelings of a diverse group. This style creates awareness through valuing feedback from employees, and by participating through engagement. Savvy leaders use this leadership style to build buy-in or consensus and to get valuable information from team members. What is Transformational Leadership? Transformational leadership inspires people to achieve unexpected or remarkable results. It gives workers autonomy over specific jobs, as well as the authority to make decisions once they have been trained. Some of the basic characteristics of transformational leadership are inspirational, in that the leader can inspire workers to find better ways of achieving a goal; mobilization, because leadership can mobilize people into groups that can get work done, and morale, in that transformational leaders raise the well-being and motivation level of a group through excellent rapport. They are also good at conflict resolution. All of these traits make transformational leadership a good fit for many types of business.

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79 Green World Group Transformational leaders are sometimes call quiet leaders. They are the ones that lead by example. Their style tends to use rapport, inspiration, or empathy to engage followers. They are known to possess courage, confidence, and the willingness to make sacrifices for the greater good. They possess a singleminded need to streamline or change things that no longer work. The transformational leader motivates workers and understands how to form them into integral units that work well with others. Transformational leaders specialize in: • • • •

Working to change the system Solving challenges by finding experiences that show that old patterns do not fit or work Wanting to know what has to change Maximizing their teams’ capability and capacity

Transactional leaders do the following: • • • •

Work within the system Start solving challenges by fitting experiences to a known pattern Want to know the step-by-step approach Minimize variation of the organization

History of transformational leadership: The term “transformational leadership” was coined by sociologist James V. Downton in 1973. Leadership expert James Burns defined transformational leaders as those who seek to change existing thoughts, techniques and goals for better results and the greater good. Burns also described transformational leaders as those who focus on the essential needs of the followers. Examples of transformational leadership: Transformational leaders excel in a variety of sectors. Here are notable business leaders who used the transformational style. •

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William Edwards Deming: William Edwards Deming is known as the father of statistical quality control. After earning a doctorate in mathematics and physics at Yale in 1928, he spent most of his career working or consulting for the U.S. government. During World War II, Deming taught statistical process control techniques to military production workers. After the war ended, the U.S. Department of the Army sent Deming to Japan to study agricultural production and related problems. He convinced Japanese officials of the potential for industrial uses of statistical methods. Deming’s goal was to have Japan become a world industrial power in five years. Japan did it in four. Deming was asked to do the same thing for U.S. manufacturing firms, but his methods did not take root until the 1980s. Peter Drucker: Peter Drucker was a professor and management consultant among other things. He predicted some of the 20th-century’s biggest changes, such as the Japanese rise to a world economic power, the age where people would need to learn in order to keep their jobs or get ahead, and the importance of marketing and innovation. He coined the term “knowledge worker.”

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Drucker continually called for balanced management, which called for a balance between shortterm needs and long-term plans, as well as profitability and other elements of business. He was very interested in how to mesh innovation and entrepreneurship. He felt that entrepreneurship was a vehicle of innovation. Entrepreneurship was not just high technology, but high tech was a vehicle for change, in attitude, values, and behavior. The entrepreneur systematically looked for change, responded to them and took advantage of opportunities as they present themselves. Ross Perot: H. Ross Perot started his career as a salesman for IBM. In the 1960s he started his own company, Electric Data Systems (EDS), one of the first businesses that built and serviced computer systems for other companies. In contrast to IBM, Perot trained his workers to do whatever needed to be done for a customer without waiting for approval. There was a strong bias toward action. In the beginning, Perot shunned strategic planning. Over the next few years, however, he hired military officers who could take orders and give orders. Perot’s slogan was “Go, do.” If an employee took credit for someone else’s work, they were out the door. The motto of Perot’s company at one point was “We bring order to chaos.” John D. Rockefeller: John D. Rockefeller was the founder of Standard Oil. It started as a single oil refinery and grew to a huge company. Much of the company’s growth came through acquisitions. But, Rockefeller also spent a considerable amount of time streamlining the organization as it grew. Rockefeller built his company’s early reputation by guaranteeing the quality of Standard’s kerosene. He was known for his organizational tactics and for using disciplined strategies. One of the reasons for Rockefeller’s success was he could align his company with one simple vision, then he held everyone accountable for their part in making that vision happen.

Transformational leadership style requirements: Here are some of the characteristics of transformational leaders: • • • • • •

Very well-organized and expect their followers to be creative Team-oriented and expect that followers will work together to create the best possible results Respected, and in turn respects followers Acts as coach of the team. He or she provides training and motivation to reach the desired goals Responsible for their team, but also instills responsibility into team members Engenders respect through rapport and a personal influence

Advantages and disadvantages of transformational leadership: Transformational leadership works well in organizations where change is needed. Transformational leadership is not the right fit for new organizations where no structure exists. Transformational leadership pros: Transformational leadership cons: • Excellent at communicating new ideas • Ineffective in initial stage or ad-hoc • Good at balancing short-term vision and situations long-term goals • Require an existing structure to fix • Experience building strong coalitions and • Bad fit in bureaucratic structures establishing mutual trust

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81 Green World Group Benefits of transformational leadership: One of the best uses of this leadership style is in an organization that is outdated and requires serious retooling. It is also a perfect match for a small company that has big dreams and wants to change and adapt to get there. In both of these examples, the board of directors can bring in a transformational leader who will change the structure of the organization and also motivate the current workers to buy into the new direction. What is Transactional Leadership? A transactional leader is someone who values order and structure. They are likely to command military operations, manage large corporations, or lead international projects that require rules and regulations to complete objectives on time or move people and supplies in an organized way. Transactional leaders are not a good fit for places where creativity and innovative ideas are valued. Transactional leadership is most often compared to transformational leadership. Transactional leadership depends on self-motivated people who work well in a structured, directed environment. By contrast, transformational leadership seeks to motivate and inspire workers, choosing to influence rather than direct others. Transactional leadership focuses on results, conforms to the existing structure of an organization and measures success according to that organization’s system of rewards and penalties. Transactional leaders have formal authority and positions of responsibility in an organization. This type of leader is responsible for maintaining routine by managing individual performance and facilitating group performance. This type of leader sets the criteria for their workers according to previously defined requirements. Performance reviews are the most common way to judge employee performance. Transactional, or managerial, leaders work best with employees who know their jobs and are motivated by the rewardpenalty system. The status quo of an organization is maintained through transactional leadership. Differences between transactional leadership and other leadership styles: Transactional leaders differ from charismatic and transformational leaders in both structure and method. Charismatic leadership emphasizes influencing a group or organization to make the world a better place. In transactional leadership, the emphasis is on managing the performance of the individual and determining how well he or she performs in a structured environment. The difference between transactional leadership and transformational leadership is also quite large. Simply put, transactional is a “telling” leadership style, and transformational is a “selling” style. While the transactional approach features positive and negative reinforcement, transformational leadership emphasizes motivation and inspiration. Transactional leaders are reactive; transformational leaders are proactive. Transactional leadership appeals to the self-interest of individuals, while the transformational style prioritizes group progress. History of the transactional leadership theory: Max Weber, a 20th-century German sociologist, made an extensive study of leadership styles and divided them into three categories: traditional, charismatic and rational-legal, or bureaucratic. In 1947, Weber was the first to describe rational-legal leadership — the

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82 Green World Group style that would come to be known as transactional leadership — as “the exercise of control on the basis of knowledge.” Transactional leadership theory is based on the idea that managers give employees something they want in exchange for getting something they want. It posits that workers are not self-motivated and require structure, instruction and monitoring in order to complete tasks correctly and on time. The transactional leadership style was widely used after World War II in the United States. This was a time when the government concentrated on rebuilding and required a high level of structure to maintain national stability. Political scientist James McGregor Burns was one of the most prominent authors to advance Weber’s theories. In his 1978 book “Leadership,” Burns argued that both transactional and transformational leaders must be moral and have a higher purpose. In Burns’s model, transactional leaders espouse honesty, fairness, responsibility, and honoring commitments. In the 1980s and 90s, researchers including Bernard M. Bass, Jane Howell and Bruce Avolio defined the dimensions of transactional leadership: • • •

Contingent reward, the process of setting expectations and rewarding workers for meeting them Passive management by exception, where a manager does not interfere with workflow unless an issue arises Active management by exception, in which managers anticipate problems, monitor progress and issue corrective measures

Many current leadership theorists agree that principals of transactional and transformational leadership can be combined for ideal outcomes for both management and the workforce. Examples of transactional leadership: The transactional model is likely to succeed in a crisis or in projects that require linear and specific processes. This model is also useful for big corporations, such as HewlettPackard, a company known for its extensive use of management by exception. Many high-level members of the military, CEOs of large international companies, and NFL coaches are known to be transactional leaders. Transactional leadership also works well in policing agencies and first responder organizations. Here are four examples of transactional leaders. •

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Norman Schwarzkopf: Gen. Norman Schwarzkopf was born in 1934 and graduated from West Point. He went to Vietnam as an advisor to the South Vietnamese army. During that war, he was wounded twice and awarded three Silver Star medals. In 1978, he became a brigadier general; he attained a four-star ranking in 1988. General Schwarzkopf was commander-in-chief of the U.S. forces in Operation Desert Storm, responsible for tens of thousands of troops in Iraq and Kuwait. He used the rules and regulations of the military to coordinate operations on several continents. Vince Lombardi: Born in 1913, Vince Lombardi is best known as the coach for the Green Bay Packers. He signed a five-year contract with Green Bay in 1959. Under his leadership, the team never had a losing session. Over the course of his career, he led the team to a 98-30-4 record and five championships. The Super Bowl trophy is named after him. He used to run the Packers

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through the same plays in practice over and over again. The team’s opponents knew the plays Lombardi would run, but the team was so well trained that many teams had trouble defending against them. Bill Gates: Bill Gates was born in Seattle in 1955. In his early teens, he met Paul Allen at the Lakeside School, where they both developed computer programs as a hobby. When Gates went to Harvard, Allen went to work as a programmer for Honeywell in Boston. In 1975, they started Microsoft, and by 1978, the company had grossed $2.5 million, when Gates was 23. In 1985, Microsoft launched Windows. Bill Gates is now one of the richest people in the world. As a transactional leader, he used to visit new product teams and ask difficult questions until he was satisfied that the teams were on track and understood the goal. Howard Schultz: Howard Schultz was born in 1953 and grew up in the Brooklyn housing projects. He escaped the projects with a football scholarship from Northern Michigan University. After college, he started selling coffee makers to companies that included the Starbucks Coffee Tea and Spice Company, which originally sold coffee beans rather than made-to-order drinks. He was hired by the company in 1982. In 1984, Schultz opened the first Starbucks coffeehouse based on the concept of an Italian espresso bar. Schultz wanted to grow Starbucks, but the owners wanted to stay small. Schultz left and opened his own company in 1985. With the help of investors in 1987, he bought Starbucks and merged the two companies. By 2006, Schultz was ranked 394 on Forbes magazine’s list of the 400 richest people in America. As a transactional leader, he was responsible for the vision and implementation of the Starbucks model.

Transactional leadership style: Here are some of the characteristics of transactional leaders: • • • • • • •

Focused on short-term goals Favor structured policies and procedures Thrive on following rules and doing things correctly Revel in efficiency Very left-brained Tend to be inflexible Opposed to change

Advantages and disadvantages of transactional leadership: Transactional leadership works well in organizations where structure is important. Transactional leadership is not the right fit for organizations where initiative is encouraged: Transactional leadership pros: Transactional leadership cons: • Rewards those who are motivated by • Rewards the worker on a practical level self-interest to follow instructions only, such as money or perks • Provides an unambiguous structure for • Creativity is limited since the goals and large organizations, systems requiring objectives are already set repetitive tasks and infinitely • Does not reward personal initiative reproducible environments • Achieves short-term goals quickly • Rewards and penalties are clearly defined for workers

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84 Green World Group Benefits of transactional leadership: There is definitely a place for transactional leadership in the world today. One of its best uses is in multinational corporations where not all of the workers speak the same language. Once the structure and the requirements are learned, it is easy for workers to complete tasks successfully. This works because transactional leadership is simple to learn and does not require extensive training. The transactional approach is easy to understand and apply across much of an organization. The military, policing organizations, and first responders use this style of leadership so that all areas of the organization are consistent. It is also easier to apply in a crisis situation, where everyone must know exactly what is required of them and how a task is to be done under pressure. To many people, money and perks are a powerful motivator. Many people need a job to pay the bills. They have other obligations and distractions and would just as soon know exactly how to do their job in order to keep it and reap the rewards. Behavioural attributes of an effective leader There are a number of common behaviours recognised in an effective Team Leader at the helm of a productive team. In particular, an effective Team Leader displays an ability to: 1. 2. 3. 4. 5.

Communicate effectively Recognise the developmental requirements of team members Set goals and motivate the team to achieve them Provide enthusiastic and creative encouragement Model acceptable behaviour

Communicate Effectively: An effective Team Leader provides a high level of communication to the team members about: • • • •

The goals that have been achieved Any goals that still need to be achieved How to achieve these goals Where team members can go for support

When communicating with their team members, good Team Leaders use a consultative approach. This entails actively listening to team member concerns and opinions before deciding upon an appropriate strategy. An effective consultative approach also means that Team Leaders should provide feedback to their team members on a regular basis. Recognise the Developmental Requirements of Team Members: n effective Team Leader will identify the developmental needs of the team members and will install a process to ensure that each individual's needs are developed. This has direct benefits to both the individual and the team, as it increases morale within the team and helps to ensure that the best is attained from each team member. Delegation may be an effective way of providing team members with development opportunities.

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85 Green World Group Set Goals and Motivate the Team to Achieve Them: An effective Team Leader will set clear, identifiable and achievable goals and will be able to plan and monitor a team's progress against these goals. The steps to achieving these goals will need to be mapped out and discussed with each team member. Provide Enthusiastic and Creative Encouragement: Effective Team Leaders encourage creative and innovative approaches to problem solving. Model Acceptable Behaviour: An effective Team Leader provides the team with an appropriate role model. The Team Leader will demonstrate both acceptable behaviour and the relevant skills required by the team to undertake their roles within the enterprise. Role modeling is an important element in the development of individual team members as it enables the team to observe an example on which they can base their own performance and behaviour.

2.3 Consultation The role of consultation within the workplace ILO Occupational Safety and Health Convention (C155), Article 20 and ILO Occupational Safety and Health Recommendation (R164) have published information on consultation with employees. R164 Occupational Safety and Health Recommendation, 1981 requires: 12.(1) `the measures taken to facilitate the co-operation referred to in Article 20 of the Convention should include, where appropriate and necessary, the appointment, in accordance with national practice, of workers’ safety delegates, of workers’ safety and health committees, and/or of joint safety and health committees; in joint safety and health committees workers should have at least equal representation with employers’ representatives.` 12.(2) Workers' safety delegates, workers' safety and health committees, and joint safety and health committees or, as appropriate, other workers' representatives should; a) be given adequate information on safety and health matters, enabled to examine factors affecting safety and health, and encouraged to propose measures on the subject; b) be consulted when major new safety and health measures are envisaged and before they are carried out, and seek to obtain the support of the workers for such measures; be consulted in planning alterations of work processes, work content or organisation of work, which may have safety or health implications for the workers; c) be given protection from dismissal and other measures prejudicial to them while exercising their functions in the field of occupational safety and health as workers' representatives or as members of safety and health committees; d) be able to contribute to the decision-making process at the level of the undertaking regarding matters of safety and health; e) have access to all parts of the workplace and be able to communicate with the workers on safety and health matters during working hours at the workplace; f) be free to contact labour inspectors; g) be able to contribute to negotiations in the undertaking on occupational safety and health matters; h) have reasonable time during paid working hours to exercise their safety and health functions and to receive training related to these functions;

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have recourse to specialists to advise on particular safety and health problems.

The four stages to consultation Health and safety at work is about securing the health, safety and welfare of people at work by reducing risks, and protecting them and others from harm or illness arising out of work activities by taking the right precautions. As an employer or manager, it is your legal duty to manage health and safety sensibly in your business, and involving your employees is at the very heart of this. Current legislation (Consulting workers on health and safety. Safety Representatives and Safety Committees Regulations 1977 (as amended) and Health and Safety (Consultation with Employees) Regulations 1996 (as amended). Approved Codes of Practice and guidance L146 (Second edition with amendments) HSE 2014 www.hse.gov.uk/pubns//books/l146.htm) provides a framework of requirements for employee involvement in health and safety. You are required, under these regulations and other health and safety regulations, to give employees information, instruction and training, and engage in consultation with them about matters affecting their health and safety. Communication and consultation are the most basic forms of employee involvement in health and safety management. It is crucial that you get them right, not only because the law requires this but because they form the foundation for fully engaging your workforce to achieve the type of changes in behaviour in managers and employees that will lead to safer and healthier workplaces. Consultation and workforce involvement is not something you should be daunted by or discouraged about. It does not have to be lengthy and bureaucratic. If you have a small business, consultation can be an informal process of talking to your employees regularly and considering their views when you take decisions about health and safety. It can sometimes be more effective to have a simple process rather than something overly complicated. However, it is equally important that you do make time to talk and think together about issues more formally where this is necessary. Consultation and involvement do not remove the right of employers and managers to manage. You must still make the final decision, but talking to your employees is an important part of successfully managing health and safety. Get started: Prepare • • •

why you should talk to your employees about health and safety; what the law says and how it applies to your workplace; and how to gain commitment from the business and your workforce

Why talk to your employees about health and safety? Accident rates are lower where employees genuinely feel they do have a say in health and safety matters than in workplaces where employees do not get involved. Employee involvement in health and safety management relates to a more positive health and safety climate – 77% of employees felt encouraged to raise concerns in a good health and safety climate compared to 20% who felt encouraged to do so in a poor health and safety climate. In poor health and

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87 Green World Group safety climates, accident rates are highest among workplaces where employees do not feel they can have a say. Stronger employee involvement means better control of common workplace risks such as slips and trips – very effective in 76% of cases where employees felt they were always consulted but only very effective in 40% of cases if they thought they were rarely, or never, consulted. Employers can learn about the risks through consultation – the risk of stress and slips and trips occur practically everywhere, but awareness of them is higher where there is employee involvement (62%) compared to where there is no involvement (28%). Research has also shown that workplaces with health and safety committees where some members are selected by unions have significantly lower rates of work-related injury than those found in workplaces with no co-operative health and safety management. Aside from your legal duty to consult, workplaces where employees are involved in taking decisions about health and safety are safer and healthier. Your employees influence health and safety through their own actions. They are often the best people to understand the risks in their workplace. Talking, listening and co-operating with each other can help: • • • • •

identify joint solutions to problems; develop a positive health and safety culture where risks are managed sensibly; reduce accidents and ill health, plus their related costs to your business; bring about improvements in overall efficiency, quality and productivity; meet customer demands and maintain credibility; and n comply with legal requirements.

A workforce that feels valued and involved in decision-making plays a big part in a high-performing workplace. Empowering your workforce, giving them the right skills, and getting them involved in making decisions shows them that you take their health, safety and wellbeing seriously. They not only raise concerns but offer solutions too. There can be an impact far beyond health and safety management if the workforce is not engaged on health and safety issues which affect them. The law sets out how you must consult your employees in different situations and the different choices you have to make. There are two sets of general regulations about your duty to consult your workforce about health and safety: • •

the Safety Representatives and Safety Committees Regulations 1977 (as amended); the Health and Safety (Consultation with Employees) Regulations 1996 (as amended).

Get organised: Plan • • • •

what affects how you involve your workforce; what you should consult your workforce about; when you should consult so that you do it in good time; and arrangements for training health and safety representatives.

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88 Green World Group What affects how you involve your workforce? When planning how best to involve your employees, you need to consider the following factors about the business, the workplace and the workforce that will have an impact on how you can engage your employees. The business • • • •

Structure of the business. Management style. Organisational and safety cultures. Trade union recognition and employment relations.

The workplace • • • •

Size of workplace. Location of sites. Types of work done. Degree and nature of inherent dangers.

The workforce • • • • •

Size of workforce. Diversity of the workforce. Employment structures (e.g. direct employees, agency and contract workers). Work patterns such as shift systems, part-time etc. Offsite, remote or mobile workers.

These factors will affect whether you consult individuals or representatives, the methods you use, organisation of inspections and investigations, and co-ordination between committees, among other things. For example, a high-risk, unionised workplace with a large workforce spread over multiple sites may have union representatives from each site as a member of a site-based health and safety committee that meets regularly, and feeds into a corporate health and safety committee. A non-unionised, smaller workplace, located on one small, low-risk site, is more likely to consult directly with employees on a dayto-day basis. What should you be consulting your workforce about? The law says that you must consult your workforce about anything in the workplace that could substantially affect their health and safety. The specifics will vary from workplace to workplace. In general, you must consult about: •

any change which may have a substantial effect on your workforce’s health and safety. Such changes may include new or different procedures, types of work, equipment, premises, and ways of working (e.g. new shift patterns);

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your arrangements for getting competent people to help you meet your obligations under health and safety laws, for example the appointment of a health and safety manager. For more information about what a competent person is, see paragraphs 59–60; information you must give your workforce on the likely risks in their work and precautions they should take. Discuss with employees and representatives the best way for information to be shared. Consider issues of language, literacy and learning disabilities if appropriate (see paragraphs 103–105 for more information); the planning of health and safety training; and n the health and safety consequences of introducing new technology.

Get it done: Consult and involve • • • •

what your duties are when consulting representatives; methods of involving your employees; how to involve representatives in investigations and inspections; and how to set up a health and safety committee and make it work well.

What are your duties when consulting health and safety representatives? You have a duty to: • • • •

allow representatives paid time to perform their role and to undertake training; provide facilities and assistance; provide information; and if you recognise trade unions, set up a health and safety committee if two union-appointed representatives request it in writing.

Get it right: Keep improving This section is about how to make sure your arrangements for workforce involvement are effective as possible and covers how you can keep improving by: • • •

monitoring performance; reviewing progress; and knowing what to do when things become challenging.

Once you have been consulting and involving your employees for a while and given each other time to adjust to the processes you have set in place, you should start thinking about how to keep improving over time. Realistically, there are likely to be some things that work really well, others that could work better, and some things that need to be approached in a different way. This is not something to worry about as things are rarely perfect at the first attempt. Even when some things are working well, changes over time may mean they do not remain effective. For effective employee engagement, you need to keep monitoring performance and reviewing progress regularly with your workforce and employee representatives. It allows you to continue improving the way

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90 Green World Group you work together to enhance health and safety. You can also explore what others in your industry or similar businesses do to find out what works and share experiences of successful measures. If you have had success with worker involvement tackling safety issues then consider other issues. Engagement with your workforce is a powerful way to tackle musculoskeletal problems like back pain, work-related stress and other health problems where psychological and social factors contribute. Monitor performance To keep an eye on how involvement with your employees is working, you can: • • •

•

Check how supportive management are by asking employees and their representatives if they have been encouraged to get involved and been given time to participate. Check that employees know who their representatives are and whether they have been asked for their views about health and safety matters. Look into organisational arrangements for involving the workforce in health and safety and whether they have changed to allow employees greater opportunity to be involved in consultation. For example, have training arrangements improved, or do representatives have their roles noted on their performance appraisals? Collect information on health and safety issues and ideas for addressing them that have been raised as a result of employee involvement to see if there have been improvements in how they are managed. Think about other measures beyond health and safety because involving your workforce in health and safety could result in additional benefits, for example in productivity, as things improve.

When you monitor performance, ask yourself if: • • • • • • • • • • •

what you find is acceptable or if you need to do something more; you need to address a matter further, how you will do this and what your employees think; there are any lessons to learn. You will be doing well if you can show: employees are aware of their health and safety representative and they communicate with each other; co-operation between managers and employees so that there are the resources to release people for meetings and training; a health and safety committee that deals with strategic matters balanced with everyday problems that are resolved as they happen; good communication with and through the workforce so that messages are delivered clearly and decisions are explained; competence is built through training and information sharing so new skills can be learned as there are changes; joint problem solving, where employees participate as equals to resolve issues; joint inspections and monitoring of health and safety performance, risk control systems, and progress with plans.

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91 Green World Group Review progress As well as thinking about how well consultation with your workforce is going, check how far you have progressed and consider where there is room for improvement. The review checklist can help you assess how close you are to moving towards full employee involvement and joint problem solving. Review checklist • •

• •

• • • • • •

Gain commitment and action from senior management to involve employees and their representatives in good time about matters affecting their health and safety. Fully involve employees and health and safety representatives in discussions about health and safety matters affecting them, and encourage the workforce to generate ideas for health and safety initiatives. Train managers, employees and health and safety representatives together in health and safety matters to enable shared understanding and greater co-operation. Use a range of methods to consult and involve employees to appropriately and effectively take into account the needs of different groups of the workforce who are affected by health and safety measures. Give health and safety representatives access to the facilities and training they reasonably need to perform their role. Ensure the health and safety committee members are equal partners, working together to address strategic matters, and day-to-day matters are resolved elsewhere. Involve health and safety representatives in joint accident investigations, workplace inspections and risk assessments. Explain the reasons behind management decisions so the workforce can understand how their views have been considered in making decisions about managing their health and safety. Build on the success of workforce involvement in some issues by engaging employees in discussions of health and safety issues that can be more challenging. Review progress with involving the workforce in health and safety and update consultation processes so they are current and effective.

Behavioural aspects associated with consultation Peer group pressures We are all members of groups, unless we are peculiarly reclusive. The golf, tennis, darts, bowls clubs, etc. are all groups to which we belong and consciously or unconsciously, we adapt to their norms. What we are actually doing is responding to peer group pressure. A peer group is a group of individuals of a similar age or background, or who have some similar social characteristics in common, with whom a person mixes in a social context. The workplace is just such a group and we behave, again knowingly or unknowingly, in accordance with the collective, accepted behaviour of the group. Within the group, individuals can be guided into patterns of behaviour by processes of which they are largely unaware. Thus the peer group is

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92 Green World Group a socialising force where the process is carried out by the equals of the individual rather than by his supervisors or managers. It has long been recognised that the peer group is a powerful force for conformity and represents a system of rewards and punishments often manifested in approval or disapproval. Individuals accept the norms and values of friends or colleagues (peers). If these norms are oriented in favour of encouraging good health and safety practices in the workplace, an individual entering that group will normally react or respond by accepting those same values. Danger of tokenism In some organisations the following may be perceived as obstacles to effective management of WHS consultation and participation: Tokenism, where workers are not genuinely included in the consultation and are only consulted in a vague manner or their views and suggestions are not actively sought. Inequality, particularly where workers, such as young workers, are ignored as they are seen as less important than other workers. Stereotyping, particularly where workers may feel that they are being judged or treated unfairly due to preconceived ideas or stereotypes about them, causing them not to participate in consultative processes. Their function of all workforce should be incorporated into a coherent program and not be used as tokenism or window-dressing. Neither should anyone be expected to carry sole responsibility for the success or otherwise of the health and safety program as this responsibility is part of every manager's or supervisor's duties. Potential areas of conflict In any social group, conflict may arise between two or more people, interest groups, genders, ethnic or racial groups, etc. Obviously, where there are assemblies of people in the workplace, there may be conflict within and between groups. For example, the safety committee member "A" serves on the committee to represent his department or perhaps a particular group of workers with common skills. Similarly, committee member "B" represents his department members. A and B, although sharing a common membership of the safety committee, may well be pursuing different objectives. They may both be seeking improved health and safety arrangements for their members but may be in competition for the allocation of limited resources to their particular project. The safety representative serving on a safety committee may see his role as one in which he feels the need to question and destructively criticise, as a matter of course, any suggestion advanced from a management representative on the committee. Remember, however, that the safety representative is a worker's representative and not part of the management team. His perception of health and safety problems will be different from that of management and not constrained by budgeting considerations. His role is primarily a policing one in which he monitors the safety performance of management and, because of peer group pressure, he may see himself in a conflicting rather than cooperative role.

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93 Green World Group The safety representative can sometimes acquire delusions of grandeur and perceive himself as an expert on health and safety matters. Conflict may arise between the safety representative and the first line supervisor where the safety representative may have advised (wrongly) his members not to carry out a particular management instruction. The converse is equally true with management taking the view that their opinions are correct simply because they are management and know better. Consultation about problems where the views of all the participants are considered should lead to a lessening of conflict and arrival at effective decisions. The role of the health and safety professional in the consultative process In the HSE publication "Successful Health and Safety Management", the role and functions of the health and safety adviser are described as follows. Organisations that successfully manage health and safety give health and safety advisers the status and ensure they have the competence to advise management and workers with authority and independence. Subjects on which they advise include: • •

• • •

Health and safety policy formulations and development Structuring and operating all parts of the organisation (including the supporting systems) in order to promote a positive health and safety culture, and to secure the effective implementation of policy Planning for health and safety, including the setting of realistic short and long-term objectives, deciding priorities and establishing adequate performance standards Day-to-day implementation and monitoring of policy and plans, including accident and incident investigation, reporting and analysis Reviewing performance and auditing the whole safety management system.

To fulfill their functions they have to: • • •

• • •

Maintain adequate information systems on relevant law (civil and criminal) and on guidance and developments in general and safety management practice Be able to interpret the law and understand how it applies to the organisation Establish and keep up-to-date organisational and risk control standards relating to both "hardware" (such as the place of work and the plans, substances and equipment in use) and "software" (such as procedures, systems and people) - this task is likely to involve contributions from specialists, e.g. architects, engineers, doctors, and occupational hygienists Establish and maintain procedures for the reporting, investigating and recording and analysis of accidents and incidents Establish and maintain adequate and appropriate monitoring and auditing systems Present themselves and their advice in an independent and effective manner, safeguarding the confidentiality of personal information such as medical records.

The position of health and safety advisers in the organisation is such that they support the provision of authoritative and independent advice. The post-holder has a direct reporting line to directors on matters of policy, and authority to stop work which is being carried out in contravention of agreed standards and which puts people at risk of injury. Health and safety advisers have responsibility for professional

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94 Green World Group standards and systems, and on a large site or in a group of companies may also have line management responsibility for junior health and safety professionals. Health and safety advisers are involved in liaison with a wide range of outside bodies and individuals including local authority environmental health officers and licensing officials; architects and consultants, etc; the fire service; contractors; insurance companies: clients and customers; the Health and Safety Executive; the public; equipment suppliers; HM Coroner or Procurator- Fiscal; the media; the police; general practitioners; hospital staff. You can see that this is a very wide brief and indicates that the safety professional requires a broad and extensive knowledge of health and safety matters in order to fulfil his duties. He is the organisation's first port of call when health and safety problems are encountered, and will give advice on short-term safety solutions to problems, and follow this through with perhaps a recommendation for a change in policy or the introduction of new technology or new/revised safe systems of work. He will also recommend the services of outside expert consultancy where the problem requires scientific, medical or technical advice which is outside his area of expertise. He may also be involved in safety committees, either in a chairing role or simply in an advisory capacity during committee deliberations. It is interesting to note that in October 1997, a discussion document was circulated within health and safety circles concerning the role of the safety professional in the workplace. The term "safety professional" covers such diverse staff as safety advisers, occupational hygienists, doctors, nurses, safety managers, personnel officers, training officers, facilities managers, ergonomists, engineers and radiation protection advisers. Another problem lies in the reporting arrangements for the health and safety adviser. Does he/should he report to a main board director? Should he have any direct influence on line managers? The sensible answer to both questions is "yes" but the outcome of the discussion is awaited with interest.

2.4 Health and safety culture, Behavioural change programmes The meaning of ‘health and safety culture’ and ‘health and safety climate’ Culture • • •

A system of ideals, values, beliefs, knowledge and customs transmitted from generation to generation within a social group, community or society The way of life of a society, including codes of conduct, dress, language, rituals, norms of behaviour and systems of belief A system of shared values and beliefs.

'Culture', then, is not a difficult concept in itself. In your studies, you will have looked at organisations and discovered that they have a 'formal' and an 'informal' element to them, and that a knowledge of the

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95 Green World Group informal rules is just as important as the formal in order to make the operation run effectively. In the same way, a new employee has to assimilate the culture of his new company in order to function effectively. How we recognise and acquire a new culture depends on individual perception. The process of 'enculturation' is the formal and informal acquisition of cultural norms and practices, a socialization process usually engendered by membership of a particular group or organisation. Having acquired a working definition of culture in its broadest sense, we need to move on to the concept of safety culture. If you look back at our three definitions, you will see that they mention 'system of ideals', 'systems of belief', and 'way of life'. If those ideals, beliefs and the way of life can be stretched to include values related to health and safety, we have the basis of a health and safety culture. Health and Safety Culture "A system of shared values and beliefs about the importance of health and safety in the workplace." This is a good working definition which can be worked into any discussion about health and safety culture. There is no mystique about it. It is simply a positive attitude to safety which pervades the whole organisation from top to bottom, and has become a norm of behaviour for every member of staff from the board of directors down to the newest junior. Health and safety culture can be identified, measured, improved, and if neglected, allowed to deteriorate. It is of paramount importance in the prevention of accidents in any organisation. Our voluminous health and safety legislation and rulebooks are of comparatively little value in a workplace where there is a poor safety culture. The safety practitioner must be able to look at an organisation and put his finger on the pulse of its safety culture. If the pulse is strong, he simply needs to sustain and maintain it; if it is thready or weak, he needs to nurture it. Cultural Indicators and Safety Performance We have already referred to these in the introduction to this study unit. If organisational culture is the "objective characteristics of an organisation", then safety culture is the objective safety characteristics of an organisation. You should have downloaded the HSE's leaflet "Advice to Employers" http://www.hse.gov.uk/opsunit/perfmeas.pdf>. This contains a checklist to be used in writing or reviewing safety policies. If you refer to it now, you will see that it is actually a useful test of safety culture (but by no means the only one). Affirmative answers to the questions posed would indicate the existence of a sound, positive safety culture. Blank or negative responses would indicate the opposite. Checklists apart, there are many other objective safety characteristics in any organisation - accident figures, good or bad staff relationships, the wearing of PPE, the presence of warning notices throughout the premises or site, the registration of visitors - the list is considerable. For example, statements made by employees are often good indicators of the prevailing culture: Negative: "That's not my responsibility." "That's the way we've always done it here."

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Positive: "We pride ourselves on maintaining a good safety record." "We put safety before productivity." "We have never had a major accident." It is quite easy to identify a correlation between cultural indicators and safety performance. When an experienced safety practitioner carries out a safety audit or inspection of a company, he can often gauge the standard of safety performance on a fairly superficial walk-round and the first impressions he has gained. When he has completed his detailed audit/inspection, it will - in most cases - confirm his initial reaction. Health and safety climate Safety climate is the perceived value placed on safety in an organisation at a particular point in time. These perceptions and beliefs can be influenced by the attitudes, values, opinions and actions of other workers in an organisation, and can change with time and circ*mstance. A positive safety climate improves production, reduces compensation and insurance costs and can also: • • • • •

Enhance employee safety knowledge and their motivation to behave safely Increase the uptake of safety related policies and programs Improve employee perception of more support available from management Reduce the perception amongst employees of exposure to a hazardous environment Reduce the number of incidents by employees and workgroups.

As safety climate is a snapshot of safety at one point in time it can change rapidly, on a daily or weekly basis. For example, safety climate might be heightened after implementing a new safety procedure or after an incident. If that heightened safety climate is maintained over time, it can lead to changes in the underlying culture. As safety climate captures the attitudes towards safety at a specific point in time, it is a useful indicator of safety performance. Measuring safety culture is usually done using an employee survey or team discussions. Indicators of health and safety culture and measuring health and safety climate By definition, safety culture is difficult to measure. How do you measure values, attitudes and beliefs? Following are different ways to tell whether or not you have an awesome safety culture. If you can answer yes to most of these, you’re doing great. Keep it up! If not, you have some work to do. Don’t be discouraged, culture change takes time and perseverance. •

There is visible leadership commitment at all levels of the organization: Leadership commitment (or lack thereof) to safety will always show. What your organization’s leaders value is typically what gets done. In great safety cultures, leadership proves their commitment to safety through

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• •

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their actions and how they empower others throughout the organization to win with their safety initiatives. All employees throughout the organization exhibit a working knowledge of health and safety topics: When you value something, it’s worth the time and energy it takes you to excel at it. In great safety cultures, all employees throughout the organization have invested in a working knowledge of health and safety topics. In order words — they’re competent in safety. They know their roles and responsibilities. They know their stuff. There is a clear definition of the desired culture the organization wishes to achieve: How do you create movement toward the safety culture your organization wishes to achieve? You set a goal. You write it down. You measure where you’re at. You develop a plan to make it happen. It’s a simple strategy, yes, but not simplistic. Make sure you develop a plan that includes a clear definition of what your desired safety culture looks and feels like. There is a lack of competing priorities – safety comes in first every time! Who wins the showdown between production and safety at your organization? Does safety win every time or only when it’s the easy and convenient option? Safety needs to win every time or you’ve developed a toxic culture. It’s that simple. There is visible evidence of a financial investment in health and safety: Safety slogans are great, but creating a winning safety culture requires resources. Improvements need to be made. Problems need to be solved. If funding a safety project is a constant battle and there is no evidence of a financial investment in safety, you may have a safety culture issue. Opportunities for improvement are identified and resolved before a problem occurs: Proactive organizations identify issues before they become costly problems and injuries. Are you passively reacting to every injury? Or are you proactively finding risk factors and putting control measures in place? Safety leaders that are ahead of the curve identify and resolve issues before a more serious problem occurs down the road. There is regular, facility-wide communication on health and safety topics: Communication, communication, communication. An internal safety communication process increases awareness of safety topics and transfers knowledge to empower your people to be successful. A fair and just discipline system is in place for all employees: We live in a sowing and reaping world. There are your actions and there are the consequences. Instituting a fair and just discipline system for safety behaviors is a necessary step to follow through on your claim that safety is important to you. There is meaningful involvement in health and safety from everyone in the organization: Safety is everyone’s job, and everyone needs to do their job well. From the facility manager to the safety manager to the supervisor to the worker on the floor, it takes a team effort to win at safety. Everyone needs to play a meaningful role in the safety process. Managers spend an adequate amount of time out on the shop floor, where the people are: Great safety leaders spend time out where the people are. It’s where the real work gets done — the shop floor. That’s where you can find problems. It’s where you can talk to operators and get their feedback. It’s where you’ll be seen (and respected) as the safety leader. You have administrative duties, yes. But the great ones get out there and get their hands dirty. Participation rates are at an all-time high, indicating that employees are highly motivated and your marketing of health and safety initiatives is effective: Safety success tends to breed more success. Safety culture is the vehicle that drives this phenomenon. When participation rates are at an all-time high, you’ve been able to build buzz and positive momentum for your future efforts. Keep it going.

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•

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Employees are actively engaged in health and safety initiatives, producing tangible results for your company: Are your employees engaged in health and safety initiatives? Or are they dismissive, leaving you wondering if you’re getting through at all? Engaged employees are more productive, giving you tangible results and feedback. Your employees report high job satisfaction due to the company’s commitment to their health and well-being: Employee retention and engagement is a focus point for organizations around the world, and rightfully so. With the skills and talent gap growing wider and wider as experienced staff retire, engaging your workforce through excellence in health and safety builds culture. Do this right and you’ll find yourself with highly satisfied employees and the safety culture you were striving toward. Safety is the first item on the agenda of every meeting: Is safety at the top of your agenda sheet? If not, put safety first or send a loud and clear message to everyone at the meeting that you truly care. Employees feel comfortable reporting safety issues to their supervisors: Do your employees feel comfortable reporting a safety issue to supervisors? Or do they feel like they will be ignored or (even worse) punished for coming forward? This is a huge indication of the culture you’re molding. Employees should feel encouraged and met with praise when they report safety issues. Regular, detailed audits of the company’s health and safety program are conducted by an external auditor: Great safety leaders are confident enough to be audited by an external auditor. It’s one thing to do an internal audit (and pat yourself on the back). It’s another thing to bring in an outsider to do an external audit (and meet the challenge head on). Rewards and recognition of good behaviors are regularly given and serve to motivate continued health and safety performance: Positive safety behaviors should be awarded and these awards should motivate continued health and safety performance. You know what employees value but don’t get nearly enough? Recognition of a job well done. Recognize and reward positive behaviors. The word will get out. Safety is a condition of employment: Can you really afford an employee who thinks they are above the rules when it comes to safety? Lives are on the line. Safety should be a condition of employment. If your organization values safety above all else, you make safety a fundamental value. Any employee who doesn’t share this value should be asked to leave and go work somewhere else. Managers and supervisors respond positively to safety issues that are raised: Good managers and supervisors understand that when employees raise a safety issue, it’s another opportunity for improvement. This opportunity mindset allows them to respond positively to the employee that raised the issue and escalate the issue far enough to get a solution put in place. Safety is viewed as an investment, not a cost: Companies that perform well in safety also perform well in business. Knowing the true value of safety, organizations with a great safety culture view safety as an investment, not a costly and dreaded expenditure. A high standard exists for accurate and detailed reporting of injuries and illnesses – nothing is swept under the rug! This is a big one. Nothing should be swept under the rug. In great safety cultures, transparency and integrity is the only way to conduct business. This is about living in reality and confronting the challenges that exist in your workplace. There is a concrete definition of what success looks like for your health and safety program: How will you know when you’ve achieved your goals? You’ll know because you have set measurable goals and you know exactly what success looks like. The organization has the willpower to make major changes when necessary: Quick fixes and easy solutions are great. But your organization’s willpower will be tested when you need to make

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a major move. In great safety cultures, good intentions are backed by the willpower to endure major changes, expensive investments and hard decisions. Safety issues are dealt with in a timely and efficient manner: A functioning safety process deals with issues in a timely and efficient manner. Hazards are identified and controls are put in place within a reasonable time period. Knowing injury risks exist and not doing anything about them is a sure sign the organization has become complacent and culture is rapidly deteriorating. All employees throughout the organization are empowered with the necessary resources and authority to find and fix problems as they see them: Your safety process should have clearly defined roles and responsibilities. In order for the people throughout your organization to successfully accomplish their role in the process, they will need resources and authority to make decisions.

Factors that may promote a positive health and safety culture or climate

Management commitment and leadership: The attitudes and behaviour of managers is critical in setting the priorities of the organisation. Some of the ways by which managers can help to promote positive approaches to health and safety include leading by example, effective communication and engagement with staff, encouraging a learning culture, promoting a “just, no-blame culture”, and tracking and monitoring progress to fight complacency. High business profile of health and safety: One of the initial steps to be taken in order to promote a positive health and safety culture is to understand the risk profile of the business. Risk profiling means building a description, picture or image of what things are like or may potentially be like. And using this as a basis of decision making. As part of this process, you may also decide what is the acceptable risk level that you are happy with. The risk profiling identifies the major risks that relate to the business operations, for example, if you are a chemical manufacturer, you major risk are associated with chemicals (e.g. their handling, processing, storage, use and transport etc.). Instead if you focus on sorting your new office building, you have got your priorities wrong. Provision of information: Employees must be provided complete information about the health and safety measures and the job. This not only is a legal requirement but may be considered as bullying if complete information about the job is not provided. Involvement and consultation: Managers may have the right approach and keenness to promoting a positive health and safety culture but this cannot be achieved without effective communication and staff engagement. Employees play an important role in shaping the health and safety culture of an organisation. Managers that work with their staff, engage with them regularly, encourage an open door policy to discuss issues and provide timely feedback generate effective communication within teams. Proactive communication by managers can be achieved through regular planned meetings, face to face discussions, health and safety briefings, and so on. Regular communication and staff engagement enables managers to identify any issues that staff may have at an early stage, e.g. competence issues, additional training needs, welfare provisions and facilities, so that these can be addressed in a timely manner. Active

Unit ID1: Know – Workplace Health and Safety Principles (International)

100 Green World Group involvement in health and safety empowers staff to take ownership for health and safety, which is a positive step towards preventing and controlling hazards. Training: Conduct appropriate training sessions that support the Safety Culture Improvement Process. Such training may include but is not limited to: “hazard identification and risk assessment”, “Critical Error Reduction Techniques”, “concern reporting”, “Near Miss and Good Catch Reporting”, and Incident Investigation & Root Cause Analysis”. Utilize a Safety Professional or expert as needed. Most importantly, ensure that all employees know how to recognize potential hazardous conditions, practices and behaviors in the workplace, at home and on the road. Use visuals such as posters, flyers, booklets along with emails and memos to keep Safety in front of employees. Promotion of ownership: Unfortunately, we humans tend to want to shirk responsibilities of any sort and especially avoid blame. At a high-hazard operation with a negative safety culture, complacency and ineffective safety-related communication can lead to lapses in accountability, whether for oneself, one’s co-workers, or one’s subordinates, because the culture occasions blame and reprimand rather than compassion and positive change. Sometimes, management’s seeming lack of concern is also made evident by apparent double standards. Many times, people are not disciplined for failing to use proper personal protective equipment (PPE), but they are punished for accidents. Managers are seen walking through the plant without proper protection. Management want employees to remind each other to wear their PPE, but employees feel that constitutes “enforcing the rules,” which is a management responsibility. Thus, employees feel management is sidestepping its responsibilities. A truly positive safety culture would mean that all personnel, regardless of position, job description, or time spent at the worksite have an equal responsibility in keeping themselves and each other safe, and hold themselves and each other accountable. Management especially should lead by example and “walk the walk” when it comes to safety, not just “talk the talk.” Setting and meeting targets: Continuous reviewing and monitoring of health and safety performance is a positive way of gauging the health and safety culture in an organisation and a means for improving on existing processes. Managers need to ensure that reliable targets are set and performance indicators are in place that reflects the hazards to which staff are exposed. They need to have a competence assurance program to ensure that staff have the right skills they need to work safely and help them identify any issues and establish actions for improvement. Managers should note that it takes some time to develop a good health and safety culture and it can be lost easily and in a shorter time than it took to achieve it. Health and safety cultures continually evolve and continuous effort is required to ensure that changes are positive. Managers working at improving factors will have a positive influence on their organisation’s health and safety culture.

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101 Green World Group Factors that may promote a negative health and safety culture or climate

Company Reorganisations: Company reorganisations may originate from a variety of sources relocations, mergers, redundancies, downsizing, etc. and where these occur, the management of the organisation needs to treat its staff with sensitivity. There is legislation covering major redundancies, and compensation arrangements are provided for by statute. Many companies also offer financial packages which are in excess of the statutory limits. However, difficulties arise when the retained members of staff have to operate with reduced resources and manpower, and perhaps in the shadow of further impending redundancies which may affect them personally. If companies effect economies by shedding staff, paying the minimum statutory redundancy amounts and at the same time paying increased dividends to their shareholders and awarding better financial packages to their directors, it is hardly surprising that the loyalties of remaining staff are going to be severely tested. Changes occurring as a result of external pressures over which the organisation has little or no control which may include a major change in industry procedures (e.g. the effect of BSE on the meat industry) may not be as damaging as changes brought about by the need to improve profitability. Frequent company reorganisations, unless handled well, can lead to growing dissatisfaction in the workforce. In many cases those employees who have the most saleable skills will leave, creating operational difficulties in an already difficult situation. First-level management may then have additional burdens placed upon them when they are already concerned about their own future. This, in turn, may adversely affect the organisation's normal controls and practices, leading to a greater number of incidents and accidents. This is often accompanied by an increased level of sickness and absences from undetermined causes. Lack of confidence in organisation's objectives and methods: Most companies will have objectives in terms of safety and productivity, including a company safety policy outlining the organisation's commitment to health and safety. However, if in fact productivity is seen to be pre-eminent over safety, then worker perception will inevitably be that the company is unethical and untrustworthy in its operations, thus leading to a lack of trust and a deterioration of the safety culture. Typical of complaints made by off-shore gas and oil workers were: • • • • • •

Changes had been made to safety rules during the construction. Safety improvements were only made after incidents occurred. The permit to work system was not operating as it should. Accident statistics were being massaged. "Low visibility" of the offshore installation manager. Double standards in the application of safety regulations by safety advisers and management.

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102 Green World Group If management and first-line supervisors perceive that the company has an overwhelming drive to achieve productivity at the expense of safety, they may well adopt the same attitude to demonstrate their commitment to company objectives. This can have a disastrous effect on the shop floor employees, affecting safety, morale and motivation. Uncertainty: Human beings by nature seek security and stability. Creating an uncertain environment generates feelings of insecurity. Self-actualisation is the goal - the highest need - but is unimportant unless the lower, more basic needs have been satisfied. Lack of job security or uncertainty about the future leads to dissatisfaction, lack of interest in the job and generally poor attitudes towards the company and working colleagues. Uncertainty is often caused by management behaviour, which sends mixed signals to the workforce. If managers are seen to say one thing and then do something completely different, this will be perceived by the workforce as an example of management's cynicism and will undermine their authority and credibility. Management decisions that prejudice mutual trust or lead to confusion regarding commitment: f a manager claims to be in favour of health and safety but is then seen acting in an unsafe manner, e.g. by drinking on the job, neglecting to wear PPE, or condoning other unsafe acts, there will be at best only token acceptance of his spoken views. Communications specialists claim that non-verbal actions, i.e. gestures or body language, constitute 70% of communication and that words only make up perhaps less than 30% of the messages that we give. Translated into health and safety terms, it is likely that where there is conflict between what management say and what they do in practice, their actions will dominate the communication process and it will be those actions which set the tone for the organisation and become the cultural norm. We are all familiar with those old clichés -"Don't do as I do, do as I say" and”, Actions speak louder than words" - and the key to good communication lies somewhere between the two. To be effective, management's verbal communications and their observable behaviour and actions should be consistent, as it is more likely that the workforce will judge management by their actions rather than their words. Decisions are perceived or interpreted in different ways by individuals, dependent upon their own experience and expectations. Inconsistency in decision-making about salaries, bonuses, incentives, promotions, transfers, etc. can be the trigger which sets off a good deal of unrest and distrust in an organisation. From your own working experience, you can probably cite some management decisions which beggared belief at first glance, but which perhaps were not unreasonable when the full facts surrounding the decision became public. Management therefore have to be aware that good communication is part and parcel of effective decision-making. The following circ*mstances give rise to distrust and doubt about management commitment generally, but apply equally to decisions about safety.

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103 Green World Group Where there are no rules or no precedents, decisions may appear to be arbitrary and inconsistent. • • • • • •

Refusal to delegate decision-making leads to demotivation and diminution of a sense of responsibility in subordinates. Constant rescinding by senior management of decisions made at lower levels of management. Delays in making decisions. Decisions affected by conflicting goals between management and workers. Decisions affected by conflicting goals between different departments. Lack of consultation prior to decision-making.

Management decisions which are aimed at achieving individual rather than organisational objectives, or decisions generated according to some hidden agenda are also disruptive. It is this placing of self-interest in terms of career progression before service to the organisation which can often disrupt relationships and affect the efficiency of the company. Many modern management thinkers urge that "ownership" or "stewardship" by workers of the organisation's goals is the ideal basis for good management in any company. Changing the culture Planning and communication: How do you create movement toward the safety culture your organization wishes to achieve? You set a goal. You write it down. You measure where you’re at. You develop a plan to make it happen. It’s a simple strategy, yes, but not simplistic. Make sure you develop a plan that includes a clear definition of what your desired safety culture looks and feels like. After that Communication, communication, communication. An internal safety communication process increases awareness of safety topics and transfers knowledge to empower your people to be successful. Strong leadership: The most important factor affecting culture is the commitment from the top. Your organisation needs to be positively led by its directors and managers. They should set the tone and demonstrate their personal commitment to high safety standards. This means being compliant themselves – not “I’m the MD, I don’t need to wear safety goggles”. Achieving the necessary managerial leadership and commitment may require particular effort. For example, running a senior management workshop to find ways to improve your organisation’s Health & Safety performance. This might be followed up by publishing a draft action plan that invites comment from all staff. Commitment is shown in many ways. It needs to be formal in terms of an organisational structure, job descriptions and a Health & Safety policy but it also needs to be apparent during stressful times. For example, Health & Safety procedures are often simply forgotten when performance targets are threatened. The need for a gradualist (step-by-step) approach: The process for the development of safety culture can be assisted by the use of a learning process within an organization. There is a wide range of practices that are of potential value in the practical development of a progressive safety culture. The timescale required to progress through the various stages of development cannot be predicted. Much will depend upon the

Unit ID1: Know – Workplace Health and Safety Principles (International)

104 Green World Group circ*mstance of an individual organization and the commitment and effort that it is prepared to devote to effect change. However, sufficient time must be taken in each stage to allow the benefits from changed practices to be realized and to mature. People must be prepared for such change. Too many new initiatives in a relatively short period of time can be organizationally destabilizing. The important point to note is that any organization interested in improving safety culture should start and not be deterred by the fact that the process will be gradual. Put the initiative’s success down to consistent controls, and change the culture gradually, taking things one step at a time and making sure that new developments are bedded in before moving on to the next one. Great buy-in at shop floor level is essential, as is senior support. Direct and indirect action to promote change: You should identify and praise positive Health & Safety efforts. All too often we report on Health & Safety failures, accident numbers and days lost through sickness. Reporting on how many of your staff were seen wearing personal protective equipment (PPE) or correctly using work equipment is a way of countering negativity. It will also help develop a positive culture of achievement. In developing a positive Health & Safety culture, everyone in your organisation needs to understand: • •

The Health & Safety standards expected of them Their individual role in achieving and maintaining those standards.

Strong worker engagement: This is the most common and perplexing question in Safety and perhaps the most critical aspect of sustaining a Culture of Safety: “How does one get and sustain Employee Involvement in Safety”? Of course there is no one correct answer, but here are some common solutions: •

• • • •

Implement a “Good Catch & Near Miss Process” (there are applications for this, so it is easy to use) All employees that have a Smartphone can easily submit Good Catches or Near Misses on the spot. This proactive process allows employees to report potential hazards in advanced in order to get the potential hazard corrected immediately. Internalize Safety – Make it personal; let the employee know how safety can positively impact his family. This can be accomplished by sharing stories of near miss/close calls and incidents. Ask employees for their involvement. Actively search for opportunities to involve employees based on their expertise. Start every meeting with a “Safety Minute”. Every story should include “What Happened”, “What was the Critical Error”, and “How could it have been worse” (all Employees can share in this storytelling process). Recognize employees often: Soon (as soon as they’ve contributed to safety excellence), Certain (specifically note what they’ve done right) and Positive (highlight the positive impact that their action made on safety excellence).

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105 Green World Group You need to involve all staff. Not only will this tap into the creativity and knowledge within your organisation but it will make compliance more likely. The amount of consultation and involvement with the workforce in Health & Safety matters is crucial for a positive Health & Safety culture. No single section or department can develop a positive Health & Safety culture on its own. Training and performance measurements and the importance of feedback: In order to create a workplace safety culture, it requires a team approach and a proactive attitude to learn from indicators of unsafe conditions. There is no doubt that organizations with a better safety culture are successful in preventing workplace accidents and injuries. Safety culture is often associated with the safety performance of an organization. Because, employees are often used to a particular set of workplace practices, it is usually challenging to promote a change. Behavior based safety programs largely focus on ensuring that everyone in the organization adhere to the best workplace practices. The definition and objectives of safety culture can be industry specific and subject to perceptions. However, there are certain critical elements which are common across the board irrespective of the organization. • •

The feedback of employees with respect to risks, hazards and safe behavior is important for incorporating safe habits. Paper work should be removed wherever possible to ensure quick and seamless reporting of accidents, injuries and near misses. Taking corrective actions for near misses and incidents is important. For a flawless safety culture, one shouldn’t shy away from making changes to the system and put in practices which encourages safe behavior.

Problems and pitfalls Attempts to change culture too rapidly: It is rare for organisational change to be effective if those affected by the change process are not fully involved in the change process. “When initiating change remember, People support what they create.” The 6 P rule is very important in change – Prior Preparation and Planning Prevents Poor Performance. Attempting too big a change and / or changing things too quickly can create an adverse reaction and alienate the very people you want to make allies. Learn the context, culture and past before trying to make changes. Unless a crisis situation is apparent realise effective change requires a lot of effort and time. Adopting a broad approach: A broad approach may not be very effective. First learn the context, identify specific problems and adopt specific control measures in order to get maximum results. Responsibility for accidents and incidents: When a program puts the target directly on workers and their actions, you completely lose sight of the second part of the equation: external factors. With 100 percent of the focus on employees’ end actions, external factors such as safety program management, engineering controls, communication and best practices training may be ignored. Without well rounded information, an organization prevents improvements in these areas.

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106 Green World Group Absence of trust in communication: Trust is one of the core components for an effective safety culture. One needs to learn from mistakes and errors which offers invaluable learning opportunities. The workforce should have a good relationship across all levels as that allows the employees to voice their opinion. To create safety and trust: • •

•

Get to know each other: Make an effort to understand colleagues as individuals. This doesn’t require a great deal of time or deep, personal disclosures — just taking a moment to ask about someone’s weekend and occasionally sharing stories of your own. Talk about emotions: The ability to discuss emotions is a critical feature in any group that aspires to share effective feedback, not only because feelings are at the heart of most difficult feedback, but also because feedback inevitably generates difficult feelings. When we can talk about our embarrassment, disappointment, frustration, and even anger, the culture is sufficiently safe — and robust — to handle real feedback. Make it OK to say no: A risk in feedback-rich cultures is that people feel obligated to say “Of course,” when asked, “Can I give you some feedback?” The freedom to postpone such conversations when we’re not ready to have them ensures that when they do take place all participants are willing parties.

Incentive program: Depending on how incentives are used, they may negatively affect your safety program. If employees are rewarded for hitting the company quota on injury rates or days without incidents, they may be discouraged from reporting incidents. This can cause near misses to go unreported and put workers’ safety in a fragile state. Incentive programs should be carefully planned and considered before implementing to make sure that they do not discourage employees from taking an active role in safety. Anonymous observation: is the third issue that can arise with a 100-percent focus on behavior-based safety. By using anonymous observation of other employees, each employee is responsible to report unsafe behavior conducted by their peers to management. This can cause conflict and peer pressure amongst workers and concern that safety issues are not being addressed. It is critical to encourage employees to report issues without the fear of negative consequences, as well as encouraging them to report good behavior and share ideas for improving workplace safety. Risk Perception: Another obstacle to change is an organization’s general approach to the perception of risk. Often, injured employees and their supervisors evaluate the seriousness of an event by the result. For example, an employee with a small cut on their finger might feel frustrated at having to fill out a threepage accident report for what appears to be a minor injury. A sage employee may not even report a similar injury in the future because the reporting process appears to provide little value. In this case the employee is evaluating the seriousness of the event based on the injury—the result. However, in the safety profession we evaluate the seriousness of the event by its potential. Making a change in our safety system based on a result like a small cut will meet natural resistance if the potential

Unit ID1: Know – Workplace Health and Safety Principles (International)

107 Green World Group risk isn’t evident to all stakeholders. asking, “You want to spend more money on what?!” to employees wondering why they’re being trained on something that isn’t required. Conversely, sticking with the status quo presents little overt risk in terms of job security or professional reputation. But if the goal is to reduce injuries by as much as possible then it’s clear that the status quo bias must be overcome. If you stick with the status quo then you will only get status quo results. The best way to address problems with perception is through education. Companies have a decent track record of teaching workers the mechanical functions of a change—like the ins and outs of new paperwork or processes—but spend far less time educating employees on the reason a change is necessary. At the outset of any change initiative, companies can secure employee buy-in by clearly explaining why the change is necessary, why it will be beneficial for employees and by answering any questions they have. Doing so will not only recalibrate workers’ risk perception but it will cut down on their resistance to change too. Resistance to change: The attitude of an organization, from top to bottom, affects the success of a safety management system. It’s important to acknowledge that employees will resist change unless that change is framed with a positive outcome for them as individuals. These are specific attitudinal obstacles and misconceptions to address for both leaders and employees: • • • • • • • •

Lack of trust A climate of fear The uncertainty of constant change Treating change like a program instead of a process A history not conducive to employee involvement Leaders who won’t let go Employees who focus on their co-workers’ imperfections Amount of time and effort involved

Training: When making changes to a system or rolling out a new system, you need ample time to train a core team of experts and then additional time for people to change old habits, ask questions and make adjustments. The success of a safety management system can be challenged by: • • •

Inadequate training Team members being assigned or assuming too much responsibility Inadequate time for training to take root, leading to employee frustration and fear of getting it wrong

Building trust in the workforce including psychological confidence i.e.. Workforce know that their view matter and are not afraid to voice an opinion As individuals, we each choose whether we will trust someone or not. Within an organization, that decision to trust plays a bigger role in your company’s success that you might think. As per a research done by – Great Places to Work Institute, trust between managers and employees is the primary defining characteristic of the very best workplace. They’ve found that companies with high trust regularly outperform the S&P 500 by a factor of three.

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108 Green World Group The importance of trust in the workplace In the workplace, if trust is low, it impacts your relationships with your teammates and often means that projects aren’t completed properly or even at all. Headlines have blared for years: “Your team will succeed only if they trust each other” or “A team without trust really isn’t a team.” But here’s the problem: Organizations are not great at fostering trust, with 63% of employees not trusting their direct boss. Trust in senior executives is even worse — in the United States, it’s around 38% of employees that fully trust the CEO and her/his team, and in Canada it’s about 25%. (Japan is the lowest of studied countries, with a dismal 18% of employees trusting the leadership team.) Trust is inherently important to the functioning of a team, but many organizations are operating seemingly devoid of trust. That’s both a chasm and an inefficiency. If you could develop more trust on your team and in your organization, it would be akin to a “blue ocean” strategy — where you carve out a new area of differentiation — over your rivals, because statistically it doesn’t seem like they’re actively developing trust internally. In many cases companies need to revamp their existing practices and implement new safety initiatives, technologies and strategies. Successfully doing all that requires a tremendous amount of trust, and we can’t have a conversation about safety culture without talking about this essential building block. A high level of trust promotes an environment in which employees can focus on their work and do their jobs better. Improved performance leads to fewer safety issues and better output overall. Companies who have ensured this high trust have seen impressive results which can extend to better safety programs. These firms experience 56% lower employee turnover, generate more repeat business, and see 25-95% higher profit margin. Trust builds a strong safety culture Trust paves the way for a strong safety culture, where employees actively participating in various programs, adhere to best practices, and contribute when necessary. Good companies have a robust organization-wide understanding and buy-in to safety programs. That means all employees know about which safety steps the company has taken and how they work. This is fully embedded in the culture, and employees feel like it’s their duty to be as safe as possible. Getting that buy-in and encouraging employees to live for safety values (versus just paying lip-service to them) requires trust. Employees and project stakeholders need to feel secure and confident that management has their back in order for them to feel safe about doing things like participating and contributing to your initiatives, reporting incidents, and voicing their opinions. In other words, team members need to feel emotionally safe in order to do their part and also look out for the rest of the team.

Unit ID1: Know – Workplace Health and Safety Principles (International)

109 Green World Group Importance of Transparency Good companies demonstrate transparency through their internal processes and communications. For most of the starters, safety programs rely on open communication and transparency to work. By improving communication among crew members it can translate to superior safety performance and fewer workplace injuries. In other words, jobsites will be much safer when communication improves and matters are discussed openly. After all, safety issues can’t be dealt with if team members don’t know what’s going on. A high level of trust can prevent this from happening because it promotes an environment where people feel secure about speaking up, and thus issues are addressed promptly. Minimizes Uncertainty Uncertainty prevents employees from being able to do their jobs efficiently. When people aren’t sure where they stand or what happens next, they can’t be as responsive or productive, and this diminishes safety at the jobsite. Uncertainty also contributes to low morale. When teams are uncertain of something, they naturally begin to assume the worst. This leads to fear, which in turn can prevent or hinder needed action and good decision making. The best way to minimize uncertainty is to foster a high-trust environment that promotes transparency and clear communication. And never blindside your employees. This is a sure-fire way to lose their trust. Keep project stakeholders in the loop with all updates and developments, so they know what to expect at any given time. The bottom line: jobsites will be much safer when matters are discussed openly. Importance in Investing in Employee safety Employees play a critical role in maintaining jobsite safety, so you need them to be at the top of their game. In order for that to happen, your team members need to trust that you’re looking out for their safety. Provide the right tools and equipment Always have the appropriate machinery and tools in place and conduct regular checks to ensure compliance with the latest safety standards. Maintenance histories and detailed safety checklists are a must, not just for the sake of compliance, but also for transparency. Proper record-keeping communicates to employees that you’re looking out for them. Offer protective and safety equipment The usual safety gear such as hardhats and vests are essential all year round, but during a pandemic, additional PPE — such as respiratory protection — are likely required. You’ll need to equip your team with PPE that works and functions well, while maintaining proper fit. Don’t settle for one-size-fits-all gear, as they can do more harm than good. For instance, women often have to wear ill-fitting gear designed for

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110 Green World Group men, which can impede their movement, making them less effective at their jobs as well as more likely to experience mishaps. Focus on training Part of helping employees feel safe is giving them confidence to do their jobs well. This starts with the right training. It doesn’t matter how well-intentioned an employee is; if they don’t know how to operate a particular tool or wear their gear properly, they’re endangering themselves and their colleagues, which puts the whole project in jeopardy. So, implement rigorous training for all team members, and conduct follow-ups regularly — even when they’re not strictly required. Not only will this keep you compliant (and preserve your eligibility for insurance payouts), but it will also dramatically reduce jobsite safety violations. If you already have a training program in place, re-evaluate its effectiveness. According to a 2018 study on commercial construction, 80% of contractors are concerned about jobsite safety. The study also found that 67% of respondents feel that the most impactful actions that contractors could take to increase safety is to provide more training to employees. By giving suitable and sufficient training employees trust towards health and safety culture can be further increased. Create clear processes and transparency Having consistent, repeatable methods and practices leads to more streamlined operations, and fewer errors. Strive to find a routine and promote consistency in your projects. This means implementing predictable practices around meetings, project planning, post-mortems, etc. Again, when people know what to expect, they’ll worry less, do their jobs better, and be safer overall. Of course, jobsites can be complex and unpredictable at times, and this is where transparent communication comes in. If routines aren’t possible, keep everyone safe by keeping them in the loop. Communicate clearly and be direct. If unexpected or complicated issues come up, discuss them via oneon-one meetings to prevent misunderstandings. Improve Teamwide Relationship Trust organically stems from great relationships, which is why you should encourage your team to form strong bonds. Every organization is different, so there’s no one best way to improve relationships. But a good starting point is to develop informal personal contracts between team members. These are not signed and written legal contracts, but rather agreements about how things will be done. For example, what is the communication plan for team members? How should decisions be made? Who has the authority to make what decisions, and when? Establishing answers to these questions will help facilitate trusting relationships — which ultimate improves safety in the workplace and jobsite. Introduce new technology to promote health and safety

Unit ID1: Know – Workplace Health and Safety Principles (International)

111 Green World Group New technologies that promote health and safety are constantly being developed. Investing in these things is a smart thing to do, but you need to do it with caution. Technology, no matter how innovative or safe, can make people uncomfortable, simply because it’s unfamiliar. Employees might have some misgivings about new technology — even if it’s designed to keep them safe (e.g. tools that utilize AI to enforce social distancing, or even temperature checks). One way to overcome employee distrust or apprehension is to come up with a strong communication and training program. Launch an initiative that showcases the value of the new tools, and make sure employees know what’s in it for them. It’s also smart to roll out any tech changes gradually, as to not overwhelm the crew. Being methodical with your implementation gives you the chance to learn and refine your efforts. Finally, collect feedback. Check-in with team members to see how they feel about the transition and what can be done to make them more engaged and comfortable. Psychological Safety in the workplace Psychological safety in the workplace is felt when managers and peers do not penalise a person or think they are not good enough, just because of a mistake made by them. In an environment that is considered psychologically safe, people don’t mock others or create hurdles for the ones asking for help, feedback or information to slow them down. A positive mental and emotional state psyche is conducive to developing trust and a sense of belonging in the organisation. The role of managers at this juncture is to inspire the teams to be resilient and motivated. The managers need to buckle up and put robust practices in place including regular feedback, development of effective relations, setting a proper incentive structure and development of a supportive work environment. Without these elements, the teams tend to lack the attitude for high performance and collaboration. In a safe culture, asking questions without a fear of retribution is acceptable and welcomed, which leads to confident teams that can take risks for a better future of the company. It is important for managers to create a culture of psychological safety for their teams. When beginning to develop and manage large teams, the leaders must be able to foster open communication and conversations that can promote mutual engagement and enhance levels of cognitive safety in the organisation at large. In the absence of the culture of questioning and cognitive resilience, employees tend to consider peer and managerial pressure to be more than a transactional issue at work. They start viewing these situations as a threat to their position at the company. In turn the team starts to focus on the negative consequences of not obeying their managers. This results in lack of creative thought, as the employees are fearful of developing thinking practices of innovation and bringing new ideas on the table. As the team starts to grow in number, it is important to develop a culture that looks beyond competence of the team members.

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112 Green World Group The elements and levels of the British HSE’s Safety culture maturity model The safety culture maturity model concept was initially developed by the Software Engineering Institute (SEI) as a mechanism to improve the way software is built and maintained. The model provides organisations with a five level process to assist them in developing their software engineering practices. The five levels are Initial, Repeatable, Defined, Managed and Optimising. The capability maturity model framework has been adapted to be used in other domains and to address issues, such as project management, human resources, usability and quality. The capability maturity model concept is useful because it enables organisations to establish their current level of maturity and the actions required to reach the next level. The safety culture maturity of an organisation consists of ten elements, which are described below. An organisations or installation’s level of maturity is determined on the basis of their maturity on these elements. It is likely that an organisation will be at different levels on the ten components of the SCMM. Deciding which level is most appropriate will need to be based on the average level achieved by the organisation or installation being evaluated. Ten elements of the safety culture maturity model • • • • • • • • • •

Management commitment and visibility Communication Communication Productivity versus safety Learning organisation Safety resources Participation Shared perceptions about safety Trust Industrial relations and job satisfaction Training

Five levels of safety culture maturity

The safety culture maturity model presented in Figure 1 overleaf is set out in a number of iterative stages. It is proposed that organisations progress sequentially through the five levels, by building on the strengths and removing the weaknesses of the previous level. It is therefore not advisable for an organisation to attempt to jump or skip a level. For example, it is important for organisations to go through the managing level before the involving level as it important that managers develop their commitment to safety and understand the need to involve frontline employees.

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113 Green World Group

The concepts of blame, no-blame and just culture (Dekker) About Sidney Dekker Sidney Dekker (PhD Ohio State University, USA, 1996) is Professor and Director of the Safety Science Innovation Lab at Griffith University in Brisbane, Australia, and Professor at the Faculty of Aerospace Engineering at Delft University in the Netherlands. Sidney has lived and worked in seven countries across four continents and won worldwide acclaim for this ground breaking work in human factors and safety. He coined the term ‘Safety Differently’ in 2012, which has since turned into a global movement for change. It encourages organizations to declutter their bureaucracy and set people free to make things to well, and to offer compassion, restoration and learning when they don’t. An avid pilot of planes large and small, he has been flying the Boeing 737 as airline pilot on the side. What is a just culture? Accountability is a trust issue and fundamental to human relationships. Being able to and having to explain why one did what he did is a basis for a decent, open, functioning society. Just culture is about balancing safety (learning and improvement) and accountability. Just Culture wants people to bring information on what must be improved to groups or people who can do something about it and spend efforts and resources on improvements with safety dividend rather than deflecting resources into legal protection and limiting liability. This is forward looking accountability. Accountability must not only acknowledge the

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114 Green World Group mistake and harm resulting from it, but also lay responsibilities and opportunities for making the changes so that the probability of the same mistake/harm in the future goes down. Research shows that not having a just culture is bad for morale; commitment to the organization; job satisfaction and willingness to do that little extra outside ones role. Just Culture is necessary if you want to monitor safety of an operation, want to have an idea about the capability of the people or organization and to effectively meet the problems that are coming your way. Just culture enables to concentrate on doing a quality job and making better decisions rather that limiting (personal) liability and making defensive decisions. Just culture promotes long term investments in safety over short-term measures to limit legal or media exposure. The concept of blame, and no-blame Events can have different interpretations: is a mistake just a mistake or a culpable act? Often there is no objective answer, only how you make up your mind about it. Companies often impose difficult choices on their employees. On one side “never break rules, safety first” on the other “don’t cost us time or money, meet your operational targets, don’t find reasons why you can’t”. A single account cannot do justice to the complexity of events. A just culture: • • • • • •

Accepts nobody’s account as ‘true’ or ‘right’, Is not about absolutes but about compromises Pays attention to the “view from below” Is not about achieving power goals Says that disclosure matters and protection of those who do just as much Needs proportionality and decency.

In a just culture people will not be blamed for their mistakes if they honestly report them. The organization can benefit much more by learning from the mistakes than from blaming the people who made them. Many people fail to report not because they are dishonest, but because they fear the consequences or have no faith that anything meaningful will be done with what they tell. One threat is that information falls in the wrong hand (e.g. a prosecutor, or media - notably for government related agencies due to freedom of information legislation!). Some countries provide for this reason certain protection to safety data and exempt this information from use in courts. Getting people to report is difficult and keeping the reporting up is equally challenging. It is about maximizing accessibility (low threshold, easy system, …) and minimizing anxiety (employees who report feeling safe). It is building trust, involvement, participation and empowerment. Let the reporter be a part in the process of shaping improvement and give feedback. It may help to have a relatively independent (safety) staff to report to instead of line reporting (which does have advantages regarding putting the problem where it should be treated and having the learning close to the process).

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115 Green World Group Behavioural change programmes Principles of Behavioural Change Programmes • • • • • • •

Define 'safe' and 'unsafe' behaviour. All involve observation of behaviour in the workplace. By managers and/or peers. With/without targets. Provide feedback. Reinforce safe behaviour 'reeducate' unsafe behaviour. Feedback ranges from on-the-spot specific feedback and discussion, to impersonalized general data.

Behavioural change programme Advantages Disadvantages • Discussing safety in the workplace. • Rule violation vs. good rules? • Learning to communicate • BIG, disciplined effort required. constructively. • Very often fails through lack of real • Management visibility. commitment or discipline. • Employee engagement in safety. • Some changes will be expensive. • Managers/supervisors (when involved). • Not 'owned' by everyone. • Learn to observe. • Off the peg' or consultant-led programmes can fail because of poor fit • Learn to act promptly on unsafe acts. with local style/culture (UK/US). • Can learn about safety leadership. • Trust levels amongst management and • Learn to think about aspects of human employees must match. factors. • Lack of friendly • Can provide some leading indicators for communication/Directive style of safety. management. • Can actually change behaviour ("cognitive dissonance"). • Will identify dangerous situations.

The organisational conditions needed for success in behavioural change programmes There are a number of ways in which you can successfully influence safe behaviour at work, e.g.: • • •

By education and training; Through improved ergonomic design; and By introducing a goal-setting and feedback programme.

The approaches complement each other and you may choose to consider more than one. Beliefs and knowledge are important determinants of safe behaviour. People need to know what the safe behaviour is. Education and training are therefore vital.

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116 Green World Group Training should cover such key aspects as: • • • •

Knowledge of the work-related health and safety risks; Training and feedback in the proper use of safety-related equipment and procedures; Awareness of the benefits of carrying out safe behaviour; and The views of managers and colleagues on risk-taking.

Behavioural safety programmes have made a substantial contribution to improving health and safety performance in several industrial sectors. However, there are a number of difficulties that may arise during their implementation. Workforce concerns, including: • • • •

Issues about 'spying' on colleagues. Seeing the programme as another initiative that will not last. Worries that workers will be blamed for accidents. Disagreements over safe practices.

Management issues, including: • • • • •

Insufficient management support for the approach. Expectations of a 'quick fix', leading to loss of commitment when improvements come more slowly. Organisational changes that may lead to low morale and loss of key players. Autocratic management style. Inconsistent behaviour of managers when enforcing agreed safety behaviours and rules.

Increasing the effectiveness /chance of success: • • • • • •

Ownership - developed in-house is best. Good fit with organisations needs culture and SMS. Commitment (involvement is better) from management. Good communication and understanding of programme. Approach seen as 'fair and just' - trust. Managers act as role models.

Focusing on Behaviour: While most safety professionals now accept that the majority of workplace accidents are caused by a combination of employee, employer, job and workplace factors, the outdated view was that on-the-job accidents and injuries were the direct result of carelessness and unsafe behaviours. This led to a focus on discipline and training and to the promotion of health and safety incentive programmes which have had little proven success in the long term. Awareness of the hazard: People are normally concerned with doing a good job rather than being consciously aware or concerned about the occupational health and safety hazards in their workplace. At appropriate danger signals or for certain critical tasks we need to be able to switch over to a more conscious and focused way of thinking about the risks and controls.

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117 Green World Group There are a number of influences on whether a person feels at risk from a hazard. A risk is seen as being greater if we perceive it as having severe consequences or if we feel personally vulnerable. For example, a health worker's beliefs about the likelihood of contracting the HIV virus will impact on their perception of the hazard as significant or not. If we feel that the available controls are of limited effectiveness then, in extreme cases, this can lead to us dismissing the threat. Overconfidence, over-optimism or over-familiarity may act to reduce our appraisal of a hazard as significant. There are also well-known biases in individual risk perception, which will influence our appraisal of a hazard. People are bad at judging probability and especially bad at judging risk. This is important because accident rates tend to be higher in groups of people who estimate risks as low. Typically we underestimate the risks attached to our own work. This tendency is greater in familiar situations or where we choose ourselves to take a risk. People with different roles in the same workplace may judge risks differently. In general we make a lower risk estimation of our own job than of other jobs. For example, workers in the construction industry were asked to estimate the risk of falls by different tradesmen. These included carpenters, tile layers, scaffolders, painters and steel erectors. Each of these groups made consistent judgements but overestimated the risks of trades other than their own by about 10%. They all underestimated their own risks. To improve our appreciation of risks we need information about the hazard, risk estimates, exposure modes, and available control measures. If individual workers can be made to feel personally vulnerable then this is also helpful. Fear-inducing messages are not usually advisable since people are more likely to reject a threatening fear-inducing message and to assume that the message is for someone else. Constant pressure is needed to make sure that judgments of risk are realistic. Behaving safely: The work environment and the health and safety climate influence our safe behaviour. If supervisors and managers appear to condone unsafe behaviour in order to achieve productivity goals then safe behaviour will be less likely. Content of typical behavioural change programmes A typical behavior change programme will consist of following elements: • • • • • • • • •

Develop a local behaviour change policy and strategy Ensure organisation policies, strategies, resources and training all support behaviour change Commission interventions from services willing to share intervention details and data Commission high quality, effective behaviour change interventions Plan behaviour change interventions and programmes taking local needs into account Develop acceptable, practical and sustainable behaviour change interventions and programmes Use proven behaviour change techniques when designing interventions Ensure interventions meet individual needs Deliver very brief, brief, extended brief and high intensity behaviour change interventions and programmes

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118 Green World Group • • • • • • •

Ensure behaviour change is maintained for at least a year Commission training for all staff involved in helping to change people's behaviour Provide training for behaviour change practitioners Provide training for health and social care practitioners Assess behaviour change practitioners and provide feedback Monitor behaviour change interventions Evaluate behaviour change intervention

According to the ‘stages of behaviour change’ model, the following six steps make up the complex process a person uses to change their habits and behaviours and integrate changes into their lives. Pre-contemplative/unaware: In this stage, people are not interested in change, can’t see the need to change and have no intention of doing anything differently. They defend their current behaviour and are not aware that their life could be better. This group does not see falls as a real issue for them. This group tends to avoid information, discussion or even thought about change and the need for it. Some observers would characterise this group as ‘resistant’, ‘unmotivated’, or ‘in denial’ and not focused on the need to change or the actual change itself Contemplative: In this stage, people start to think about the issue and the possible need to make some changes. They recognise that there is a problem and that they can and should do something to make their lives better. There may have been a trigger event like an older person who is a friend or neighbour having had a bad fall or there may be some other form of prompt that starts the process of considering change. For example, people could be motivated to get their eyes checked or have a medication review. This group is now beginning to see that their behaviour needs changing. People in this group are often seen as procrastinators and ambivalent, however what they are actually doing is weighing up the pro’s and con’s (including the costs and benefits) of any possible behaviour change. Giving up an enjoyed behaviour causes them to feel a sense of loss despite the perceived gain. At this stage, people are very open to information and scour sources for options and strategies. Preparing: A change is about to happen. The person concerned has realised how serious their situation is, has made a decision or a commitment to change and is currently completing any ‘pre-change’ steps with a view to making the required change within the next month. An example would be finding out details of local physical activity classes and working out which public transport option to use. This stage is also an information gathering period. This stage is typified by determination, making plans, introspection about the decision to change as well as a reaffirmation of the need and desire to change. This is typically a period of transition. It is not seen as a stable time and is usually quite short. Action/trying: This stage applies to those people who have made real and overt changes or modifications to their lives and are starting to live their ‘new’ life. While the chances of relapse and temptation are very strong, there is also openness to receiving help and support. This stage is the ‘willpower’ stage and shortterm rewards to sustain motivation are commonly used. This group is also prone to analyse any behaviour changes to enhance their self-confidence and to help make better plans to deal with either personal or

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119 Green World Group external pressures. Usually, after about six months, the person moves from the action stage to the maintenance stage. Maintaining: By this stage, people are working to consolidate any changes in their behaviour, to maintain the ‘new’ status quo and to prevent relapse or temptation. The former behaviour is now seen as no longer desirable and a number of coping strategies have been put in place and are working. This group needs to be patient and avoid personal and environmental temptations. There is a need for them to remind themselves of the progress that has been made already and to stay on the course of change. The risk of lapsing is substantially less than in earlier stages Termination/advocacy/transcendence: This ‘new’ stage is the continuing part of any behaviour change and includes the understanding that going back to old habits or behaviours would ‘feel weird’ and that former problem behaviours are no longer perceived as desirable. This stage can also have an element of advocacy about it with some people committed to spreading the word to their neighbours, family members, other workplaces or the public at large. This sort of advocacy plays an important part in helping move other people along the behaviour change path and needs to be encouraged and supported. During this stage, relapse can occur, but it is not seen as a failure but rather as a learning opportunity to help strengthen coping strategies and support mechanisms

2.5 Traditional and proactive safety management Safety management is commonly understood as applying a set of principles, framework, processes and measures to prevent accidents, injuries and other adverse consequences that may be caused by using a service or a product. It is that function which exists to assist managers in better discharging their responsibilities for operational system design and implementation through either the prediction of system’s deficiencies before errors occur or the identification and correction of system’s deficiencies by professional analysis of safety occurrences. Safety management implies a systematic approach to managing safety, including the necessary organisational structure, accountabilities, policies and procedures. Safety management is an organisational function, which ensures that all safety risks have been identified, assessed and satisfactorily mitigated. In any industry safety management is a combination of the two described perspectives, traditional and modern. The reactive (or traditional) safety management approach is useful when dealing with technological failures, or unusual events. It is generally described by the following characteristics: • •

The focus is on compliance with the minimum safety requirements; The level of safety is based on reported safety occurrences, with its inherent limitations, such as: examination of actual failures only; insufficiency of data to determine safety trends; insufficiency of insight regarding the chain of causal and contributory events; the existence and role of latent unsafe conditions.

In today’s economy, businesses are challenged to continually improve quality and they do it. At these companies, the most important thing an employee can do is share his or her knowledge about eliminating

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120 Green World Group daily problems with quality, productivity and safety in the system. Knowledge always is given voluntarily, so the de-motivating methods practiced in command and control will not work in this new environment. This is as true for safety as it is for quality. Traditional safety (sometimes called ‘Safety I’) Traditional safety management is effective but nowhere near what it could be if it adopted the management theory of continual improvement. To do this, it would have to change its objectives from compliance and employee motivation to continual improvement of safety in the work system. In this world, safety management must be fast, focused, flexible and friendly to address the variations in common causes in the always-changing processes created in lean work systems. Safety management must create a system in which employees experience autonomy, mastery and purpose when it comes to onthe-job safety. These three concepts are absent in traditional safety management and this prevents ownership of the safety program by employees, a step that is necessary for any safety program to be effective. According to any Safety Management Manual safety management in any industry is a combination of the two described perspectives, traditional and modern. The reactive (or traditional) safety management approach is useful when dealing with technological failures, or unusual events. It is generally described by the following characteristics: The focus is on compliance with the minimum safety requirements; The level of safety is based on reported safety occurrences, with its inherent limitations, such as: examination of actual failures only; insufficiency of data to determine safety trends; insufficiency of insight regarding the chain of causal and contributory events; the existence and role of latent unsafe conditions. Proactive safety management (sometimes called ‘Safety II’ and ‘Safety Differently’) The proactive approach in the safety management is based on following a risk management strategy that includes identifying hazards before they materialize into incidents or accidents and taking the necessary actions to reduce the safety risks. Components of a proactive safety management strategy are: • • • • • • • •

Unambiguous safety policy ensuring the senior management commitment to safety; Hazard identification and risk assessment using state-of-the-art risk assessment methods; Safety reporting systems used to collect, analyse and share operational safety related data; Competent investigation of safety occurrences with sole purpose of identifying systemic safety deficiencies; Safety monitoring and safety oversight aimed to assess safety performance and eliminate problem areas; Dedicated safety training for personnel Safety lesson dissemination and sharing best practices among operators and service providers; Building a corporate safety culture that fosters good safety practices and encourages safety communications in a non-punitive environment

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121 Green World Group None of these components will, on their own, meet expectations for improved safety management. An integrated use of all these components will increase a system’s resistance to unsafe acts and conditions. The consistent integration of the components of proactive safety management is commonly referred to as a Safety Management System (SMS). The growing recognition of the role and importance of safety management has led to the progressive implementation of safety management systems by aviation service provider organisations (airlines, air navigation service providers, airport operators) in the last few years. This process is managed and monitored by States through dedicated safety programmes in line with International Civil Aviation Organisation (ICAO) recommendations. Improving corporate safety performance by proactively managing the safety of provided services is increasingly recognized by all aviation sectors as a prerequisite for sustainable business management and operational growth. Limitations of traditional and proactive safety management It has become increasingly clear that traditional risk management approaches do not adequately identify, evaluate and manage risk. Traditional approaches tend to be fragmented, treating risks as disparate and compartmentalized. These risk management approaches often limit the focus to managing uncertainties around physical and financial assets. Because they focus largely on loss prevention, rather than adding value, traditional approaches do not provide a holistic framework most organisations need to redefine the risk management value proposition in this rapidly changing world. The main problem with proactive safety management is that the future is uncertain and that an expected situation may, therefore, never happen. In that case, preparations will have been made in vain, hence wasted. Another, and possibly worse, problem is that predictions may be imprecise, so that the wrong preparations are made. When a system prepares to respond, the human and material resources that are allocated to the response will not be available for other purposes. Proactive safety management thus means taking a risk, not least an economic one. On the other hand, not being ready may be even more costly in both the short and the long run. The effects of proactive safety management on health and safety culture The benefits of a proactive safety regime are that it will enforce a positive safety culture, help to prevent accidents from occurring, and improve health and safety budgeting. Safety culture encompasses the expectations, feelings, and perspectives of employees toward the safety of all workers in an organization - it is how safety is managed in the workplace. Of course, taking a proactive approach to building a positive safety culture will have a large impact on your company. A positive safety culture can lower staff turnover, reduce absenteeism, lower training costs, decrease workplace accidents, reduce possible insurance claims, and have a positive effect on your company’s reputation. In general, a happier group of employees will be more productive and produce higher quality work. Hence, a positive safety culture is something that’s worth being proactive about.

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122 Green World Group Hence if there is a proactive safety management there is a positive safety culture can definitely help us achieve the below benefits. 1. In a positive safety culture, nothing takes precedent over safe work under any circ*mstances. The workforce never feels as if safe work procedures are an obstacle to getting their tasks done correctly, on time, and without reprimand. The keyword here is “feels." 2. In a positive safety culture, all personnel, from the front line to the senior leadership, share the same responsibility for safe work. If you want to keep your workforce safe, accountability is key. Complacency and ineffective safety-related communication can lead to lapses in accountability if your company has a negative safety culture. 3. In a positive safety culture, the safety system is informed by the workforce, not designed and enforced only by management. Even if you think you have a great, positive safety culture, your workers’ input is critical to ensure it actually works to reduce incidents. Why? Because it needs to be in their language and suited to their needs and the pressures of their jobs. 4. In a positive safety culture, existing safety systems are constantly developed and improved. The answer is yes, of course. You can make changes to prevent accidents every day. This is called Proactive Safety. 5. In a positive safety culture, communication occurs openly between departments, members of the workforce, and management. communication is not just one-way and is always open and encouraged. Yes, more communication. But it’s so important. We’ve already provided two examples of miscommunication: • •

when a manager’s meaning was not appropriately conveyed resulting in assumptions when communication from management reflected double standards

6. In a positive safety culture, management/leadership play an active role to demonstrate that the safety of the workforce is the top priority. When management says they prioritize worker safety and then somehow communicate the opposite, the workforce begins to mistrust management and their intentions. 7. In a positive safety culture, incidents, safety issues, or stopping work for safety concerns are not met with negativity. Negativity and reprimands are the most obvious indicators of a negative safety culture. Responding to a safety issue with punitive measures sends a pretty ridiculous message: “Don’t hurt yourself or you’ll get in trouble.”

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2.6 Risk perception Human sensory receptors and their reaction to stimuli, sensory defects and basic screening techniques When reacting to and involving yourself and others in matters of health and safety, the human senses are required. The sensory system is used all the time in everyday life and can be defined more professionally as: A sensory system is a part of the nervous system responsible for processing sensory information. A sensory system consists of sensory receptors, neural pathways, and parts of the brain involved in sensory perception. Commonly recognised sensory systems are those for vision, hearing, somatic sensation (touch), taste and olfaction (smell). Receptive fields have so far been identified for the visual system, auditory system and somatosensory system. Sensory systems code for four aspects of a stimulus; type (modality), intensity, location, and duration. Certain receptors are sensitive to certain types of stimuli (for example, different mechanoreceptors respond best to different kinds of touch stimuli, like sharp or blunt objects). Receptors send impulses in certain patterns to send information about the intensity of a stimulus (for example, how loud a sound is).

The Five senses

The location of the receptor that is stimulated gives the brain information about the location of the stimulus (for example, stimulating a mechanoreceptor in a finger will send information to the brain about that finger). The duration of the stimulus (how long it lasts) is conveyed by firing patterns of receptors.

Basic screening techniques refer to how, as humans, we screen out what we perceive to be of little use to use at that given time. Certain tasks can become screened out such as typing on a keyboard or driving a car. Sensory processing disorder is a condition in which the brain has trouble receiving and responding to information that comes in through the senses. Some people with sensory processing disorder are oversensitive to things in their environment. Common sounds may be painful or overwhelming. The light touch of a shirt may chafe the skin. Others with sensory processing disorder may: • •

Be uncoordinated Bump into things

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Be unable to tell where their limbs are in space Be hard to engage in conversation or play

Sensory processing problems are usually identified in children. But they can also affect adults. Sensory processing problems are commonly seen in developmental conditions like autism spectrum disorder. Sensory processing disorder is not recognized as a stand-alone disorder. But many experts think that should change. The process of perception of danger, perceptual set and perceptual distortion Perception is defined as “the process by which an individual selects, organises, and interprets stimuli into a meaningful and coherent picture of the world”. It is essentially how individuals see the world, which is undoubtedly a unique vision based on a lifetime of internal and external influences. A stimuli can be highly subjective and an individual can have different perceptions of that stimuli based on different circ*mstances. An interpretation of a stimulus depends on the ambiguity of the stimuli, an individual’s past experiences, their motives and their interests at the time. Risk perception is rarely entirely rational. Instead, people assess risks using a mixture of cognitive skills (weighing the evidence, using reasoning and logic to reach conclusions) and emotional appraisals (intuition or imagination). Several theories have been proposed to explain why different people make different estimates of the dangerousness of risks. Three major families of theory have been developed: psychology approaches (heuristics and cognitive), anthropology/sociology approaches (cultural theory) and interdisciplinary approaches (social amplification of risk framework). Some specific factors that affect perception of danger include: •

•

• •

•

Trust: When people trust the officials providing information about a particular risk — or the process used to assess risk — they tend to be less afraid than when they don't trust the officials or the process. Origin: People are less concerned about risks they incur themselves than the ones that others impose on them. This helps explain why people often get angry when they see someone talking on the cell phone while driving — and yet think nothing of doing so themselves. Control: Perceived control over outcomes also matters. This helps explain why someone is not afraid of driving a car — even though automobile crashes kill thousands of people each year — but may be afraid of flying in an airplane. Nature: Dangers in nature — such as sun exposure — are perceived as relatively benign, whereas man-made harms — nuclear power accidents or terror attacks — are more menacing. Scope: Cataclysmic events, capable of killing many people at the same time, are scarier than chronic conditions — which may kill just as many people but over a longer period. That helps explain why a tsunami or earthquake feels scarier than heart disease or diabetes. Awareness: Saturation media coverage of high-profile disasters raises awareness of particular risks more than others. Likewise, an event that hits close to home, such as having a friend diagnosed with cancer, heightens risk perception. Imagination: When threats are invisible or hard to understand, people become confused about the nature of the risk, and the event becomes scarier.

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•

• • •

Dread: Events that invoke dread — such as drowning or being eaten alive — scare people more than those that do not. Age affected: Risks are more frightening when they affect children. Asbestos in a school building, for example, may bother people more than asbestos in a factory. Uncertainty: Events inspire more fear when officials don't communicate what is known — or when the risks are simply unknown. In the Deepwater Horizon spill, for example, officials could more easily estimate the amount of oil spewing into the ocean than they could predict what effect that would have on wildlife and fisheries. Familiarity: Novel risks are perceived to be more dangerous than more familiar threats. That's why West Nile virus may be perceived as more of a risk to health than not testing a smoke detector regularly. Specificity: Victims who are publicly identified evoke a greater emotional reaction than those who remain nameless and faceless. Personal impact: Risks that affect people personally are more frightening than those that affect strangers. Fun factor: Engaging in risky behavior may not seem that way if it involves pleasure. Some examples are drug taking, unsafe sex, and high-risk sports.

A perceptual set refers to a predisposition to perceive things in a certain way. In other words, we often tend to notice only certain aspects of a object or situation while ignoring other details. When it comes to our perceptions of the world around us, you might assume that what you see is what you get. What if I told you that the way you see the world is heavily influenced (and biased) by your own past experiences, expectations, motivations, beliefs, emotions, and even your culture? For example, think about the last time you started a new class. Did you have any expectations at the outset that might have influenced your experience in the class? If you expect a class to be boring, are you more likely to be uninterested in class? In psychology, this is what is known as a perceptual set. A perceptual set is basically a tendency to view things only in a certain way. Perceptual sets can impact how we interpret and respond to the world around us and can be influenced by a number of different factors. Forces that influence perceptual sets include: •

•

Motivation can play an important role in perceptual sets and how we interpret the world around us: If we are rooting for our favorite sports team, we might be motivated to view members of the opposing team as overly aggressive, weak, or incompetent. In one classic experiment, researchers deprived participants of food for several hours. When they were later shown a set of ambiguous images, those who had been food-deprived were far more likely to interpret the images as food-related objects. Because they were hungry, they were more motivated to see the images in a certain way. Expectations also play an important role: If we expect people to behave certain ways in certain situations, these expectations can influence how we perceive these people and their roles. One of the classic experiments on the impact of expectation on perceptual sets involved showing participants either a series of numbers or letters. Then, the participants were show an ambiguous

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•

image that could either be interpreted as the number 13 or the letter B. Those who had viewed the numbers were more likely to see it as a 13, while those who had viewed the letters were more likely to see it as the letter B. Culture also influences how we perceive people, objects, and situations: Surprisingly, researchers have found that people from different cultures even tend to perceive perspective and depth cues differently. Emotions can have a dramatic impact on how we perceive the world around us: For example, if we are angry, we might be more likely to perceive hostility in others. One experiment demonstrated that when people came to associate a nonsense syllable with mild electrical shocks, they experienced physiological reactions to the syllable even when it was presented subliminally. Attitudes can also have a powerful influence on perception: Prejudice could have an influence on how quickly people categorize people of various races.

Perceptual distortions are incorrect understandings or abnormal interpretations of a perceptual experience. A perceptual distortion occurs when a person's response to stimuli varies from how it is commonly perceived. Perceptual distortions can relate to either sensory or psychological perception and can occur as a result of cognitive bias, psychological disorders, medication or drugs, or physical damage to the brain or sensory organs An example of perceptual distortion is found in people suffering from an eating disorder. People afflicted with anorexia nervosa holds a distorted self-image. They see their bodies as overweight and unsightly, whereas other people see the sufferer as malnourished and underweight. Another example of perceptual distortion is commonly found in people with the mental illness schizophrenia. When a person is unable to recognize that he has an illness, then he is said to have anosognosia, or lack of insight. Perceptual distortions can result from cognitive biases, or patterns of thought and deviations in judgment in particular situations. Common examples are the observer expectancy effect, known also as the selective perception bias, which skews interpretation of results to be in line with a theory one already believes, and attentional bias, which is the tendency for one’s emotions to determine or affect one's focus. Errors in perception caused by physical stressors Studies of risk perception examine the judgments people make when they are asked to characterise and evaluate hazardous activities and technologies. This research aims to aid risk analysis and policy-making by providing a basis for understanding and anticipating public responses to hazards, and improving the communication of risk information among lay people, technical experts and decision-makers. This work assumes that those who promote and regulate health and safety need to understand how people think about, and respond to, risk. Without such understanding, well-intended policies may be ineffective. Fatigue as a concept is extremely hard to define, since everybody has their own idea of what being tired means. Everybody is tired once in a while - the most common reason is, of course, lack of sleep. A wide

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127 Green World Group range of illnesses and diseases can also cause fatigue. In such cases, a person usually finds they suddenly (or even gradually) need more rest and sleep. This may affect their performance at work. Fatigue is also common when you are feeling depressed. Fatigue and shift work: Many individuals work shift systems, work at night, or work very extended hours. Such working patterns can lead to adverse effects upon health, particularly for night workers. Reduced levels of performance have been associated with night working, which can also increase the likelihood of accidents and ill-health. Some people experience severe fatigue at work. This can lead to poorer performance on tasks, which require attention, decision-making or high levels of skill. For safety-critical work, the effects of fatigue can give rise to increased risks. However, all too often, fatigue is seen as a familiar and acceptable part of everyday life. Working long hours may even be accepted in the culture of a workplace as 'the thing to do'. Some organisations are starting to look carefully at three aspects of shift work: Health effects: Shift work, especially night work, can lead to the following health problems: • • • • • • •

Difficulty in falling asleep and staying asleep, difficulty in staying alert and awake at work. Reduced quality and quantity of sleep, increased use of sleeping pills. There may be a gradual build-up of sleep loss into a 'sleep debt'. Gastrointestinal disorders. These may be linked to an increased tendency to eat snack meals at work. Respiratory problems. Asthma attacks may be worse at night. Allergic reactions may become worse. Lung function declines at night, especially for those with chronic respiratory conditions. Individuals taking regular medication may have problems with shift work. Dosages may need to be altered to take account of variations of drug effectiveness due to the time of day. A proportion of people find that they cannot cope with working shifts. They may experience health problems, which become acute only weeks after starting shift work, and they may need to move to other duties.

Possible effects on safety: Job performance may be poorer on shift work, especially when working night shifts. Tasks tend to be completed more slowly at night, although this can be balanced by altering the workload. In general, the early hours of the morning, e.g. between 02:00 and 05:00 present the highest risk for fatigue-related accidents. Sleep loss can lead to lowered levels of alertness. Cumulative sleep loss over a number of days can result in a 'sleep debt' with much reduced levels of productivity and attention. Such sleep loss results from working not only night shifts but also morning shifts with very early start times, and from 'on call' situations where it may be difficult to plan when to sleep. Social and family life: Shift work, especially working rotating shifts, may have an impact on the social life of shift workers. However, this depends on the shift schedule as well as the age, sex, number of children and perhaps the personality of the shift worker. The quality of family life for the worker, and the ability to take part in leisure activities may be affected by shift work.

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128 Green World Group What causes these negative effects? There are a number of important influences including: •

•

Biological rhythms: We have built-in body clocks to regulate all important body functions. These clocks tell us when to be active and when to rest. They also govern other physiological functions such as body temperature, hormones, digestion and blood pressure. The 24-hour biological rhythms from these clocks do not disappear even if there are changes to the environment (lighting, noise, temperature) and your routine (no sleep, changes of meal routine). Even if you are working nights, your body clock will still reduce your body temperature in the early hours of the morning, lower your blood pressure and stop digestion. This will make you sleepier and less alert. A night worker trying to sleep during the daytime will find it harder to get to sleep because their body clock is telling them they should be awake. The reduced quality and quantity of sleep will lead to more fatigue as a 'sleep debt' builds up. Time at work: Human performance tends to deteriorate significantly when people have been at work for more than 12 hours. Below 12 hours, the evidence is less clear, and the extent to which fatigue occurs may depend on aspects such as the adequacy of rest breaks, the nature of the work, and the working environment. The effects of fatigue tend to be more marked if the task is monotonous or very repetitive. Amount of sleep: The daily rest between shifts needs to be adequate to enable shift workers to return to work fully rested. An adult typically needs about seven to eight hours of sleep each night. Rest days are valuable in allowing people to 'recharge their batteries' and to maintain their work performance. The planning of rest days needs to take account of their frequency and the length of 'recovery' time available after blocks of shifts. Shift workers, especially night workers, benefit from regular recovery periods of at least 48 hours. This is because shortened or interrupted sleep over a period of time can result in their spending part of their rest day sleeping. Shift rotation: A shift pattern which changes about once a week is likely to be more difficult to adjust to than either a more rapidly or a more slowly changing pattern. Current thinking suggests that starting a shift later than the previous one (forward rotation) may create less of a problem than starting a shift earlier than the last one (backward rotation). A typical forward rotation roster would be mornings, afternoons then night shifts. Some shift patterns can result in a short daily rest interval of perhaps only eight hours. This is particularly likely to lead to fatigue through reduced sleep.

Managing the impact of shift work There is no one solution to the potential health and safety impact of fatigue and shift work. The 'best practice' management approach, which will go beyond what is required by health and safety legislation, is through a multi-component approach which includes: • • • •

Careful planning of shift rotas, taking into account knowledge of the effects of biological rhythms Reviewing maximum hours of duty and time for recovery Education of shift workers on sleep routines, nutrition, effects on family and social life, exercise Environmental design changes, especially those aspects which can improve alertness such as temperature, lighting, and comfort levels

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129 Green World Group • • •

Reducing the number of safety-critical tasks planned for the night shift Rotating jobs to reduce levels of boredom Providing medical advice for shift workers, especially for those with existing medical conditions.

Perception and the assessment of risk If an occupational hazard exists, there are three aspects relevant to our decision about behaving safely: 1. Being aware of the hazard and feeling personally at risk 2. Believing that you can control the risks by your actions and the available equipment 3. Behaving safely. For each aspect, there are individual, job and organisational influences to consider. 1- Being aware of a hazard: People are normally concerned with doing a good job rather than being consciously aware or concerned about the occupational health and safety hazards in their workplace. At appropriate danger signals or for certain critical tasks, we need to be able to switch over to a more conscious and focused way of thinking about the risks and controls. There are a number of influences on whether a person feels at risk from a hazard. A risk is seen as being greater if we perceive it as having severe consequences, or if we feel personally vulnerable. For example, a health worker's beliefs about the likelihood of contracting the HIV virus will impact on their perception of the hazard as significant or not. If we feel that the available controls are of limited effectiveness then, in extreme cases, this can lead to us dismissing the threat. Overconfidence, over-optimism or over-familiarity may act to reduce our appraisal of a hazard as significant. There are also well-known biases in individual risk perception, which will influence our appraisal of a hazard. People are bad at judging probability, and especially bad at judging risk. This is important because accident rates tend to be higher in groups of people who estimate risks as low. Typically, we underestimate the risks attached to our own work. This tendency is greater in familiar situations, or where we choose ourselves to take a risk. People with different roles in the same workplace may judge risks differently. In general, we make a lower risk estimation of our own job than of other jobs. For example, workers in the construction industry were asked to estimate the risk of falls by different tradesmen. These included carpenters, tile layers, scaffolders, painters and steel erectors. Each of these groups made consistent judgements but overestimated the risks of trades other than their own by about 10%. They all underestimated their own risks. To improve our appreciation of risks, we need information about the hazard, risk estimates, exposure modes, and available control measures. If individual workers can be made to feel personally vulnerable, then this is also helpful. Fear-inducing messages are not usually advisable, since people are more likely to reject a threatening fear-inducing message and to assume that the message is for someone else. Constant pressure is needed to make sure that judgements of risk are realistic.

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130 Green World Group 2- Believing you can control the risks: We ask ourselves how effective our actions might be in controlling the risks. We weigh up the benefits of carrying out safe behaviours against the costs we will incur. For example, a construction worker may weigh up the costs such as physical discomfort of wearing a hard hat in hot weather against the benefits. The 'costs' are typically time, reduced productivity and physical discomfort. We also consider how effective the available actions or procedures may be, and whether we can carry them out. For example, if a health worker believes that they will be able to dispose of used needles safely, this will influence their safe behaviour. 3- Behaving safely: The work environment and the health and safety climate influence our safe behaviour. If supervisors and managers appear to condone unsafe behaviour in order to achieve productivity goals, then safe behaviour will be less likely. Some key influences on whether a person will behave safely are: • • • • • •

You perceive the threat as severe You feel personally vulnerable You believe that the available action will be effective You are confident that you can carry out the protective behaviour The costs of responding are low Your colleagues are carrying out the action.

Other barriers to safe behaviour include: • • • •

Equipment which is not readily available or in good order Not being trained to use the equipment provided A job which is designed in a way which makes it hard to behave safely Other people's risk-taking behaviours.

A major influence will be what we see our colleagues. So, if very few other workers wear hearing protection in a noisy environment, then this will not encourage us to comply with the safe behaviour. Managers and supervisors need to be aware that group social norms for safe behaviour exist. They need to set a good example and positively influence such standards of behaviour. Maintaining safe behaviour is highly dependent on safety culture including group norms and workplace influences. Influencing safe behaviour: There are a number of ways in which you can successfully influence safe behaviour at work, e.g. • • •

By education and training Through improved ergonomic design By introducing a goal-setting and feedback programme.

The approaches complement each other, and you may choose to consider more than one. Reducing error and influencing behaviour: Beliefs and knowledge are important determinants of safe behaviour. People need to know what the safe behaviour is. Education and training are therefore vital. Training should cover such key aspects as: • •

Knowledge of the work-related health and safety risks Training and feedback in the proper use of safety-related equipment and procedures

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131 Green World Group • •

Awareness of the benefits of carrying out safe behaviour The views of managers and colleagues on risk-taking.

An individual's perception of a situation is based on two sources of data: • •

Information from the senses Expected information

Both of these sources could be incomplete or incorrect. Physical defects of sight or hearing can affect the presented information, while fatigue, stress or drugs can alter the expected information. From past experience or some stereotyped expectation, we sometimes see a situation other than the actual one. Other errors can occur in decisions as to possible actions and the internal processing of information. This also involves some cost/benefit decision. Errors can occur because of our lack of knowledge, our ideas of possible actions and in our estimate of effects of any action. The action, whether good or bad, will affect the situation and so produces a feedback loop. New information will be presented, and there is a possibility of a trial and error situation.

2.7 Human failures and factors Improving human reliability Human failure ‘Human factors refer to environmental, organisational and job factors, and human and individual characteristics which influence behaviour at work in a way which can affect health and safety’. A simple way to view human factors is to think about three aspects: the job, the individual and the organisation and how they impact on people’s health and safety-related behaviour. People bring to their job personal attitudes, skills, habits and personalities which can be strengths or weaknesses depending on the task demands. Individual characteristics influence behaviour in complex and significant ways. Their effects on task performance may be negative and may not always be mitigated by job design. Some characteristics such as personality are fixed and cannot be changed. Others, such as skills and attitudes, may be changed or enhanced. Why should I be interested in human factors issues at work? Careful consideration of human factors at work can reduce the number of accidents and cases of occupational ill-health. It can also pay dividends in terms of a more efficient and effective workforce. Accidents can occur through people’s involvement with their work. As technical systems have become more reliable, the focus has turned to human causes of accidents. It is estimated that up to 80% of accidents may be attributed, at least in part, to the actions or omissions of people. This is not surprising since people are involved throughout the life cycle of an organisation, from design through to operation, maintenance, management and demolition. Many accidents are blamed on the actions or omissions of an individual who was directly involved in operational or maintenance work. This typical but short-sighted response ignores the fundamental failures which led to the accident. These are usually rooted deeper in the organisation’s design, management and decision-making functions. Work has an impact on people’s health as well as on their safety. A positive work experience leads to job satisfaction and contributes to

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132 Green World Group physical and mental wellbeing. Well-designed tasks and working environments that suit people’s individual skills and capabilities can help here. Physical health problems can result from lost time injuries such as slips and falls, and from manual handling problems. Mental well-being can be affected if someone witnesses a traumatic event, suffers bullying or violence at work, or experiences stress at work. Human factors What are human factors? ‘Human factors refer to environmental, organisational and job factors, and human and individual characteristics which influence behaviour at work in a way which can affect health and safety’. A simple way to view human factors is to think about three aspects: the job, the individual and the organisation and how they impact on people’s health and safety-related behaviour. People bring to their job personal attitudes, skills, habits and personalities which can be strengths or weaknesses depending on the task demands. Individual characteristics influence behaviour in complex and significant ways. Their effects on task performance may be negative and may not always be mitigated by job design. Some characteristics such as personality are fixed and cannot be changed. Others, such as skills and attitudes, may be changed or enhanced. Why should I be interested in human factors issues at work? Careful consideration of human factors at work can reduce the number of accidents and cases of occupational ill-health. It can also pay dividends in terms of a more efficient and effective workforce. Accidents can occur through people’s involvement with their work. As technical systems have become more reliable, the focus has turned to human causes of accidents. It is estimated that up to 80% of accidents may be attributed, at least in part, to the actions or omissions of people. This is not surprising since people are involved throughout the life cycle of an organisation, from design through to operation, maintenance, management and demolition. Many accidents are blamed on the actions or omissions of an individual who was directly involved in operational or maintenance work. This typical but short-sighted response ignores the fundamental failures which led to the accident. These are usually rooted deeper in the organisation’s design, management and decision-making functions. Work has an impact on people’s health as well as on their safety. A positive work experience leads to job satisfaction and contributes to physical and mental wellbeing. Well-designed tasks and working environments that suit people’s individual skills and capabilities can help here. Physical health problems can result from lost time injuries such as slips and falls, and from manual handling problems. Mental well-being can be affected if someone witnesses a traumatic event, suffers bullying or violence at work, or experiences stress at work. Job factors • • • • •

Illogical design of equipment and instruments Constant disturbances and interruptions Missing or unclear instructions Poorly maintained equipment High workload

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Noisy and unpleasant working conditions

Individual factors • • • •

low skill and competence levels tired staff bored or disheartened staff individual medical problems

Organisation and management factors • • • • • • •

poor work planning, leading to high work pressure lack of safety systems and barriers inadequate responses to previous incidents management based on one-way communications deficient co-ordination and responsibilities poor management of health and safety poor health and safety culture

Organisational and managerial role in violations Organisational culture and managerial goals and priorities can influence whether health and safety rules are broken. If the wrong messages about health and safety are received rule breaking can be encouraged. A lack of visible communication from management can be seen as somehow condoning violations of health and safety rules. Managers and supervisors need to send positive messages about health and safety. Designing for people Many of the human factors problems highlighted so far can be prevented or reduced during design. This chapter introduces the following topics: • • • • •

some basic principles of ergonomic design; job design to improve levels of job satisfaction and mental well-being; writing procedures which are more likely to be used efficiently; designing warnings that are more effective; and assessing human reliability.

Ergonomic design Ergonomics is about ensuring a good ‘fit’ between people and the things they use. People vary enormously in height and weight, in physical strength, in ability to handle information and in many other ways. Ergonomics uses information about human abilities, attributes and limitations to ensure that our equipment, work and workplaces allow for such variations. For example, a car built for only ‘average’ sized drivers might require larger people to crouch, while smaller people may be unable to reach the pedals. This is clearly unacceptable, so designers use information about variations in size, reach and so on to produce cars that most people can operate comfortably, conveniently and safely. Designing tasks,

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134 Green World Group equipment and workstations to suit the user can reduce human error, accidents and ill health. Failure to observe ergonomic principles can have serious consequences for individuals and for the whole organisation. Effective use of ergonomics will make work safer, healthier and more productive. • • • • • • • • • • • • • • • • •

Is the task and equipment ergonomically satisfactory? Does it suit your body size? Does it also suit all other users? Can you see and hear all you need to readily? Do you understand all the information that is presented? Do errors occur frequently and are they easy to detect and put right? Does the equipment or system cause discomfort if you use it for any length of time? Is it convenient to use? Is it easy to learn how to use? Is it compatible with other systems in use? Are you forced to make movements which feel too fast or too slow? Can you reach the controls that you use frequently without overstretching and without adopting an awkward posture? Can you move safely and with ease between operating positions? Is the workplace environment comfortable for you? Do you feel stressed physically (through noise, temperature, pacing of the machine, etc) or psychologically (from deadlines, work rate, etc)? Could any of these aspects be improved? Do other users have similar reactions?

Designing jobs for mental well-being Problems with mental well-being are one of the major causes of time off work. Depression and anxiety stem from causes both outside and inside work. They affect not only the mental well-being of staff but also organisational performance through increased staff turnover, poor work performance and accidents at work. When jobs are designed it tends to be the technology or the equipment which determines the content of the job. However, it is also desirable to design jobs in ways which improve levels of job satisfaction for the workforce. Feeling satisfied with your job has been shown to improve your performance at work, reduce your feelings of being under stress, and generally lead to a sense of mental well-being. Sources of stress Stress defined as ‘the reaction that people have to excessive pressure or other types of demands placed upon them. It arises when they worry that they can’t cope’. A number of sources of stress have been identified. They include: •

Factors intrinsic to the job, e.g. poor physical working conditions (such as high levels of noise, poor ventilation), working inconvenient and excessive hours, working on a repetitive and fast-paced task, or having a job which involves risk or danger. The introduction of new technology can be another

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•

source of stress. Both work overload (having too much to do or the work being too difficult) and work underload (routine, boring and under-stimulating tasks) can be sources of stress. If a person’s role in an organisation is ambiguous, i.e. they do not have a clear idea of their role and responsibilities or their work objectives, this can be a source of stress. Role conflict and conflict situations are possible sources of stress, e.g. being torn between competing or conflicting job demands or having to perform tasks that you do not like or which are outside your job specification. Having responsibility at work for other people can be particularly stressful. Other people at work and our interactions with them can be sources of both support and stress. Relationships with our bosses, our subordinates and our co-workers are all important. Mistrust of coworkers and poor communications with them can lead to low job satisfaction. Close supervision and a management style characterised by constant negative performance feedback is related to high levels of stress and poor worker health. (Organisational culture is discussed in Chapter 4.) A lack of job security, fear of redundancy, or forced early retirement are potential stressors relating to career development. Another source of job dissatisfaction would be under or over-promotion arising from a failure to advance or promotion to a position beyond one’s capabilities. A particular stressor in some jobs is the threat of violence in the workplace and the experience of trauma following a violent incident. People can sometimes feel they do not belong to an organisation or lack opportunities to participate. If the workforce is allowed more participation in decision making this can lead to higher levels of job satisfaction and lower absenteeism and staff turnover. Participation in the decision-making process may create a sense of belonging and can improve communication channels within the company. It can generate a sense of ‘being in control’ which is important for mental well-being.

Organisational factors associated with a health and safety culture An effective health and safety management system is the basis for a good health and safety culture. There are certain key aspects of an organisation which will influence its culture. These factors tend to be intangible and often difficult to change and include: Senior management commitment - crucial to a positive health and safety culture. This commitment produces higher levels of motivation and concern for health and safety throughout the organisation. It is best indicated by the proportion of resources (time, money, people) and support allocated to health and safety management and by the status given to health and safety. The active involvement of senior management in the health and safety system is very important. Managers need to be seen to lead by example when it comes to health and safety. Management style - influential. A ‘humanistic’ approach to management involving more regard by managers for individuals’ personal and work problems is likely to be effective. This assumes direct and rapid action to identify and resolve individual problems in an appropriately caring and concerned manner. Visible management - very important for a health and safety culture. Good managers appear regularly on the ‘shop floor’ and talk about health and safety. Staff need to believe that all their managers are committed to health and safety.

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136 Green World Group Good communications between all levels of employee - An ‘open door’ policy may be helpful with direct access to the management hierarchy where appropriate. In a positive culture questions about health and safety should be part of everyday work conversations. This flows from ownership - the encouragement of personal responsibility and participation by everyone in health and safety measures. A balance of health and safety and production goals. People may believe that high standards of health and safety inevitably mean slower work rates. In contrast, production may be seen to be increased through ‘cutting corners’. Excessive production pressure creates an atmosphere of distraction and a shortage of time which makes human errors more likely. Excessive pressure may give rise to physical or mental health effects in some employees, and to a higher rate of ‘violations’ of health and safety rules. In a positive culture health and safety is regarded as important, is promoted, and is not compromised. Contribution of human failure and human factors to incidents People can cause or contribute to accidents (or mitigate the consequences) in a number of ways: •

• •

•

Through a failure a person can directly cause an accident. However, people tend not to make errors deliberately. We are often ‘set up to fail’ by the way our brain processes information, by our training, through the design of equipment and procedures and even through the culture of the organisation we work for. People can make disastrous decisions even when they are aware of the risks. We can also misinterpret a situation and act inappropriately as a result. Both of these can lead to the escalation of an incident. On the other hand we can intervene to stop potential accidents. Many companies have their own anecdotes about recovery from a potential incident through the timely actions of individuals. Mitigation of the possible effects of an incident can result from human resourcefulness and ingenuity. The degree of loss of life can be reduced by the emergency response of operators and crew. Emergency planning and response including appropriate training can significantly improve rescue situations.

The consequences of human failures can be immediate or delayed. Active failures have an immediate consequence and are usually made by frontline people such as drivers, control room staff or machine operators. In a situation where there is no room for error these active failures have an immediate impact on health and safety. Latent failures are made by people whose tasks are removed in time and space from operational activities, e.g. designers, decision makers and managers. Latent failures are typically failures in health and safety management systems (design, implementation or monitoring). Examples of latent failures are: • • • • •

poor design of plant and equipment; ineffective training; inadequate supervision; ineffective communications; and uncertainties in roles and responsibilities.

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137 Green World Group Latent failures provide as great, if not a greater, potential danger to health and safety as active failures. Latent failures are usually hidden within an organisation until they are triggered by an event likely to have serious consequences. Writing procedures Procedures, especially operating and maintenance procedures, are important for the prevention of accidents and ill health. Written procedures are vital in maintaining consistency and in ensuring that everyone has the same basic level of information. They are a key element of a safety management system and an important training tool. However, poor procedures can be a reason for people not following recommended actions. As well as being technically accurate, procedures need to be well-written, usable and up to date. Remember that even if your procedures are not formally written down, they exist through the working practices of staff. Ask yourself: • • • • • •

Are your procedures accessible? Are they actually followed by staff? Are they written so that they can be understood and followed easily? Do they reflect the tasks as they are actually carried out? Do the procedures include key safety information? Are they kept up to date and reviewed occasionally?

Procedures ideally need to: • • • • • • • • • • • •

be accurate and complete; be clear and concise with an appropriate level of detail; be current and up to date; be supported by training; identify any hazards; state necessary precautions for hazards; use familiar language; use consistent terminology; reflect how tasks are actually carried out; promote ownership by users; be in a suitable format; and be accessible.

Designing warnings for maximum effect In our working lives we are used to seeing written warnings, hearing alarms, and noticing warning signs or labels on products. All of these are intended to communicate risk to us. Yet, as accidents show, all too often we ignore these warnings. We need to ensure that warnings are effective, or consider alternative ways of reducing the risks.

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138 Green World Group Responding to warnings is important in all work situations but particularly so where the risks have not been completely eliminated through design. Here human actions may be needed to minimise risks. For example, control room staff need to respond to alarms to safeguard the plant and its process, medical staff need to respond to intensive care equipment alarms. Risk assessments should indicate where it is important or essential for someone to respond appropriately to a warning or alarm. People who comply most with warnings tend to: • • • • • •

perceive the risks of not complying to be serious or highly likely to occur; believe they will be personally affected by the consequences; are unfamiliar with the product or situation; see other people around them are complying with the warnings; find it is easy to comply, e.g. any necessary personal protection is close at hand; and believe that if they comply there will be a real personal benefit.

Can warning response be improved? Yes. Think about the people and the warning. People need to: • • • • •

• •

be alert and sober; be seeking information (either because they suspect a hazard is present or because their past experience indicates that such information may be needed); accept the warning as being important (they should not be overloaded with information or other warnings and not have experienced many false alarms); believe the warning, receive information that is consistent with their past experience, accept the source of the warning as credible and see that other people are acting consistently with the warning; judge the risk to be significant (see the health and safety consequences as highly likely or severe, believe that they do not have control over the hazard, appreciate that the risks outweigh any adverse peer pressure and accept that the risks outweigh the cost/effort of avoidance); be capable of carrying out the required action; and remember how and when to carry out the action.

The warning needs to: • • •

be present when and where needed; give only the information needed; and be in a suitable format (brief, understandable and attention-grabbing)

Improving human reliability Motivation and reinforcement; workplace incentive schemes; job satisfaction and appraisal schemes Unit ID1: Know – Workplace Health and Safety Principles (International)

139 Green World Group Typically behaviour-based safety systems consist of: • •

•

Identification of behaviours which could contribute to or have contributed to accidents (agreed by management and employees); A system of ongoing observations (as identified and defined) and feedback (intervention); typically peer-to-peer and employee-driven combined with positive verbal feedback, information collection and problem-solving to improve the identified behaviours and the management system that produced them; Use of the information to identify corrective actions.

Behaviour based safety systems are typically introduced in organisations with established safety management system committed to continuous improvement, one of their particular strengths is the direct practical and visible involvement of employees at all levels. Implementation of a system does require time and commitment and in particular strong visible management support. Why is it commonly used? • • • • •

Significant number of accidents reportedly caused by inappropriate behaviour. Good vehicle for management and workforce participation. Can improve the visibility of managers. Behaviours and actions influence culture through attitudes and perceptions. Behaviours determine the performance of systems.

Key features: • • • • • • • •

Define 'safe' and 'unsafe' behaviour. All involve observation of behaviour in the workplace. By managers and/or peers. With/without targets. Provide feedback. Reinforce safe behaviour. 're-educate' unsafe behaviour. Feedback ranges from on-the-spot specific feedback and discussion, to impersonalised general data.

Advantages: • • • • • • •

Discussing safety in the workplace. Learning to communicate constructively. Management visibility. Employee engagement in safety. Managers/supervisors (when involved). Learn to observe. Learn to act promptly on unsafe acts.

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140 Green World Group • • • • •

Can learn about safety leadership. Learn to think about aspects of human factors. Can provide some leading indicators for safety. Can actually change behaviour ("cognitive dissonance"). Will identify dangerous situations.

Disadvantages: • • • • • • • •

Rule violation vs. good rules? BIG, disciplined effort required. Very often fails through lack of real commitment or discipline. Some changes will be expensive. Not 'owned' by everyone. 'Off the peg' or consultant-led programmes can fail because of poor fit with local style/culture (UK/US). Trust levels amongst management and employees must match. Lack of friendly communication/Directive style of management.

Human reliability may be improved in workplace by: 1. Motivation and reinforcement 2. Workplace incentive schemes 3. Job satisfaction and appraisal schemes Motivation and reinforcement Factors affecting job satisfaction: Leading to dissatisfaction: • • • • • •

Company policy Supervision Relationship with the boss Work conditions Salary Relationships with colleagues

Leading to satisfaction: • • • • • •

Achievement Recognition Work itself Responsibility Advancement Growth

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141 Green World Group It is important to continually remind and train employees of safe behavior through: •

•

Safety Meetings: Regular safety meetings give the opportunity to review the same safety procedures and methods you taught at orientation and during on-the-job safety training. Your continual review in safety meetings helps employees remember and focus on safe ways of doing their work. Holding scheduled safety meetings also helps your employees realize that safe behavior is just as important as any other aspect of their work. Safety messages should be a part of all pre-task planning. Daily Safety Messages: Daily safety messages give another opportunity to reinforce what is taught in your regular safety meetings. Give employees a safety message at the beginning of each shift. The message does not have to be lengthy; it can be a short reminder about a topic or behavior that will help the work day be safe. You can develop a list of important safety topics and your supervisors can select a topic each day. You can also have your supervisors develop a list. Focus on topics that will help you reduce the potential for injury. Written Safety Program: Having a written safety program that covers safe procedures, describes unsafe conditions and behavior, and outlines the means to control hazards, provides safe behavior reinforcement. A written resource is valuable because it remains a consistent source of safety for all workers. Employees can turn to the written safety program to find, recall and relearn safe behaviors. Your written safety program should be a working document within your organization. Safety Surveys: Completing regular and random safety surveys or audits to find and correct hazardous conditions and behavior also reinforces safe behavior. Involve your employees in the process. Bring the survey findings to your employees and seek their suggestions on preventing the recurrence of these hazards. You many even teach employees to conduct their own safety survey. Signage: The use of signage is an important part of a safety program. Signs help to identify hazardous conditions and remind people to work safely. Warning and caution signs should be posted in places to help personnel identify and be reminded of hazardous work operations. Signs are an important part of emergency evacuation and personnel performing safety surveys should be looking for proper signage. Safety incentive signs should be changed frequently and posted in high employee use areas. Supervision: Line supervisors are critical to the success of your safety program. Supervisors who are trained in safe behavior and understand safety are in a good position to reinforce safe behavior. Supervisors who have the authority to stop and correct unsafe conditions and behavior are a tremendous asset because they can continually observe the workforce and the environment. They can also praise their workers for safe behaviors, which can be an immediate safety reinforcement

Workplace incentives schemes: Incentives such as performance-related bonuses - can help boost staff performance. The rewards usually relate to the achievement of certain goals, either personal, team or organisational, or a combination of all of these. An effective system of incentives and perks could help:

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Persuade staff to join your business Retain existing staff Increase staff motivation, morale and loyalty Boost productivity Link individual and business performance Focus employees on achieving targets Build teamwork

Some incentives and perks may benefit your business indirectly, e.g. free health assessments may reduce absences. Job satisfaction and Appraisal schemes: Job satisfaction relates to one's feelings or state-of-mind regarding the nature of work. Job satisfaction can be influenced by a variety of factors, e.g. the quality of the employer-supervisor relationship, the quality of the physical environment, degree of fulfillment etc. Frederick Herzberg’s motivation and hygiene factors: Herzberg's work, originally on 200 Pittsburgh engineers and accountants, has become one of the most replicated studies in the field of workplace psychology. Herzberg was the first to show that satisfaction and dissatisfaction at work nearly always arose from different factors, and were not simply opposing reactions to the same factors, as had always previously been believed. He showed that certain factors truly motivate ('motivators'), whereas others tended to lead to dissatisfaction ('hygiene factors'). According to Herzberg, humans have two sets of needs; one as an animal to avoid pain, and two as a human being to grow psychologically. Certain parallels can clearly be seen with Maslow. Herzberg's research proved that people would strive to achieve hygiene needs because they are unhappy without them, but once satisfied the effect soon wears off - satisfaction is temporary. Examples of hygiene needs (or maintenance factors) in the workplace are: • • • • • • • • •

Policy Relationship with supervisor Work conditions Salary Company car Status Security Relationship with subordinates Personal life.

True motivators were found to be completely different factors, such as:

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Achievement Recognition Work itself Responsibility Advancement Personal growth.

People commonly argue that money is a primary motivator. For most people, money is not a motivator despite what they might think and say. And for all people, there are bigger more sustaining motivators than money. Surveys repeatedly show that other factors motivate more than money. Lots of other evidence is found in life, wherever you care to look. Consider what happens when people win big lottery prizes. While many of course give up their 'daily grind' jobs, some do not. They wisely recognise that their work is part of their purpose and life-balance. Others who give up their jobs do so to buy, or start and run, their own businesses. They are pursuing their dream to achieve something special for them, whatever that might be. And whatever it means to them, the motivation is not to make money, otherwise why don't they just keep hold of what they've got? Why risk it on a project that will involve lots of effort and personal commitment? Of course the reason they invest in a new business venture is that pursuing this sort of plan is where the real motivators are found achievement, responsibility, personal growth, etc. not money. The people who are always unhappy are those who focus on spending their money. The lottery prizewinners who give up work and pursue material and lifestyle pleasures soon find that life becomes empty and meaningless. Money, and spending it, is not enough to sustain the human spirit. We exist for more. Money is certainly important, and a personal driver if you lack enough for a decent civilised existence, or you are striving for a house or a holiday, but beyond this, money is not - for the vast majority of people a sustainable motivator in itself. Selection of individuals – matching skills and aptitudes; training and competence assessment; fitness for work In order to select the best individual for a job, be really clear about what you need from the person you are hiring for this role – in terms of both behavioral traits and skills. (This will help you filter out what is not important.) Here are two simple steps to help figure it out: 1. Identify the five core behavioral traits you want individuals to have for this role. 2. Consider the skills they will need to perform the job. – Think of the five primary tasks you need them to accomplish. When selecting individuals for jobs, focus on the following four questions:

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Is the person competent to do the job? Is the person motivated to do the job? Is the person manageable? Does the person fit in the corporate team?

Matching skills and aptitudes A person can be able to do the job but might lack of motivation and not perform his tasks to its full potential. A candidate might be highly motivated but might not have the skills or the required knowledge in order to do the job properly. A person might feel so senior and experienced that it might become difficult for him to follow another supervisor’s instructions and therefore be less manageable. And last but not least, a professional might be able to do the job, be motivated and manageable but might not fit in the company for various reasons. It must also be considered that people do change over the course of their lifetime because their lives change. You get new jobs; you get new challenges and you get new opportunities. Some of those are not all good. Some people get fired and they've got to change careers and they've got to learn a new set of skills. Other people get married. Other people move to different parts of the country or different parts of the world. And there are very significant demands on them as a result. Training and competence assessment Competency assessments are often developed as skills checklists which employees and employers can keep over time to note employees’ performance. Competency assessments present an effective means to: • • • • • • •

Provide a performance assessment tool Provide ongoing employee performance coaching Acknowledge satisfactory and exemplary performance Target performance deficits Highlight skills that require additional training or practice Benchmark employee performance across organization norms Define competence within your organization

The common types of competency assessments include: • • • •

Skills checklists. Skills checklists may be used for apprenticeship, mentorship, and on-the-job training programs where employees note their progress in achieving the desired job performance. Competency assessment tests. Competency assessments tests can be used as the basis for certification in an occupation, for performance management, and for the validation of knowledge and skills. Online competency assessments. Lists of job skills combined with performance standards are well suited to be delivered as online competency assessments. Competency-based interviews. These are effective means of screening candidates who qualify for the job by targeting the specific competencies required for the position.

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Benefits of a Competency-Based System for Benefits of a Competency-Based System for Employers Employees • Ensures that organization-funded • Sets clear performance expectations for training and professional development employees, enabling them to make activities are cost-effective, goalbetter decisions and work more oriented and productive effectively • Enables employees to achieve a high • Gives employees insight into the overall level of competence in an efficient strategy of their team, department, and manner organization, leading to greater engagement and motivation • Records the employee’s acquisition of the skills, knowledge, safety and other • Enables employees to be more procedures relating to each task proactive beyond their individual roles, by learning additional competencies • Reduces cost overruns caused by poor that are valued by the organization performance or miscommunication of job expectations • Provides clear direction for learning new job skills • Improves communication between employee and management • Offers a reference resource for day-today requirements • Increases internal employee mobility, providing the organization with greater • Increases the potential for job ability scale and flex as needed satisfaction • Establishes a framework for • Provides a mechanism for the constructive feedback by management recognition of employees’ abilities at scheduled training and performance • Ensures that individual professional appraisal intervals development and training milestones • Clarifies job standards for performance are recorded and acknowledged by the appraisals organization • Outlines employee development and promotional paths within the organization

On- & Off-the-Job Training On the job training Off the job training Advantages: Advantages: • Training an employee in their own working • If staff members have designed the course, it environment, on equipment with which they can be delivered to fit in with the employee's are familiar with, and people they know can regime and workload, so it does not affect help them gain direct experience to a productivity.

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• •

standard approved by the employer. Employees may find that they have more confidence to use the equipment if they are supervised and guided. Employees may feel more at ease being taught or supervised by people they know rather than complete strangers. Managers or supervisors can assess improvement and progress over a period of time, and this makes it easier to identify a problem, intervene and resolve problems quickly. This type of training is also productive, as the employee is still working as they are learning. As training progresses and the employee begins to feel more confident, this confidence will allow them to work at a higher standard and ultimately be more productive Training "on-the-job" would also prove an opportunity to get to know staff to whom they might not normally talk. Mentoring or training on-the-job can work out very cost effective.

Disadvantages: • Teaching or mentoring is a specialisation in itself; unless the person mentoring or training has the skills and knowledge to train, this would mean that the training would not be done to a sufficient standard. • The person teaching or mentoring may not be given the time to spend with the employee to teach them properly, which would mean substandard training has been achieved and learning has only been half-done. • The trainers may possess many bad habits and pass these on to the employee being trained. • If the trainer has been given limited time to train the employee, this would mean that the skill or knowledge has not been fully understood. • If a trainer has been brought into the company externally, they might not be familiar with the equipment fully or layout and this would waste time.

•

• •

Can work out extremely cost effective as no hotel fees, trainer fees or extra equipment are incurred, all is provided in-house and in work time. Depending on the course, employees are able to meet other employees; perhaps from other branches or departments they would not have normally met. As employees are familiar with the trainer and the environment in which they are being taught, this would help them to feel more relaxed. The person developing the course would be able to gauge the level of ability and content for the course to be taught. The course would be more relevant and adaptable to the needs of the company.

Disadvantages: • Extra Audio or Visual aids to aid learning (whiteboard, overhead projector, projector, video etc.) might not be available, and so this would mean courses might be basic or substandard. • As a member of staff may be delivering the course rather than an experienced trainer, the employees might not take the course seriously and this might hamper learning. • Employee rivalry and banter may mean that employees bypass the course and undervalue its content as they think they know better, or have better ways of doing it • Depending on the teaching skills of the employee training the members of staff, they might not be able to gauge the existing abilities, knowledge, skill or need for training, and so employees attending the course might already know what is being taught. • If the need for training has not accurately been gauged this would result in the workspace being wasted where it could have been utilised more productively. • If resources are limited, equipment available may be different from that used by the

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employees, and this would be counterproductive. Employees may feel devalued if they are sent on an internal training course to improve skills rather than learn new ones, and so courses have to be selected and promoted to the employees very carefully and sensitively.

Fitness for work Fitness for work is a broad topic and understanding the interaction between the human and the workplace is complex. Ideally, the demands of the workplace would not exceed the capabilities of an employee and would not increase the relationship between employee health and workplace demand by gaining a thorough understanding of these components and implementing appropriate programs. Effective health and wellbeing programs will consider; • • • • • • • •

The Ageing Workforce Fatigue Management Employee Health and Well being Return to Work Screening Stress Management Medical Fitness Standards Pre-employment Screenings Alcohol and other Drugs (AOD)

A fitness to work assessment may be needed because: • • •

• •

The individual’s health condition may limit or prevent them from performing the job effectively (e.g. musculoskeletal conditions that limit ability) The individual’s condition may be made worse by the job The individual’s condition may make certain jobs and work environments unsafe to them personally (e.g. liability to sudden unconsciousness in a hazardous situation, risk of damage to the remaining eye in an individual with monocular vision) The individual’s condition may make it unsafe both for themselves and for others in some roles The individual’s condition may pose a risk to the community (e.g. infection transmitted by a food handler)

Assessment of medical fitness may be needed for those who are: • • • • •

Being recruited for the first time (depending on work exposures) Being considered for transfer to a new job (depending on work exposures) Returning to work after significant or prolonged illness or injury Undergoing periodic review relating to specific requirements (e.g. health surveillance) Being reviewed for possible retirement on grounds of ill-health

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3.1 Competence, training, information and supervision The meaning of competence The words “competence” and “competent” are used comprehensively throughout health and safety related legislation, Approved Codes of Practice (ACOPs) and guidance. It is a key element in promoting positive health and safety outcomes. The HSE publication HSG65 Managing for Health and Safety describes competence as “the ability to undertake responsibilities and perform activities to a recognised standard on a regular basis”. Competence is, therefore, a demonstrable output or outcome and is about being able to perform consistently, effectively and successfully, to a required standard utilising a combination of the building blocks of competence (skills, knowledge and experience). Skills Skills are abilities that have been gained or developed through training or experience. In health and safety, this covers the ability to do practical things such as identify hazards, draft a risk assessment and implement control measures. Personal skills are important too, such as the ability to communicate effectively. Skills support technical competence and help health and safety professionals do their jobs effectively Knowledge Knowledge covers familiarity, awareness or understanding gained through experience or study. In health and safety, it includes knowing such things as: - what hazards are - the range of hazards and how they can affect people - the difference between hazards and risks - how to evaluate risks and decide on appropriate controls - key elements of occupational safety and health management systems - how to gather and analyse health and safety data - how health and safety law applies to the workplace Experience Experience is the result of a process of observing, encountering or doing something. People gain experience when their knowledge and skills are tested in practice, and learn as a result of their actions. People can also gain experience when they’re supervised by someone who’s already experienced. The experienced person can give the learner feedback and point out mistakes that they can correct more easily. Experiential learning is increasingly part of qualification programmes. This helps learners ‘hone’ their knowledge and skills during their course, and gives them a higher level of competence once they’ve completed it. HSG65 also states “truly effective health and safety management requires competency across every facet of an organisation and through every level of the workforce”. Competency, or its plural competencies, can be defined as “the behaviours and technical attributes that individuals must have, or must acquire, to perform effectively at work”.

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149 Green World Group Competence is also about knowing your limitations and when to call on advice from others who have more knowledge, skills or experience. A way of testing your own competence (and that of others) is to ask three questions: • • •

What could go wrong? How could this be avoided? What would I do if things went wrong?

The difference between training and competence Training is the structured approach to enhance someone’s knowledge, this usually requires completion of prerequisite courses or on the job training where a worker is given the knowledge needed to apply theory into practice. Usually it is the combination of both. However, competency consists of a number of elements, of which training is only one. Others include skills, knowledge, experience appreciation and understanding of the task at hand, the surrounding environment, and a range of human factors such as behavioural safety and interpersonal communication. Clearly training and / or qualifications alone will not necessarily mean that a Worker is competent. The circ*mstances when training is likely to be required • New employees - induction training takes place when workers join an organisation. This allows the worker to obtain knowledge about the organisation in a safe, structured manner and ensures that critical information is delivered and understood. Since a worker is at risk in a workplace from their first day of work it makes sense to deliver induction training as soon as they start work and to cover safety critical information first. • Job change - additional training is necessary when a worker’s job changes in such a way that they are exposed to new hazards and risks. For example, a health-care worker whose job changes from being hospital-based to delivery of care in clients’ own homes will need additional training, not in how to deliver care, since the service they provide has not changed, but in lone working. They will be at far greater risk when they go out into the community to conduct home visits as opposed to working in the hospital. • Process change - when the way in which the work is done changes, workers may be exposed to new hazards and risks that require additional training - for example, when a different product is being produced on an existing piece of machinery this may create new risks that require training in new safe operating procedures. • New technology - new technologies adopted by organisations create different hazards and risks that workers may be unfamiliar with. The mass introduction of desktop computers, screens and keyboards is an example of new technology introducing new risk into workplaces. Training on the hazards associated with the use of this Display Screen Equipment (DSE) and the correct layout and use of the DSE workstation is now standard practice in many workplaces. • New legislation - changes to the law governing a particular health and safety issue often create a need to train workers on the implications of the new legislation, perhaps because working practices have to change or simply to ensure an understanding of the law and its requirements.

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150 Green World Group The groups of people having specific training needs We all have to understand that an effective health and safety performance comes from the top. Directors, Board Members, Senior Managers etc all have collective and individual responsibility towards health and safety. Directors and boards need to examine their own behaviours, both individually and collectively, against the guidance given and, where they see that they fall short of the standards it sets them, to change what they do to become more effective leaders in health and safety. Company directors are primarily responsible for the management of their companies and, generally, their duties are owed to the company. However, they also owe duties to the owners as a whole. Every employer has a legal duty to ensure, so far as is reasonably practicable, the health, safety and welfare at work of all its employees as set out in the Health and Safety at Work etc. Act 1974 (HSWA). A breach of health and safety regulations can result in an employee being injured (with the possibility of a personal injury claim against the employer to follow). Even if no one is injured, a breach may also expose the business, and/or its responsible officers, to the risk of criminal prosecution. This duty towards an employee specifically extends (HSWA Section 2(2)c) to the provision of such information, instruction, training and supervision as is necessary to ensure the employee’s health and safety at work. A failure to provide such training etc. is an offence in its own right, and can of itself result in criminal charge. It is therefore essential that an employer trains its employees, where appropriate. Senior managers are a vital element in the structure of a company. They are the building blocks that connect the strategic board or managing director with the tactical customer-facing employees. By providing adequate training to the management, it can have a huge ripple effect on the rest of the business. Not only can it improve the outcomes of training delivered to teams, but it can also make managers more effective and adaptable to their role. The circ*mstances where there are specific training needs for certain hazardous types of work equipment Employers must 'ensure that all persons who use work equipment have received adequate training for the purposes of health and safety, including training in the methods which may be adopted when using work equipment, and risks which such use may entail and the precautions to be taken. It is not possible to detail here what constitutes 'adequate training', as requirements will vary according to: • • • •

the job or activity the existing competence of workers the circ*mstances of the work (e.g. degree of supervision) the work equipment etc

The training standard required should be adequate in ensuring the health and safety of your workers and any people who may be affected by the work, so far as reasonably practicable.

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151 Green World Group The requirements for training lift truck operators Potential lift-truck operators should be: • • •

•

reasonably fit, both physically and mentally, to safely control and operate lift trucks, with the learning ability and potential to become competent operators; reliable, with a responsible attitude to their work; physically capable – you should assess this on an individual basis. You may need to get medical advice and make reasonable adjustments to enable some disabled people to work as lift-truck operators. over the minimum school-leaving age (16), except in ports, where they must be at least 18 years old, unless they are undergoing a suitable course of training, properly supervised by a competent person.

Operator training should always include three stages: •

•

Basic training - Basic training should cover fully all the skills and knowledge needed to safely operate the type of lift truck and handling attachments (if any) the trainee will use, including awareness of the risks from lift-truck operation. It should take place ‘off the job’, without the pressures of production. It is difficult to specify how long a course should last as many things affect the rate of learning, e.g. the ratio of trainees to instructors, but a course for a novice operator would typically last 3-5 days. Specific job training - Specific job training will normally follow the completion of basic training, but may be combined or integrated with it. It will be tailored to your particular needs and include, where appropriate o knowledge and understanding of the operating principles and controls of the lift truck to be used, especially relating to handling attachments and loads specific to the job (to be repeated when the design of truck is changed); o routine inspection and servicing of that truck, in accordance with the operator’s handbook or manufacturer’s instructions, which may reasonably be carried out by the operator (to be repeated when the design of truck is changed); o using the truck in conditions the operator will meet at work, e.g. gangways; loading bays; racking; lifts; automatic doors; confined areas; cold stores; slopes; rough terrain; loading platforms; other vehicles; and bad weather; o instruction on site rules, e.g. site layout; one-way systems; speed limits; general emergency procedures; using protective clothing and devices including operator restraints and eye and hearing protection; work near excavations and overhead lines; and other hazards; o raining in the work to be carried out, e.g. loading particular types of vehicle with loads normally found at that workplace; using the lift truck fitted with working platforms where appropriate; o safe systems of work, which should include custody arrangements for keys.

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Familiarisation training - Familiarisation training is the third stage of training, which should be carried out on the job, under close supervision, by someone with appropriate knowledge. This could include: o applying, under normal working conditions, the skills already learned in basic and specific training, starting with simple tasks and moving on to more complex ones; o becoming familiar with the lift-truck activities of the employer; o familiarisation with the site layout, local emergency procedures and any other feature of the work which it is not practicable to teach off the job.

3.2 High Reliability Organisations What is an HRO? An organization that operates and manages processes with the potential to adversely affect human life or the environment. Example: Nuclear Power Organization. High reliability organizations are organizations that operate in complex, high-hazard domains for extended periods without serious accidents or catastrophic failures. The concept of high reliability is attractive for health care, due to the complexity of operations and the risk of significant and even potentially catastrophic consequences when failures occur in health care. Sometimes people interpret high reliability as meaning effective standardization of health care processes. However, the principles of high reliability go beyond standardization; high reliability is better described as a condition of persistent mindfulness within an organization. High reliability organizations cultivate resilience by relentlessly prioritizing safety over other performance pressures. High reliability organizations use systems thinking to evaluate and design for safety, but they are keenly aware that safety is an emergent, rather than a static, property. New threats to safety continuously emerge, uncertainty is endemic, and no two accidents are exactly alike. Thus, high reliability organizations work to create an environment in which potential problems are anticipated, detected early, and virtually always responded to early enough to prevent catastrophic consequences. This mindset is supported by five characteristic ways of thinking: preoccupation with failure; reluctance to simplify explanations for operations, successes, and failures; sensitivity to operations (situation awareness); deference to frontline expertise; and commitment to resilience. Adoption of HRO principles in health care offers promise of increased excellence; however, major barriers to widespread implementation include difficulty in adopting organization-level safety culture principles into practice; competing priorities between HRO and other large-scale organizational transformation initiatives such as electronic health records; and difficulty in creating and implementing process improvement tools and methods to address complex, system-level problems. Characteristics of an HRO Containment of unexpected events

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Deference to expertise Redundancy Oscillation between hierarchical and flat/decentralised structures Training and competence Procedures for unexpected events

Successful containment of unexpected events by: Having in place back-up systems in the event of failures and cross-checking of important decisions (redundancy), Allowing people with expertise, irrespective of rank, to make important safety related decisions in emergencies, whilst during routine operations there is a clear hierarchical structure and an understanding of who is responsible for what (deference to expertise in emergencies; oscillation between hierarchical and flat organizational structures), investment in training and technical competence, and Well-defined procedures for all possible unexpected events. In particular, the following facets and processes were characteristic of high reliability organisations: Just culture • • • •

Encouragement to report without fear of blame Individual accountability Ability to abandon work on safety grounds Open discussion of errors y Procedures for

Just culture characterised by: Open reporting systems for near misses and accidents without fear of punishment, Follow-up of accident investigation outcomes by implementing corrective actions, Empowering staff to abandon work on safety grounds, and fostering a sense of personal accountability for safety. Problem anticipation • • •

Preoccupation with failure Reluctance to simplify Sensitivity to operations

Effective anticipation of potential failures through: Engagement with front line staff in order to obtain ‘the bigger picture’ of operations (Sensitivity to operations), Attentiveness to minor or what may appear as trivial signals that may indicate potential problem areas within the organisation and use incidents and near misses as indicators of a system’s ‘health’ (preoccupation with failure), Systematic collection and analysis of all warning signals, no matter how trivial they may appear to be, and avoid making assumptions regarding the nature of failures. Explanations regarding the causes of incidents tend to be systemic rather than focusing on individual, ‘blame the operator’ justifications (reluctance to simplify).

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Tight coupling Catastrophic consequences Interactive complexity

Description of HROs as organisations where failure may have far-reaching, potentially catastrophic consequences. Such organisations will be typically characterised by: Interactive complexity i.e. interaction among system components is unpredictable and/or invisible, and Tight coupling (i.e. high degree of interdependence among a system’s components including people, equipment and procedures). Learning Orientation • • • •

Continuous technical training Open communication Root Cause Analysis of accidents /incidents Procedures reviewed in line with knowledge base

Learning orientation characterised by: Continuous technical training, Systematic analysis of incidents to identify their root causes and accident types or trends within the organisation, Open communication of accident investigation outcomes, and Updating procedures in line with the organisational knowledge base. Mindful Leadership: • • • • • •

Bottom-up communication of bad news Proactive audits Management by exception Safety-production balance Engagement with front-line staff Investment of resources

Mindful leadership characterised by: Proactive commissions of audits to identify problems in the system (often in response to incidents that occur in other similar industries), ‘Bottom-up’ communication of ‘bad news’, Engagement with front line staff through site visits, Investment of resources in safety management and the ability to balance profits with safety. The lessons that other organisations can learn from HROs A plane landing on a carrier slows from about 250 kph (150 mph) to zero in seconds. It stops by catching a hook on a steel wire connected to enormous hydraulic motors under the flight deck. Hooking the arresting wire is difficult, made tougher when the carrier is in motion, tougher again at night, and horrendously difficult in rain or bad weather. Consider also, that the plane carries jet fuel, and sometimes high explosives while landing above a nuclear power plant and an explosives magazine. It doesn't get Unit ID1: Know – Workplace Health and Safety Principles (International)

155 Green World Group much more dangerous than this. So why is it that nuclear aircraft carriers have better track records than most businesses? Some of the best research in the area of risk management comes from studies into an area known as highreliability organizations (HRO’s). HRO’s include organizations such as nuclear power plants, aircraft carriers, and air traffic control. At any given time, there are between 5,000 and 10,000 planes in the air. And yet our track record with air safety has only been improving for the past few decades. The complexity of this sort of a system is staggering. HROs are notable because "these organizations have not just failed to fail; they have actively managed to avoid failures in an environment rich with the potential for error." That ability to actively and reliably manage to reduce the chances of mistakes occurring, rather than to avoid the hazards, has been the distinguishing hallmark of most HRO’s. Their experience offers many lessons for the application of risk management at the enterprise level. Five Elements of Successful Risk Management: Research into this area suggests that five key elements contribute to a state of ‘mindfulness’: • • • • •

Preoccupation with failure Reluctance to simplify interpretations Sensitivity to operations Commitment to resilience Deference to expertise

At first many of these processes appear to be self-defeating on multiple levels. But as they further explain why these processes are necessary if a high-reliability organization is to be successful their validity becomes increasingly more apparent. Preoccupation with failure A healthy amount of paranoia or preoccupation with the potential for failure is part of a recipe for success. An antidote to complacency. HRO’s like most organizations celebrate their successes but “a chronic worry in HROs is that analytic error is embedded in ongoing activities and that unexpected failure modes and limitations of foresight may amplify those analytic errors.”

Reluctance to simplify interpretations Most organizations are happy to handle complex issues by simplifying them and categorizing them, thus ignoring certain aspects. HROs, however, take nothing for granted. They build cultures which attempt to suppress simplification because it limits their ability to envision all possible undesirable effects as well as the precautions necessary to avoid these effects.

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156 Green World Group HROs pay attention to detail and actively seek to know what they don't know. They endeavor to uncover those things that might disconfirm their intuitions despite being unpleasant, uncertain or disputed. Skepticism is also deemed necessary to counteract the complacency that many typical organizational management systems foster. Sensitivity to operations Sensitivity to operations points to “an ongoing concern with the unexpected. Unexpected events usually originate in ‘latent failures’ are loopholes in the system’s defenses, barriers and safeguards who’s potential existed for some time prior to the onset of the accident sequence, though usually without any obvious bad effect.” Management focus at all levels to managing normal operations offers opportunities to learn about deficiencies that which could signal the development of undesirable or unexpected events before they become an incident. HRO’s recognize each potential near-miss or ‘out of course’ event as offering a ‘window on the health of the system’ – if the organization is sensitive to its own operations. Commitment to resilience HRO’s develop capabilities to detect, contain, and bounce back from those inevitable errors that are a part of an indeterminate world. The hallmark of an HRO is not that it does not experience incidents but that those incidents don’t disable it. Resilience involves a process of improvising workarounds that keep the system functioning and of keeping errors small in the first place. Another word for this commitment might be persistence. Deference to expertise HRO’s put a premium on experts; personnel with deep experience, skills of recombination, and training. They cultivate diversity, not just because it helps them notice more in complex environments, but also because rigid hierarchies have their own special vulnerability to error. Errors at higher levels tend to pick up and combine with errors at lower levels, exposing an organization to further escalation. HRO’s consciously evoke the fundamental principle of risk management – that ‘risk should be managed at the point at which it occurs.' This is where you will find the expertise and experience to make the required decisions quickly and correctly, regardless of rank or title. The most junior sailor on the deck of an aircraft carrier has the authority to abort a landing or takeoff if they see a safety issue. Something as simple as a piece of metal on a deck that might be invisible to the pilot or the captain can lead to a catastrophic crash. This is one of the best examples of devolving responsibility to the point at which risk occurs. Unfortunately most organizations do not work at this level, preferring to manage risk through the introduction of standard operating procedures, policy and work instructions. While these undoubtedly have their place and can help people to make quick and consistent decisions, a significant body of research also indicates that the blanket application of these controls can reduce individuals ‘mindfulness’ and personal responsibility, thereby contributing indirectly to increasing operating risk.

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157 Green World Group Other lessons from HRO’s Other lessons from HROs include the strong support and reward for reporting of errors based on a recognition that the value of remaining fully informed and aware far outweighs whatever satisfaction that might be gained from identifying and punishing an individual. In other words, they want to hear the bad news. Before it becomes worse news. There is no place for shooting the messenger in HROs. That is a recipe for catastrophic failure and the sort of behavior that most of us have seen too often. A culture of reporting and trust is a culture where people can also learn from their mistakes.

4.1 Hazard identification techniques Types of hazard identification techniques The industries have been using a variety of hazard identification techniques for many years. Each technique has its own strengths and weaknesses for identifying hard (e.g. mechanical) and soft (e.g. computer controls) failures. The cost of alterations to the plant, to produce an inherently safer process, corresponds to the stage in the process life cycle in which they are performed. Generally the earlier in the process life cycle the hazard is identified, the lower the cost of improving the safety of the process is, as it allows simple alterations to be performed before any of the items have been built. However, expense though is balanced with the inability of techniques performed early in the process life cycle to identify all the hazards associated with the process allowing the potential for hazards to be missed. Hazard identification studies can be performed at seven stages during key stages in the life cycle of a new process Not all of the hazard identification techniques are suitable for all stages in the life cycle. Some of the techniques may be suitable to more than one stage in the life cycle, but others have been specifically developed for one stage and it would be inappropriate to apply these in some of the other stages. To offset the various limitations of the techniques, two separate techniques can be incorporated. This often occurs for checklists and ‘What if?’ analysis. The checklist speeds up the normal ‘What if?’ technique which is used to bolster the checklist by identifying any missed hazards, and allowing it to be applied to new processes Observations / Inspections Workplace observations/inspections help prevent incidents, injuries and illnesses. Through a critical examination of the workplace, observations help to identify and record hazards for corrective action. Every observation must examine who, what, where when and how. Pay particular attention to items that are or are most likely to develop into unsafe or unhealthy conditions because of stress, wear, impact, vibration, heat, corrosion, chemical reaction or misuse. Include areas where no work is done regularly, such as parking lots, rest areas, office storage areas and locker rooms. Types of workplace hazards to look for in an observation include:

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• •

Safety hazards such as those caused by inadequate machine guards, unsafe workplace conditions, unsafe work practices. Biological hazards caused by organisms such as viruses, bacteria, fungi and parasites. Chemical hazards caused by a solid, liquid, vapour, gas, dust, fume or mist. Ergonomic hazards caused by physiological and psychological demands on the worker, such as repetitive and forceful movements, awkward postures arising from improper work methods, and improperly designed workstations, tools, and equipment. Physical hazards caused by noise, vibration, energy, weather, heat, cold, electricity, radiation and pressure. Psychosocial hazards that can affect mental health or well-being such as overwork, stress, bullying, or violence.

How often observations/inspections are performed will depend on several factors: • • • • • • •

The frequency of planned formal inspections may be set in legislation Past incident records Number and size of different work operations Type of equipment and work processes - those that are hazardous or potentially Number of shifts - the activity of every shift may vary New processes or machinery Legislative requirements for your jurisdiction

High hazard or high risk areas should receive extra attention. It is often recommended to conduct observations as often as committee meetings. Do not conduct observations immediately before a committee meeting but try to separate observations and meetings by at least one week. This time allows for small items to be fixed and gives the committee an opportunity to focus on issues requiring further action. Look for deviations from accepted work practices. Use statements such as: "a worker was observed operating a machine without a guard." Do not use information derived from inspections for disciplinary measures. Some common poor work practices include: • • • • • • • • •

Using machinery or tools without authority Operating at unsafe speeds or in other violation of safe work practice Removing guards or other safety devices, or making the devices ineffective Using defective tools or equipment or using tools or equipment in unsafe ways Using hands or body instead of tools or push sticks Overloading, crowding, or failing to balance materials or handling materials in unsafe ways, including improper lifting Repairing or adjusting equipment that is in motion, under pressure, or electrically charged Failing to use or maintain, or improperly using, personal protective equipment or safety devices Creating unsafe, unsanitary, or unhealthy conditions by improper personal hygiene, by using compressed air for cleaning clothes, by poor housekeeping, or by smoking in unauthorized areas

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Standing or working under suspended loads, scaffolds, shafts, or open hatches Discussion with or observation of workers who may be overloaded, fatigued, working in conflict with others, or working in isolation (working alone)

When making observations, follow these basic principles: • • •

• • •

•

• •

•

Draw attention to the presence of any immediate danger - other items can await the final report. Shut down and "lock out" any hazardous items that cannot be brought to a safe operating standard until repaired. Do not operate equipment. Ask the operator for a demonstration. If the operator of any piece of equipment does not know what dangers may be present, this is cause for concern. Never ignore any item because you do not have knowledge to make an accurate judgement of safety. Look up, down, around and inside. Be methodical and thorough. Do not spoil the observations with a "once-over-lightly" approach. Clearly describe each hazard and its exact location in your rough notes. Allow "on-the-spot" recording of all findings before they are forgotten. Ask questions, but do not unnecessarily disrupt work activities. This interruption may interfere with efficient assessment of the job function and may also create a potentially hazardous situation. Consider the static (stop position) and dynamic (in motion) conditions of the item you are observing. If a machine is shut down, consider postponing the observation until it is functioning again. Consider factors such as how the work is organized or the pace of work and how these factors impact safety. Discuss as a group, "Can any problem, hazard or accident generate from this situation when looking at the equipment, the process or the environment?" Determine what corrections or controls are appropriate. Do not try to detect all hazards simply by relying on your senses or by looking at them during the inspection. You may have to monitor equipment to measure the levels of exposure to chemicals, noise, radiation or biological agents. Take a photograph if you are unable to clearly describe or sketch a particular situation.

Task analysis Task analysis is the primary method for recognizing potential hazards. The five steps of a thorough task analysis include: Step 1: Select the job or task to be analysed: Ideally, all jobs should have a job/task analysis. But because of the number of jobs in the workplace, it may not be practical to do this for every single one so you may have to prioritize jobs for analysis. To establish that priority, consider the following groupings: • • • •

Jobs with particularly high injury rates or injury severity Jobs where you know the potential for injury or illness is high New or modified jobs where hazards may not be evident Non-routine or infrequently performed jobs with which workers may not be familiar

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160 Green World Group Step 2: Identify the steps involved in that job or task: A job step, or “task”, is one piece of getting a job done. As a general rule, most jobs can be described in 10 steps or less. If more steps are identified, consider dividing the job into two parts. It may sound simple, but job analysis takes time and thought. Too detailed, and you will create too many steps. Too general, and you may miss key job functions. It’s also extremely important to keep the steps in their correct sequence. Any step which is out of order may miss potential hazards or may introduce hazards which do not actually exist. Step 3: Identify and rank potential hazards at each step: Next, list the things that could go wrong at each step. If possible, watch the job being performed as you work through this analysis process. Think of worstcase scenarios and focus on potential hazards. Ask questions like: • • • • • • • • • • • •

Can any body part get caught in or between objects? Can I be struck by or against anything? Can I slip, trip or fall? Can I strain or sprain my back or other muscle from lifting, pushing or pulling? Is there possible exposure to extreme heat or cold? Is excessive noise or vibration a problem? Is there a danger from falling objects? Is lighting a problem? Can weather conditions affect safety? Can I come in contact with an energy source? Can I come in contact with a hazardous substance? Are there dusts, fumes, mists or vapours in the air?

Step 4: Determine preventative measures to control the hazards: Steps of a job have been identified along with the hazards at each step. Now, how to prevent injury by eliminating or controlling hazards? The primary method of control is to eliminate the hazard completely. If that is not practical, the next option is to reduce the risk as much as possible. There are three key ways to reduce the risk. Always consider them in this order: Engineering controls can include: •

substitution, such as using a less toxic substance, or using smaller boxes when handling/transferring materials • isolation, such as using a sound-proof barrier to reduce noise levels or using remote control systems to operate machinery • modification of tools/equipment, such as installing guards around moving parts of machinery Administrative controls can include: •

using work permit systems for hazardous work such as hot work (i.e., welding) or confined space entry

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providing training and supervision implementing job rotation to reduce exposure times

Personal protective equipment (PPE) is a last resort. It should only be used if you have exhausted all other possible methods of reducing risk. If you do require your workers to wear PPE, always ensure that: • • • •

the right type of PPE is selected for the job PPE fits properly and is comfortable under working conditions workers are trained in the need for PPE, its use and maintenance PPE is stored in a clean and fully operational condition

List the hazard control methods in the right hand column of the worksheet, numbered to match the hazard in question. In listing the methods, avoid general statements such as “be careful” or “use caution.” Be specific about what workers should do and how they should do it. Step 5: Write a safe work procedure to identify and control the potential hazards: It is best to involve your workers in this process. They are the people most familiar with the tasks. They are most likely to have insight into the jobs that a casual observer may not notice. Checklists Checklists produce a detailed examination of the workplace by applying experience of everyday operations and previous incidents in similar workplace. If an assessment of a workplace is to be performed with the aid of a checklist, it is believed that the use of a detailed list early on will minimise the inventiveness of the team members, and so only a coarse list should be used to aid in the direction of the work. Once the brainstorming has been completed the detailed checklist can then be used to identify areas that have been overlooked. The main task for the assessment team is to identify the potential hazards in the area. Once a hazard has been identified, recommendations should be made of possible methods for it to be minimised. When the assessment has been completed a report should be produced, in co-operation with the people who have to perform the modifications, giving the alterations required as well as an appropriate timescale for completion. Advantages of checklists • •

Easy to apply. The principle behind the technique is simple, compares a list of predefined questions to the process to aid in the identification of hazards. A simplistic assessment can be performed by inexperienced practitioners. Little experience is required to perform a simplistic assessment consisting of checking the list against existing conditions.

Disadvantages of checklists •

The assessment will only be as complete as the list used. The methodology will only ask questions stated in the checklist; if this is not comprehensive areas might be left unevaluated, leaving possible hazards unidentified.

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Not easy to apply to novel processes. A check list is generally formulated from past experience. For new plants there is no past experience limiting the information available for the preparation of an appropriate checklist.

Here are some simple guidelines for developing checklists for the workplaces: • • • • • • • • • •

Develop the checklist in consultation with staff who work in the area and who will be conducting the inspections. Develop checklists specific for each area, e.g. the warehouse, administration area, manufacturing, laboratory. Divide the work area into sections, e.g. floor, lighting, fire extinguishers, electrical equipment, chemical, biological, transport etc. Design checklists suitable for use on a daily, weekly or monthly basis, e.g. a daily check for forklift trucks, a monthly inspection of the factory. Ensure legislative requirements are included in the checklist. Checklists are not permanent lists. Allow some flexibility so that new safety items can be included. Ensure the checklist includes a space for comments against each item. This is the best way to record the findings of the inspection. Link the checklists to a reporting system to ensure items identified are controlled and reviewed. Inspection reports can then be reviewed to determine if there are any trends appearing. Ensure the format is in a simple and logical format. Ensure the checklist fits the work flow of the department.

The importance of worker input As an essential element of each occupational safety and health management system, workers’ participation influences its effectiveness and can result in improved safety, health and well-being of workers. The participation can be implemented as indirect (through representatives) or direct, weak or strong, formal or informal, etc. Development of workers participation in OSH management is supported by legal regulations as well as standards and guidance on OSH management systems. Legally, workers and/or their representatives with specific responsibility for their safety and health should be consulted and entitled to submit proposals on: • • • •

Measures which may substantially affect safety and health, The designation of persons to carry out activities related to the protection and prevention of occupational risks and implementation of first aid, fire-fighting and evacuation measures, Information on risk assessment, preventive measures, accidents at work and other information related to health and safety, The plans and organization of training activities.

The employer is obliged to ensure that workers representatives have sufficient amount of time and resources necessary to ensure effective participation. The main reasons why workers should actively influence management decisions include: • •

Worker participation helps in developing effective ways of protecting workers By getting involved in an issue at the planning stage, workers are more likely to identify the reasons for taking a particular action, help find practical solutions, and comply with the end result

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If workers are given the opportunity to participate in shaping safe work systems, then they can advise, suggest, and request improvements - helping to develop measures to prevent occupational accidents and ill-health in a timely and cost effective manner.

4.2 Managing health and safety risks The meaning of the term sensible risk management Risk management is about taking practical steps to protect people from real harm and suffering – not bureaucratic back covering. According to HSE, taking a sensible approach to risk management is about: • • • • •

Ensuring that workers and the public are properly protected Enabling innovation and learning not stifling them Ensuring that those who create risks manage them responsibly and understand that failure to manage significant risks responsibly is likely to lead to robust action Providing overall benefit to society by balancing benefits and risks, with a focus on reducing significant risks – both those which arise more often and those with serious consequences Enabling individuals to understand that as well as the right to protection, they also have to exercise responsibility

It is not about: • • • • •

Reducing protection of people from risks that cause real harm Scaring people by exaggerating or publicizing trivial risks Stopping important recreational and learning activities for individuals where the risks are managed Creating a totally risk-free society Generating useless paperwork mountains

Adopting a risk-based approach means targeting resources commensurate with the level of risk of a specific activity. For a regulator, this involves identifying, measuring, and evaluating different risk factors; developing risk mitigation requirements proportionate to the risks of that specific activity; imposing enhanced mitigation measures for higher-risk activity; and allowing simplified measures for lower-risk activities. For employers committed to promoting positive safety culture, a robust consultation process is essential. Principles of and differences between qualitative, semi-quantitative and quantitative assessments Where the hazards presented by the undertaking are few or simple, for example in many small businesses, it is appropriate to just carry out a simple qualitative risk assessment. This can be a very straightforward process based on informed judgement and reference to appropriate guidance. Where the hazards and risks are obvious, they can be addressed directly, and no complicated process or skills will be required. A

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164 Green World Group qualitative risk assessment should be a systematic examination of what in the workplace could cause harm to people, so that decisions can be made as to whether existing precautions or control measures are adequate or whether more needs to be done to prevent harm. HSE has published guidance on carrying out simple, qualitative assessments in the booklet ‘Five steps to risk assessment’. In a qualitative assessment it is appropriate to complete just the following steps: • • • •

Identify the hazards Identify the possible consequences Evaluate risk Record the findings.

However, in carrying out the assessment it is also important to ensure transparency throughout; ensure appropriate and adequate consideration of human factors; and ensure adequate handling of uncertainty. In many intermediate cases where the hazards are neither few and simple, nor numerous and complex, for example if there are some hazards that require specialist knowledge, such as a particular complex process or technique, it may be appropriate to supplement the simple qualitative approach with a semiquantitative assessment. In carrying out semi-quantitative risk assessments, simple qualitative techniques, supplemented by for example measurements to identify the presence of hazards from chemicals or machinery, or the use of simple modelling techniques may be appropriate. Simple modelling techniques may be used to derive order of magnitude estimates of the severity of the consequences and likelihood of realisation of hazards. These estimates can be combined to obtain estimates of the order of magnitude of the risk. A number of different techniques for carrying out semi-quantitative risk assessments exist, including risk matrix approaches and layers of protection analysis etc. Where the hazards presented by the undertaking are numerous and complex, and may involve novel processes, for example in the case of large chemical process plants or nuclear installations, detailed and sophisticated risk assessments will be needed, and it is appropriate to carry out a detailed quantitative risk assessment in addition to the simple qualitative assessment. Quantitative risk assessment (QRA) involves obtaining a numerical estimate of the risk from a quantitative consideration of event probabilities and consequences (in the nuclear industry the term ‘probabilistic safety analysis’ is used in place of QRA). Detailed guidance on the application of QRA in the chemical process industries is given in IChemE and AIChemE. In carrying out quantitative risk assessments, special quantitative tools and techniques will be used for hazard identification, and to estimate the severity of the consequences and the likelihood of realisation of the hazards. Where such methods and techniques are used it is important that they are carried out by suitably qualified and experienced assessors. The results of the QRA will be numerical estimates of the risk, which can be compared to numerical risk criteria at the risk evaluation stage. How to engage workers at all levels in the risk assessment process Your workers deal directly with the hazards and risks associated with their job on a daily basis. This gives them a good understanding of what can go wrong and why. They will also understand what will help make their job safer. To assess the risks before you start, discuss the task with experienced workers and supervisors who are familiar with it – and also with less experienced workers (who can be a ‘fresh pair of eyes’). Three key steps to engage your workers in risk management:

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165 Green World Group Step 1 At the beginning, ask: • • • • •

What has gone wrong in the past? Are there examples where near-misses have occurred doing this task? How often have these problems occurred? What is the worst-case scenario? Could a member of the public be affected?

Step 2 At the end of your risk assessment (and to help you develop a method statement) ask: • • • • • •

Is there a safer way of doing this task? Are workers likely to implement any planned safety controls correctly? Do these controls make the job more difficult or inconvenient? Are there small changes that will improve the control method(s) in these respects? How will these controls work in adverse conditions (e.g. weather)? Will workers require additional briefing or instructions to use the safety controls?

Step 3 At a daily or pre-task briefing, check that any controls put in place on site are being effectively communicated to workers; ask: • • • • • •

Does what actually happen on site match the agreed procedure for the job? Is the sequence of work clearly spelt out? Is everybody clear on: who the supervisor is ? whether specialist training or knowledge is required? Will this task affect the public or other trades working nearby? Have today’s weather and site conditions been taken into account? How will feedback be given on completion, or if a change occurs before then?

When dynamic risk assessments/situational awareness should be used Introduction The dynamic management of risk is about decision making. Prior to involvement at operational incidents, members are required to be fully trained and conversant with all the elements involved in the decision making process. The Officer in Charge (OIC) of an incident must be able to recognise and appreciate the risks which are present at the incident in order to carry out an effective dynamic risk assessment.

The definition of a dynamic risk assessment is: “The continuous process of identifying hazards, assessing risk, taking action to eliminate or reduce risk, monitoring and reviewing, in the rapidly changing circ*mstances of an operational incident.”

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166 Green World Group During the dynamic (rapidly changing) phase, the decision making process involves analysing and reviewing the risks and benefits presented by the incident, selecting an appropriate response (system of work) and making a judgement on whether the risks are proportional to the benefits. Levels of Operational Risk Management In order to provide an acceptable level of protection at operational incidents, ACT Fire Brigade Work Safety must operate successfully at three levels • • •

Strategic, Systematic and Dynamic.

Strategic: Strategic work safety management is carried out at a whole of government level, an example being the Work Safety Act 2008 and ISO 3100:2009. Systematic: Systematic work safety management is carried out by departments including the ACT Fire Brigade and is represented by Work Safety policy distributed by the Brigade. Dynamic: Dynamic risk management is carried out by all personnel at an operational incident. The main responsibility for dynamic risk assessment lies with the Incident Controller (IC) who must identify the hazards, assess the risks, then make professional judgements in order to use the available resources in such a way as to achieve an acceptable level of safety during work activities. Dynamic Risk Assessment The term ‘Dynamic Risk Assessment’ is commonly used to describe a process of risk assessment being carried out in a changing environment, where what is being assessed is developing as the process itself is being undertaken. This is further complicated for the Incident Controller in that, often, rescues have to be performed, exposures protected and hose lines placed before a complete appreciation of all material facts has been obtained. Nevertheless it is essential that an effective risk assessment is carried out at any scene of operations. However, in the circ*mstances of emergency incidents, experience has shown that it is impractical to expect the IC, in addition to the incident size-up and deployment and supervision of crews, to complete some kind of check-list or form. After action has been initiated on the basis of a ‘Dynamic Risk

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167 Green World Group Assessment’, it is important that this is reviewed and confirmed as quickly as practicable, and further reviewed and confirmed at regular intervals. Although the dynamic management of risk is continuous throughout the incident, the focus of operational activity will change as the incident evolves. It is, therefore, useful to consider the process during three separate stages of an incident. These are; • • •

The Initial Stage The Development Stage The Closing Stage.

Initial Stage of Incident There are 6 steps to the initial assessment of risk: 1. 2. 3. 4. 5. 6.

Evaluate the situation, tasks and persons at risk Introduce and declare tactical mode Select safe systems of work Assess the chosen systems of work Introduce additional control measures Re-assess systems of work and additional control measures.

Development Stage of Incident If an incident develops to the extent that the span of control is exceeded or if sectors are designated, the Incident Controller may delegate incident control roles. This may include the appointment of an operations officer or sector/ divisional command responsibilities. As the incident develops, changing circ*mstances may make the original course of action inappropriate, for example: • • • •

Firefighting tactics may change from defensive to offensive New hazards and their associated risks may arise, e.g. the effects of fire on building stability Existing hazards may present different risks Personnel may become fatigued.

The Incident Controller, Operations Officer and Sector / Division Commanders need to manage safety by constantly monitoring the situation and reviewing the effectiveness of existing control measures. The appointment of a safety officer (s) may assist with this process.

The Closing Stage of the Incident The three key activities involved in the closing stages of an incident are: •

Maintaining control

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Welfare, and Incident Debrief.

The process of task and hazard identification, assessment of risk, planning, organisation, control, monitoring and review of the preventative and protective measures must continue until the last appliance leaves the incident ground. There are usually fewer reasons for accepting risks at this stage, because there are fewer benefits to be gained from the tasks being carried out. The Incident Controller and Sector Commanders should therefore have no hesitation in halting work in order to maintain safety. As the urgency of the situation diminishes, the Incident Controller may wish to nominate an officer to gather information for the post incident review. Whenever possible, this officer should debrief crews before they leave the incident, whilst events are still fresh in their minds. Details of all ‘near misses’ i.e. occurrences that could have caused injury but did not in this instance, must be recorded because experience has shown that there are many near misses for every accident that causes harm. If, therefore, we fail to eradicate the causes of a near miss, we will probably fail to prevent injury or damage in the future. The link between the outcomes of risk assessments and the development of risk controls Selecting an appropriate control is not always easy. It often involves doing a risk assessment to evaluate and prioritize the hazards and risks. In addition, both "normal" and any potential or unusual situations must be studied. Each program should be specially designed to suit the needs of the individual workplace. Hence, no two programs will be exactly alike. Choosing a control method may involve: • • •

Evaluating and selecting temporary and permanent controls. Implementing temporary measures until permanent (engineering) controls can be put in place. Implementing permanent controls when reasonably practicable.

For example, in the case of a noise hazard, temporary measures might require workers to use hearing protection. Long term, permanent controls might use engineering methods to remove or isolate the noise source.

Factors affecting the choice of sensible and proportionate control measures Establish suitable risk control measures for the highest priority risks with reference to the risk assessment. For example, if the assessment finds that poor lighting in the area is a risk factor, then the lighting should be improved as a risk control. When considering risk control options, it is essential that supervisors and managers consult with workers directly involved in the process. These experienced people typically have good, practical ideas about

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169 Green World Group suitable risk control measures. Gaining their ownership and commitment to the chosen risk controls is also essential to attaining acceptance for the use of the control measures But sometimes, the most ideal risk control options may be prohibitively expensive and need to be planned for in the longer term, e.g. in next year's budget. In these cases, short term and medium term risk control measures (implemented within one week and 3 months respectively) should be established for the interim period. Selection of the best option of prevention and control measures requires consideration of following factors: •

•

• •

•

The number of people protected by the risk control measure: In general, it is better to use a risk control measure which will protect everyone who could be exposed to the hazard, rather than relying on individuals to provide their own protection. For example, it is better to put a soundproof enclosure around a noisy machine than to expect everyone who might be exposed to the machine's noise to wear hearing protection. The extent to which the continuing effectiveness of the risk control measure relies on human behaviour: In general, it is preferable to have risk control measures which, apart from any necessary maintenance, operate without human intervention. When a risk control measure relies on the actions of people, it is inevitable that on some occasions it will not be used, either deliberately or inadvertently. The extent to which the risk control measure requires testing, maintenance, cleaning and replacement: All of these required activities rely on human intervention and can, therefore, fail. This reduces the likelihood that the risk control measure will continue to be effective. The cost of the risk control measure: Ideally, the cost should be calculated over the whole of the time for which risk control is required, since some risk control measures have a low installation cost but are expensive to maintain, while others have higher installation costs but are cheaper to maintain. This aspect of risk control measures is dealt with in more detail later in this chapter. Legal requirements and associated standards: If there are legal requirements to control a particular type of hazard in the workplace, more stringent controls are required. The competence of workers and training needs relevant to preferred controls: The level of competence of workers need to be taken care of; in reference to their ability to handle the new controls measures. Where workers are unable to manage the new controls, additional training must be provided. The extent to which the risk control measure reduces the risk: Ideally, a risk control measure, or combination of measures, will reduce the risk to near zero, but this may not be achievable in practice.

Attitude: never change a running process, as process changes may bring about uncertainties

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No priority neither at enterprises nor in practical governance Dealing with the current problems is already too laborious; no additional problems by an unnecessary innovative approach (existing standards etc.) Uncertainty in risk assessment – a shift of risks may be possible Substitutes are less tested in practice Integration in the production chain makes an innovation beyond enterprise borders necessary Technological or economic difficulties

The influential factors, such as society, public policy, regulation, market forces, etc. all have to play a role in order to overcome these difficulties. The difficulties in applying the hierarchy of control measures in practice can be overcome by: • •

•

Support from top management: This is essential to ensure that necessary resources such as budget, human resources, equipment, etc., are made available for the project. Involvement of relevant parties such as workers themselves (participatory risk assessment), human resources, financial department, OSH practitioners, etc. An important group that has to be motivated and involved from the beginning are the workers. They should be involved not only in the risk analysis itself but also during the identification and implementation of possible solutions. Their practical and detailed knowledge and competence is often needed to develop workable preventive measures. A good analysis/knowledge of effective potential solutions, best practice and scientific or technological innovations available.

Organisational arrangements for implementing and maintaining an effective risk assessment programme Procedures • •

A procedure must be developed detailing the roles and responsibilities, protocols and stens to carry out the risk assessment Most importantly procedure must include guidelines on selecting the values of likelihood and severity.

Recording protocols • •

Risk assessment record form must be developed and used during the exercise Check that the record of the assessments is accurately documented with the significant conclusions and actions identified. • Record must include area details, activity brief, names of risk assessment teams, date of risk assessment, review period, validity time, hazards, people exposed, risk level, controls suggested and action planning of controls. Training and competence •

Ensure that all work has been subject to risk assessment by a suitably experienced, competent and trained assessor, who preferably has experience of undertaking that work or work of a similar nature, and involving all relevant staff

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171 Green World Group Responsibilities and authorisation • •

•

Where necessary, identify and appoint a coordinator to cover a specific type of risk assessment for a particular area, section, activity or operation. Where additional control measures are required to be put in place before the work starts, appoint / assign a responsible person, set a timetable for putting those measures into place and ensure this has been done before the work starts. Share the risk assessments with other employers / contractors / visitors etc. who may need to know about its controls and their implementation or may be affected by or interfere with its application. Identify other key persons or departments who need to be involved / appraised and make sure they are provided with relevant information about the precautions, especially when large or complex projects are involved. This is particularly important when staff from more than one group are involved Risk assessments must be accepted by the responsible manager as adequately controlling the risks involved in the work they cover. “Sign-off” and authorising the assessment is an important function for managers and shows they have met their responsibilities.

Follow-up of actions •

•

Bring the risk assessment to the attention of all staff involved in such a manner that they understand the need for, and how to follow its requirements, ensuring that training and other information is given where applicable Provide health surveillance, occupational health checks or biological monitoring where necessary to check that the precautions are adequate to control the risk e.g. below any relevant prescribed legal limits Consider if occupational hygiene monitoring is required to check that the precautions are adequate to control exposure to a hazardous material/condition e.g. to below any relevant prescribed limits

Monitoring and review • • • •

Monitor the assessment and the control measures. Carry out regular checks, inspections and reviews (ideally annually) to ensure that the assessment is still valid. Record when assessment has been reviewed, archiving former risk assessments for at least five years after they have been superseded. Ensure that risk assessment remains suitable and sufficient

Acceptability/tolerability of risk How safe in safe enough? In response to this question, the industry had to answer several fundamental questions. •

What can go wrong?

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How often can it go wrong? Do the benefits of nuclear power outweigh the risks?

During the past two decades, many regulatory agencies have required that quantitative risk analyses be performed as part of the overall process of permitting and building new hazardous facilities, as well as modifying existing ones. The question remains, “How safe is safe enough?” Efforts to answer this question have resulted in various methods for presenting and comparing risks, several of which are described below. Professionals in risk analysis realize there is no single measure that completely describes the risk a project poses to the public. Measures that have been used by risk analysts include hazard footprints, individual risk contours, and f/Ncurves. Hazard Footprints and Vulnerability Zones: When conducting a QRA, it is necessary to determine the probability of occurrence (How often can it happen?) and the consequences (What is the effect if it does happen?) of each possible combination of conditions (i.e., hole size, release orientation, release outcome, wind speed, atmospheric stability, wind direction, etc.) for each potential release that is included in the study. For each potential release, each unique combination of these factors results in a “unique accident.” A hazard footprint can be defined as the area over which a given unique accident is capable of producing some level of undesirable consequences (e.g., 1% mortality). A vulnerability zone is defined as the area within the circle created by rotating a hazard footprint around its point of origin. Any point within that circle could, under some set of circ*mstances, be exposed to a hazard level that equals or exceeds the endpoint used to define the hazard footprint. However, except for accidents that produce circular hazard zones (e.g., BLEVEs and confined explosions), only a portion of the area within the vulnerability zone can be affected by a unique accident. Except for accidents that produce circular hazard footprints, the whole area within a vulnerability zone cannot be simultaneously affected by the effects of a unique accident. In addition, many “smaller” accidents might be capable of producing hazard footprints that would affect parts of the vulnerability zone associated with a “large” accident. Vulnerability zones can be used to define the size and shape of the area around a facility within which there is a finite probability of exposure to a fatal hazard. Along a pipeline, this would be referred to as a hazard corridor. Persons located outside this area or corridor would not be at risk from accidents involving releases of hazardous materials from the facility or pipeline. Individual Risk: The results of all possible unique accidents can be combined to produce a measure of the overall risk presented by the subject of the study. The measure of risk must be in a form that is easy to interpret and can be compared to risk criteria and/or risks associated with ordinary human activities. One presentation method that meets these criteria is the use of risk contours. If early fatality is the measure of risk, then each risk contour is the locus of points where there exists a specific probability of being exposed to a fatal hazard, over a one-year period. The level of risk illustrated by a particular risk contour is the risk of lethal exposure to any acute hazards associated with many possible releases. Because the risk contours are based on annual data, the risk level for a given contour is the risk to an individual who remains at a specific location for 24 hours a day, 365 days per year.

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173 Green World Group Risk contours define the summation of all hazard zones for all accident scenarios, combined with their respective probabilities. The set of risk contours in Figure 3 represents the variation of probability of fatal exposure (from a release within the facility) with location around the facility. It is important to note that the individual risk contours are independent of the local population density and distribution. Thus, whether there are 2, 20, or 200 persons at a specific location (for the entire year) outside the facility, the risk of exposure to a fatal hazard would be the same for each of the persons at that location. Societal Risk: A second technique used to describe the overall risk posed by a hazardous materials facility is an accounting of the number of persons potentially affected by each unique accident. In this technique, the consequences (expressed as number of persons potentially exposed to a fatal hazard) and probability of occurrence of each unique accident are plotted as points on an x,y plot on a graph. The data can be consolidated into a more manageable form by grouping the number of fatalities into defined bands. For example, if the frequencies of all unique accidents that result in one to three fatalities are summed, a histogram is produced that represents the frequency at which one to three fatalities are expected to occur. By making similar groupings for other fatality ranges (3 to 10, 10 to 30, 30 to 100, etc.), the individual points can be converted into the histogram. The result would be an f/N curve which is a measure of cumulative frequency versus consequences. By definition, any point on the f/N curve represents the expected frequency at which N or more persons will be exposed to a fatal hazard. When calculating the consequences (expected number of fatalities) of any unique accident, the answer will depend on the local population density and distribution. Therefore, unlike individual risk contours, an f/N curve will change if the local population density or distribution changes. Individual Risk Acceptability Criteria There have been a few attempts to define acceptability criteria for public risk. Several international standards are described below. Western Australia: The Environmental Protection Agency of Western Australia uses the following definitions of acceptable and unacceptable limits of individual risk for new industrial installations. • Individual risk levels lower than 1.0 x 10-6 per year are defined as acceptable. • Individual risk levels greater than 1.0 x 10-5 per year are defined as unacceptable.

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174 Green World Group Hong Kong: Individual risk guidelines have been developed by the government of Hong Kong for potentially hazardous installations. The guidelines are to be applied to new facilities and expansion of existing facilities. The purpose of the guidelines was to limit the expansion of housing developments near potentially hazardous installations. In general, development of new housing near an existing facility, or expansion of a facility near existing housing, would be restricted if the individual risk of fatality contour of 1.0 x 10-5 per year encroaches onto the housing development. Thus, the Hong Kong criteria can be defined as: • Individual risk levels lower than 1.0 x 10-5 per year are defined as acceptable. • Individual risk levels greater than 1.0 x 10-5 per year are defined as unacceptable. United Kingdom: The Health and Safety Executive (HSE) is The ALARP concept the regulatory authority for hazard identification and risk assessment studies in the United Kingdom. In 1989, the HSE published a document entitled Risk Criteria for Land Use Planning in the Vicinity of Major Industrial Hazards. Individual risk criteria proposed by the HSE are: • Individual risk levels lower than 1.0 x 10-6 per year are defined as acceptable. • Individual risk levels greater than 1.0 x 10-5 per year are unacceptable for small developments. • Individual risk levels greater than 1.0 x 10-6 per year are unacceptable for large developments. Netherlands: The Directorate General for Environmental Protection in the Netherlands published a document entitled Premises for Risk Management, Dutch Environmental Policy Plan, 1989. This plan requires companies to quantify the risks associated with industrial activities and then determine their acceptability. For facility siting, the regulatory requirements are: • Individual risk levels lower than 1.0 x 10-8 per year are defined as acceptable. • Individual risk levels greater than 1.0 x 10-5 per year are unacceptable for existing facilities. • Individual risk levels greater than 1.0 x 10-6 per year are unacceptable for new facilities.

Societal Risk Acceptability Criteria At present, there are no widely accepted criteria for use in judging whether the risk represented by an f/N curve is or is not acceptable. Nevertheless, there have been a few attempts to define “acceptable” limits for f/N curves. The most widely referenced criteria are outlined below. United Kingdom Nuclear Industry Risk Target: The Health and Safety Executive has suggested frequency/consequence data from which an f/N curve can be made. The curve (acceptable/unacceptable line) would serve as a “target” for risks posed by nuclear power plants. The curve is based upon the presumption that a large-scale accident would fatally affect people at great distances from the reactor; the x-axis (number of fatalities, N) extends out to the hundreds. Proposed County of Santa Barbara System Safety Guidelines: Santa Barbara County, California, has proposed a set of risk guidelines for use in evaluating permitting of oil and gas development projects. The

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175 Green World Group draft proposal [County of Santa Barbara, 1991] does not elaborate on the decision making process that was taken in developing these guidelines. The proposed guidelines for “off-site” risk, in the form of an f/N curve, are presented in Figure 8. The terms De Manifestis and De Minimis are simply other ways to say “unacceptable” and “acceptable.” De Manifestis is derived from Latin meaning “obvious risk,” in other words, a risk that should be obvious to all. De Minimis is derived from legal principals and means the level of risk is below a level of regulatory concern. By these definitions, it would appear that the county is stating that if an f/N curve were below the De Minimis or “acceptable” line, there would be no need for extensive regulatory review. At the same time, if the f/N curve for a project were above the De Manifestis line, the risk to the public should be obvious and the project would be deemed “unacceptable.” The remaining area, the area between the two lines, is labeled the “grey region.” United Kingdom HSE Proposed Guidelines: The f/N lines on Figure below were proposed by the Health and Safety Executive (HSE), United Kingdom. The lines separate three categories of risk, “negligible,” “ALARP,” and “intolerable.” ALARP stands for “as low as reasonably possible.” This region of the curve indicates an area where further risk reduction measures should be considered (if reasonably practical). Generally, • The “acceptable” level of individual risk is slowly rising as newer standards are being proposed. • Most of the individual risk standards have adopted a “grey area” or negotiable risk band between the unacceptable and acceptable range. This band is often used by the governing agency to negotiate a lower, but still practical, level of risk to the public. • Currently, the 1.0 x 10-6 chance of fatality/year individual risk level seems to be generally used as an upper limit of acceptable individual risk. A similar review of the societal risk guidelines results in the following findings. •

•

All societal/risk indices reflect the public’s aversion to multiple fatalities. This is shown by the continuously and sometimes dramatically decreasing frequencies (f) associated with higher fatalities (N). Most of the societal risk indices define a negotiable risk band between the unacceptable and acceptable boundaries. This band serves two purposes: 1) it allows for some uncertainty in the overall analysis, 2) it allows the regulating body some freedom in negotiating an “acceptable” risk level for an individual project.

In summary, various risk measurement techniques are now available for use when evaluating petrochemical projects. Although there is no consensus on which standard should be viewed as the best, the standards that are being developed are starting to exhibit two trends. 1) The use of a grey or negotiable area between the lower limit of an unacceptable risk and the upper limit of acceptable risk. 2) The level of public risk that is defined as acceptable is slowly rising. Universally accepted risk criteria may never exist since it is clear that the acceptability criteria adopted for use by one community may be inappropriate for use by another community. What is acceptable in Houston, or London, or Singapore might not be acceptable in Caracas, and vice versa. In the end, the question “How safe is safe enough?” must be answered by local authorities using the values of their local communities.

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176 Green World Group

4.3 Risk management Organisational risk profiling The risk profile of an organisation informs all aspects of the approach to leading and managing its health and safety risks. Every organisation will have its own risk profile. This is the starting point for determining the greatest health and safety issues for the organisation. In some businesses the risks will be tangible and immediate safety hazards, whereas in other organisations the risks may be health-related and it may be a long time before the illness becomes apparent. A risk profile examines: • • • •

The nature and level of the threats faced by an organisation The likelihood of adverse effects occurring The level of disruption and costs associated with each type of risk The effectiveness of controls in place to manage those risks.

• •

•

• •

Identify who takes ownership of health and safety risks: o This might be the owner, or chief executive – in larger organisations it may be a risk committee or a senior board champion for health and safety Think about the consequences of the worst possible occurrence for your organisation: o How confident are you that plans are in place to control the effects? Ensure that risk assessments are carried out by a competent person: o This is someone who has the necessary skills, knowledge and experience to manage health and safety effectively Maintain an overview of the risk-profiling process: o Make sure you are aware of the major risks within your organisation o Check that minor risks have not been given too much priority and that major risks have not been overlooked. Identify who will be responsible for implementing risk controls and over what timescale. Remember to assess the effects of changing technology: o Think about issues related to changes in asset ownership. This may increase the risk profile if design information and knowledge haven’t been passed on o Have the effects of ageing plant and equipment been examined?

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177 Green World Group Why health and safety risks must be integrated into main business risk Every business and organization faces the risk of unexpected, harmful events that can cost the company money or cause it to permanently close. Risk management allows organizations to attempt to prepare for the unexpected by minimizing risks and extra costs before they happen. Importance By implementing a risk management plan and considering the various potential risks or events before they occur, an organization can save money and protect their future. This is because a robust risk management plan will help a company establish procedures to avoid potential threats, minimize their impact should they occur and cope with the results. This ability to understand and control risk enables organizations to be more confident in their business decisions. Furthermore, strong corporate governance principles that focus specifically on risk management can help a company reach their goals. Other important benefits of risk management include: • • • • •

Creates a safe and secure work environment for all staff and customers. Increases the stability of business operations while also decreasing legal liability. Provides protection from events that are detrimental to both the company and the environment. Protects all involved people and assets from potential harm. Helps establish the organization's insurance needs in order to save on unnecessary premiums.

Employers will find that implementing these recommended practices also brings other benefits. Safety and health programs help businesses: • • • • • •

Prevent workplace injuries and illnesses Improve compliance with laws and regulations Reduce costs, including significant reductions in workers' compensation premiums Engage workers Enhance their social responsibility goals Increase productivity and enhance overall business operations

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178 Green World Group The concepts of avoidance, reduction, transfer and retention with/without knowledge Risk Management is about taking practical steps to protect people from harm, suffering and ill health. This may be achieved by: • •

• •

•

Ensuring that workers and the public are properly protected Providing overall benefit to society by balancing benefits and risks, with a focus on reducing real risks – both those which arise more often and those with serious consequences Enabling innovation and learning not stifling them Ensuring that those who create risks manage them responsibly and understand that failure to manage real risks responsibly is likely to Domino effect lead to robust action Enabling individuals to understand that as well as the right to protection, they also have to exercise responsibility

The following detail provides an overview of reasoning to the perceptions of and responses to risk: Individual differences affecting the ranking of risks: There are individual differences between human beings, and these differences affect responses to external influences. One person for example may readily accept newly introduced safety control measures, whilst another may resist them. Understanding how individual differences can arise may help to influence behaviour by enabling managers to formulate control systems which work with individual characteristics rather than against them. It can be as simple as the manner of approach made to an individual, which will decide if he or she will co-operate or not. An understanding of individual differences between people is necessary before the most appropriate form of approach can be decided upon. The principal Individual differences affecting the ranking of risks are cultural factors, personality, physically and anthropometrical differences. The recognition process or how people interpret information is dependent upon their physical and mental capabilities, experience, attitudes, socialisation etc. In the field of health and safety, perception of risk is all-important, but is complicated by the fact that people often perceive things in different ways. Each individual within a group may perceive the same situation in different ways, reacting differently accordingly. The evaluation of risk consequences: It well known that people draw distinctions between various kinds of risk and so perceive them differently. Personal safety, health risks, and threats to societal health and safety are all viewed in different ways. As well as considering the potential consequences that the risk presents, people seem to make judgments about a number of other factors before they decide how they regard risk. These other factors include:

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179 Green World Group • • • •

Whether there is any choice in entering or leaving the circ*mstances of danger Who has control of the potential for harm – the individual, some other person, or factors beyond human control? The foreseeability of the danger The degree and extent of harm that could be caused, and the dramatic or vivid nature of the overall consequences.

Taking on board all of the above, risk aversion is an area of concern as people’s perception of the risk together with their understanding and experience of the hazard may create a loathing, dislike or fear for undertaking a process for which they perceive the risks disproportionate to the actual risk presented. The assessment of economic factors affecting the acceptance of risk is one of the key fundamentals of risk management / risk control. The four main approaches to risk control are: risk avoidance, risk retention, risk transfer and risk reduction. Economic factors affecting the acceptance of risk come into play when evaluating risks. Detailed below is an overview of the four risk control measures: Risk avoidance is perhaps the absolute form of risk control and involves the elimination of risk by discontinuing the activity which is its source; provided that it can be readily identified. The nature of the solution may be engineering, technical, financial, political, or whatever else addresses the cause of the risk. However, care should be taken so that avoiding one known risk does not lead to taking on unknown risks of even greater consequence. E.g. a transport company withdrawing from high risk routes, where its vehicles are likely to be subjected to attack or vandalism or shutting down a scaffold work in bad weather to avoid the risk that someone will get hurt. Risk retention is the situation when the organisation retains or carries the risk itself. This is done either with or without knowledge. o

With knowledge is where hazards have been identified and risk evaluated, and the organisation consciously decides that it is willing to meet any losses that result, from its own resources. An example might be where having assessed the risks, and taking account of high insurance excess figure, an organisation decides to limit its insurance, e.g. excluding theft from offices. Without knowledge is the situation usually arises from a lack of management control. There is no knowledge of the risk because risk assessment has either not taken place, or has been performed poorly. In a without knowledge situation, the organisation is carrying risk without even knowing, and almost certainly without any idea of the possible consequences should the risks be realised. An example might be where a company does not realise that toxic, explosive or flammable deposits are present in the ground in an area of its site which it intends to develop.

Risk transfer is where a third party agrees to accept or carry risk on the organisations behalf, the most common example is insurance. Insurance companies enter into a legal agreement with organisation’s that, subject to certain conditions, require them to pay compensation (usually financial) for specified losses which occur during the course of the business. In return the organisation pays a regular insurance premium to the insurance company whether any claims are made or not. Some risks are transferred by a guarantee included in the contract of sale. A noteworthy example is the warranty provided a car buyer. When automobiles were first manufactured, the purchaser bore the

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180 Green World Group burden of all defects that developed during use. Somewhat later, automobile manufacturers agreed to replace defective parts at no cost, but the buyer was required to pay for any labor involved. Currently, manufacturers typically not only replace defective parts but also pay for labor, within certain constraints. The owner has, in effect, transferred a large part of the risk of purchasing a new automobile back to the manufacturer. The buyer, of course, is still subject to the inconvenience of having repairs made, but he or she does not have to pay for them. Risk reduction is a strategy that finds its parallel in good health and safety management practice. It is one where hazards and risks are properly considered, and logical, appropriate control measures are introduced to either eliminate or control risk. In risk management, risk that may affect the business and its assets is considered, as well as that which may affect people’s safety and health. Risk reduction should integrate all possible causes of loss, damage or injury into overall loss control system. Risk avoidance is probably underutilized as a strategy for risk mitigation, whereas risk transfer is overutilized—owners are more likely to think first of how they can pass the risk to someone else rather than how they can restructure the processes to avoid the risk. Nevertheless, risk avoidance is a strategy that can be employed by knowledgeable owners to their advantage. Circ*mstances when each of the above strategies would be appropriate Not all risk treatment strategies will be relevant for every risk or uncertainty. When selecting which risk control method there are a few factors that need to be taken into account to ensure the right treatment method is implemented. • • • •

The balance between risk severity and cost Possible opportunities and upside risk Compliance with governmental policy and law Existing Controls

Balance between risk severity and implementation cost: Risk funds need to be allocated on a priority basis. There is no reason for an organisation to spend substantial amounts on a low priority risk as the impacts of its outcome might be low or it may never happen. This also applies for the opposing scenario where we do not want to spend too little on a critical risk. Possible opportunities: Organisations cannot operate or survive by avoiding all risk. For them to succeed, risks need to be taken to allow opportunities to arise. Therefore we must take into consideration the ‘upside risk’ of certain activities and aim to implement controls that maximise desirable activity, not completely remove all risks. Compliance: Particularly in Health and Safety Risk Management there are risks that are required to be controlled to comply with laws and policies. This should be taken into account when deciding on a risk strategy as it may limit our options (e.g. we may be forced to act, removing the ‘avoid’ or ‘accept’ the risk options).

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181 Green World Group Existing controls: If existing controls are already implemented, the organisation should focus on improving its effectiveness before implementing new costly measures. Factors to be considered in the selection of an optimum solution based on relevant risk data Criteria to select the best option of prevention and control measures include: •

▪

The number of people protected by the risk control measure. In general, it is better to use a risk control measure which will protect everyone who could be exposed to the hazard, rather than relying on individuals to provide their own protection. For example, it is better to put a soundproof enclosure around a noisy machine than to expect everyone who might be exposed to the machine's noise to wear hearing protection. The extent to which the continuing effectiveness of the risk control measure relies on human behaviour. In general, it is preferable to have risk control measures which, apart from any necessary maintenance, operate without human intervention. When a risk control measure relies on the actions of people, it is inevitable that on some occasions it will not be used, either deliberately or inadvertently. The extent to which the risk control measure requires testing, maintenance, cleaning, replacement and so on. All of these required activities rely on human intervention and can, therefore, fail. This reduces the likelihood that the risk control measure will continue to be effective. The cost of the risk control measure. Ideally, the cost should be calculated over the whole of the time for which risk control is required, since some risk control measures have a low installation cost but are expensive to maintain, while others have higher installation costs but are cheaper to maintain. This aspect of risk control measures is dealt with in more detail later in this chapter. And, last but not least, the extent to which the risk control measure reduces the risk. Ideally, a risk control measure, or combination of measures, will reduce the risk to near zero, but this may not be achievable in practice.

When deciding on the “best” risk control measures, we need to arrive at a compromise between all the demands listed above, since they are often in competition. However, a critical issue for a measure's longterm effectiveness is the extent to which it relies on human beings continuing to carry out particular activities. In 2009, the benOSH study (benefits of occupational safety and health) established the costs of work related accidents and diseases and compared these with the costs of optimum prevention measures that could have prevented or reduced the incidents. The study concluded that the highest values can be found for measures aimed at substitution or avoidance. The lowest values can be found for measures such as training and personal protective equipment. These results seem to support the case that measures considered to be the most effective according to the prevention principles are also more cost-effective (profitable). The question of why companies would rather implement technical and personal measures but leave out efforts to eliminate or reduce hazards meet a number of challenges: • • •

Attitude: never change a running process, as process changes may bring about uncertainties No priority neither at enterprises nor in practical governance Dealing with the current problems is already too laborious; no additional problems by an unnecessary innovative approach (existing standards etc.)

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182 Green World Group • • • •

Uncertainty in risk assessment – a shift of risks may be possible Substitutes are less tested in practice Integration in the production chain makes an innovation beyond enterprise borders necessary Technological or economic difficulties

The difficulties in applying the hierarchy of control measures in practice have caused the European Agency for Safety and Health at Work, EU-OSHA, to provide good practice examples on how to eliminate or combat risks at source. The cases cover different sectors, such as: roadwork, office work, metal sector, railway, health sector, mines, packaging and cement production. A similarly wide range of issues was presented, namely: ergonomics, accident prevention, chemicals, biological risks, psychosocial problems, noise, electricity and climate. The success factors include, amongst others: •

Support from top management: This is essential to ensure that necessary resources such as budget, human resources, equipment, etc., are made available for the project. • Involvement of relevant actors: such as workers themselves (participatory risk assessment), human resources, financial department, OSH practitioners, etc. An important group that has to be motivated and involved from the beginning are the workers. They should be involved not only in the risk analysis itself but also during the identification and implementation of possible solutions. Their practical and detailed knowledge and competence is often needed to develop workable preventive measures. A good analysis/knowledge of effective potential solutions, best practice and scientific or technological innovations available. The principles and benefits of risk management in a global context Risk management is about taking practical steps to protect people from real harm and suffering - not bureaucratic back covering. Taking a sensible approach to risk management is about: • • • • •

Ensuring that workers and the public are properly protected Enabling innovation and learning not stifling them Ensuring that those who create risks manage them responsibly and understand that failure to manage significant risks responsibly is likely to lead to robust action Providing overall benefit to society by balancing benefits and risks, with a focus on reducing significant risks - both those which arise more often and those with serious consequences Enabling individuals to understand that as well as the right to protection, they also have to exercise responsibility

It is not about: • • • • •

Reducing protection of people from risks that cause real harm Scaring people by exaggerating or publicising trivial risks Stopping important recreational and learning activities for individuals where the risks are managed Creating a totally risk-free society Generating useless paperwork mountains

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183 Green World Group There are some myths and stories that, health and safety is all about stopping any activity that might possibly lead to harm. This is not sensible health and safety management – safety is about saving lives, not stopping them. In order to address some of these stories, or myths, surrounding health and safety, HSE has set up the Myth Busters Challenge Panel. The challenge panel provides a mechanism for anyone (whether on behalf of a company or organisation, or as an individual), who receives advice or is told that a decision has been taken in the name of health and safety that they believe to be disproportionate or inaccurate, to challenge that advice.

5.1 Loss causation Quantitative analysis of data Understand the theories/models, tools and techniques Accident causation models were originally developed in order to assist people who had to investigate occupational accidents, so that such accidents could be investigated effectively. Knowing how accidents are caused is also useful in a proactive sense in order to identify what types of failures or errors generally cause accidents, and so action can be taken to address these failures before they have the chance to occur. Accident/incident ratio studies, understanding their use and limitations Accident ratio studies are often used to justify recording and analysing near-hits as part of a monitoring programme. They typically compare the number of fatalities or serious harm injuries with minor injuries, property damage and near-hit events. How useful are accident ratio studies? It might be assumed such studies gives some useful results over a long period of time (say 10 years) but the rarity of data on fatalities and serious harm injuries within an organisation could make such studies pointless. Further, long-term changes in the external and internal business environment may mean we are not comparing like with like. Some business sectors may share anonymous data to help identify common causes but this may mask variations in equipment, substances, products, training, etc. between organisations. Aggregation of data for a whole country means a ratio may be comparing fatalities and serious harm events in, say, mining or deep-sea fishing with minor injuries in IT services. An early ratio study was carried out by Herbert Heinrich but a more recent and widely quoted ratio study was carried out by Frank Bird in 1969. Frank E. Bird, Jr., was the Director of Engineering Services for the Insurance Company of North America. He was interested in the accident ratio of 1 major injury to 29 minor injuries to 300 no-injury accidents first discussed in the 1931 book, Industrial Accident Prevention by. H. W. Heinrich.

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184 Green World Group Since Mr. Heinrich estimated this relationship and stated further that the ratio related to the occurrence of a unit group of 330 accidents of the same kind and involving the same person, Mr. Bird wanted to determine what the actual reporting relationship of accidents was by the entire average population of workers. H.W. Heinrich’s classic safety pyramid is now considered the foremost illustration of types of employee injuries.

The accident triangle

There Bird analyzed 1,753,498 accidents reported by 297 cooperating companies. These companies represented 21 different industrial groups, employing 1,750,000 employees who worked over 3 billion hours during the exposure period analyzed. The study revealed the following ratios in the accidents reported: For every reported major injury (resulting in fatality, disability, lost time or medical treatment), there were 9.8 reported minor injuries (requiring only first aid). For the 95 companies that further analyzed major injuries in their reporting, the ratio was one lost time injury per 15 medical treatment injuries. Forty-seven percent of the companies indicated that they investigated all property damage accidents and eighty-four percent stated that they investigated major property damage accidents. The final analysis indicated that 30.2 property damage accidents were reported for each major injury. Part of the study involved 4,000 hours of confidential interviews by trained supervisors on the occurrence of incidents that under slightly different circ*mstances could have resulted in injury or property damage. Analysis of these interviews indicated a ratio of approximately 600 incidents for every reported major injury. In referring to the 1-10-30-600 ratio detailed in a pyramid it should be remembered that this represents accidents reported and incidents discussed with the interviewers and not the total number of accidents or incidents that actually occurred. Bird continues, as we consider the ratio, we observe that 30 property damage accidents were reported for each serious or disabling injury. Property damage incidents cost billions of dollars annually and yet they are frequently misnamed and referred to as "near-accidents”. Ironically, this line of thinking recognizes the fact that each property damage situation could probably have resulted in personal injury. This term is a holdover from earlier training and misconceptions that led supervisors to relate the term "accident" only to injury. The 1-10-30-600 relationships in the ratio indicate clearly how foolish it is to direct our major effort only at the relatively few events resulting in serious or disabling injury when there are so many significant opportunities that provide a much larger basis for more effective control of total accident losses.

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185 Green World Group It is worth emphasizing at this point that the ratio study was of a certain large group of organizations at a given point in time. It does not necessarily follow that the ratio will be identical for any particular occupational group or organization. That is not its intent. The significant point is that major injuries are rare events and that many opportunities are afforded by the more frequent, less serious events to take actions to prevent the major losses from occurring. Safety leaders have also emphasized that these actions are most effective when directed at incidents and minor accidents with a high loss potential. There is always a large variation between the most serious and no claim incident. Can the study be relied on? What is wrong with it? The following criticisms and others are possible. • • •

• • •

• •

The original study was not published or peer reviewed and so has not been critically reviewed The data was collected in 1969 (i.e. more than 45 years ago) from companies in the USA and may not relate to data in other countries for the same period It is not clear how much analysis of the 1,753,498 accidents was possible, or accurately carried out (e.g. at the time, computers had relatively little power and software was not as sophisticated as that currently available The effects on hours worked of external factors (e.g. the state of the US economy and seasons) is not discussed The industrial groups studied are not specified, making comparisons with current industry sectors unreliable The 21 different US industry groups covered by the study have probably changed substantially since 1969 (e.g. the iron and steel industry has diminished while IT services barely existed in 1969) making current reliability of the ratio doubtful The ANSI standard definitions may well have changed and may have been different to thencommonly-used or currently-used definitions elsewhere in the world As Bird & Loftus noted, the numbers used were for reported events, not all events, and may contain under- or over-reporting across the sectors studied.

Birds domino and multi-causality theories (immediate, underlying and root causes) The Domino theory, also known as Heinrich’s Domino theory, is considered the first scientific approach to accident prevention. According to Heinrich, 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. According to the Domino theory, a person injury (the final domino) occurs only as a result of an accident. An accident occurs only as a result of a personal or mechanical hazard. Personal and mechanical hazards exist only through the fault of careless persons or poorly designed or improperly maintained equipment. Faults of persons are inherited or acquired as a result of their social environment or acquired by ancestry. The environment is where and how a person was raised and educated.

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186 Green World Group The sequence of domino theory is:

Injury, caused by an

Accident, due to an

Fault of the Person, caused by their

Ancestry and Social Environment.

Unsafe act and/or mechanical or physical hazard, due to the

The factor preceding the accident (the unsafe act or the mechanical or physical hazard) should receive the most attention. Heinrich felt that the person responsible at a company for loss control should be interested in all five factors, but be concerned primarily with accidents and the proximate causes of those accidents. He also emphasized that accidents, not injuries or property damage, should be the point of attack. He defined an accident as any unplanned, uncontrolled event that could result in personal injury or property damage. For example, if a person slips and falls, an injury may or may not result, but an accident has taken place. Injury: Injury results from accidents, and some types of injuries Heinrich specifies in his "Explanation of Factors" are cuts and broken bones. Accident: Heinrich says, "The occurrence of a preventable injury is the natural culmination of a series of events or circ*mstances which invariably occur in a fixed and logical order." He defines accidents as, "events such as falls of persons, striking of persons by flying objects are typical accidents that cause injury." Unsafe Acts and/or Unsafe Conditions: The third domino deals with Heinrich's direct cause of incidents. As mentioned above, Heinrich defines these factors as things like "starting machinery without warning ... and absence of rail guards. " Heinrich felt that unsafe acts and unsafe conditions were the central factor in preventing incidents, and the easiest causation factor to remedy, a process which he likened to lifting one of the dominoes out of the line. These combining factors (1, 2, and 3) cause accidents. Heinrich defines four reasons why people commit unsafe acts "improper attitude, lack of knowledge or skill, physical unsuitability, and improper mechanical or physical environment." He later goes on to

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187 Green World Group subdivide these categories into "direct" and "underlying" causes. For example, he says, a worker who commits an unsafe act may do so because he or she is not convinced that the appropriate preventative measure is necessary, and because of inadequate supervision. The former he classifies as a direct cause, the latter as an underlying cause. This combination of multiple causes, he says, create a systematic chain of events leading to an accident. Fault of Person: The second domino also deals with worker personality traits. Heinrich explains that inborn or obtained character flaws such as bad temper, inconsiderateness, ignorance, and recklessness contribute at one remove to accident causation. According to Heinrich, natural or environmental flaws in the worker's family or life cause these secondary personal defects, which are themselves contributors to Unsafe Acts, or and the existence of Unsafe Conditions. Social Environment and Ancestry: This first domino in the sequence deals with worker personality. Heinrich explains that undesirable personality traits, such as stubbornness, greed, and recklessness can be "passed along through inheritance" or develop from a person's social environment, and that both inheritance and environment (what we usually refer to now as "nature" and "nurture") contribute to Faults of Person. The accident is avoided, according to Heinrich, by removing one of the dominoes, normally the middle one or unsafe act. This theory provided the foundation for accident prevention measures aimed at preventing unsafe acts or unsafe conditions Heinrich’s Axioms of Industrial Safety states that Injuries result from a completed series of factors, one of which is the accident itself • • • • • • • • •

Accidents occur only as a result of an unsafe act by a person, and/or a physical or mechanical hazard Most accidents result from unsafe behaviors of people Unsafe acts do not always result in an accident/injury Reasons why people do unsafe acts can aid in the corrective action Severity of the accident is largely fortuitous, and the cause is largely preventable Accident prevention techniques are analogous with best quality and production techniques Management should assume responsibility for safety as it is in the best position to get results The supervisor is the key person in accident prevention Any accident results in direct and indirect costs

In Heinrich’s theory, he proposed three corrective sequence actions (“The Three E’s”), as follows: Engineering •

Control hazards through product design or process change

Education •

Train workers regarding all facets of safety

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188 Green World Group •

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

Heinrich concluded that accidents were primarily the result of unsafe acts, unsafe conditions, or unavoidable. Multiple causation theory is an outgrowth of the domino theory, but it postulates that for a single accident there may be many contributory factors, causes and sub-causes, and that certain combinations of these give rise to accidents. According to this theory, the contributory factors can be grouped into the following two categories: • •

Behavioural: This category includes factors pertaining to the worker, such as improper attitude, lack of knowledge, lack of skills and inadequate physical and mental condition. Environmental: This category includes improper guarding of other hazardous work elements and degradation of equipment through use and unsafe procedures.

The major contribution of this theory is to bring out the fact that rarely, if ever, is an accident the result of a single cause or act. Active failures are errors and violations having immediate negative results and are usually caused by an individual normally by front-line people such as drivers, control room staff or machine operators. Latent failures are caused by circ*mstances such as scheduling problems, inadequate training, or lack of resources which results in an active failure. Investigators examine the company culture, policy, and latent errors whose effects lie dormant until triggered later by a technician. We should not just point fingers when a technician makes an error; we have to investigate the latent failure. Both latent and active failures interact, creating a window for an accident to occur. Latent failures set the stage for the accident, while active failures tend to be the catalyst for the accident. As the model illustrates, there are several lines of defense, and if there is a hole in that line of defense, it can create a failure. If a situation contains a sufficient number of failures allowing the holes to line up, then an accident will occur.

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189 Green World Group Latent failures are present in the system well before an accident and are most likely bred by decision-makers, regulators, and other people far removed in time and space from the event. Conflicting goals and bad management decisions unknowingly create the conditions under which the latent failures can reveal themselves. Safety efforts should be directed at discovering and solving these latent failures rather than by localizing efforts to minimize active failures by the technician. This is why with any human factors program; management has to be involved right from the beginning. Latent failures are made by people whose tasks are Layers of protection removed in time and space from operational activities, e.g. designers, decision makers and managers. Latent failures are typically failures in health and safety management systems (design, implementation or monitoring). Examples of latent failures are: • • • • • • •

Poor design of plant and equipment Ineffective training Inadequate supervision Ineffective communications Inadequate resources (e.g. people and equipment) Uncertainties in roles and responsibilities Poor SOPs

The Accident Causation Model (or "Swiss Cheese Model") is a theoretical model that illustrates how accidents occur in organisations. The model focuses on both organisational hierarchy and human error. It postulates that the typical accident occurs because several (human) errors have occurred at all levels in the organisational hierarchy in a way that made such accident unavoidable. For example, decision makers may have made ill decisions when purchasing aircraft (fallible decisions), line management may have pushed for faster turnarounds (line management deficiencies), pilots may have felt pressurised to cope with a stressful climate, an unsafe culture and little rest (preconditions), the particular pilot who suffered the accident may have gotten distracted with other tasks three seconds prior to the accident (unsafe act), and the aircraft systems fail in providing unmistakable warnings of the danger (inadequate defenses). What makes Reason's model particularly useful in mishap investigation is that it forces investigators to address latent failures and conditions within the causal sequence of events. For instance, latent failures or conditions such as fatigue, complacency, illness, and the physical/technological environment all affect performance, but can be overlooked by investigators with even the best of intentions. These particular latent failures and conditions are described within the context of Reason's model as Preconditions for Unsafe Acts. Likewise, supervision can promote unsafe conditions of operators and ultimately unsafe acts will occur. For example, if an Operations Officer were to pair a below average team leader with a very

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190 Green World Group junior/inexperienced crew, the result is increased risk of mission failure. Regardless, whenever a mishap does occur, the crew naturally bears a part of the responsibility and accountability. However, latent failures or conditions at the supervisory level are often equally responsible for poor hazard analysis and subsequent increased mission risk, and may ultimately cause the mishap. In this particular example, the crew was set up for the opportunity for failure. Fault Tree A fault tree diagram is used to conduct fault tree analysis (or FTA). Fault tree analysis helps determine the cause of failure or test the reliability of a system by stepping through a series of events logically. 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. Steps to Creating a Fault Tree Diagram • • • • •

Define the undesired event: the primary fault or failure being analyzed Deduce the event's immediate causes Keep stepping back through events until the most basic causes are identified Construct a fault tree diagram Evaluate your fault tree analysis

Benefits of Fault Trees • • • •

A fault tree creates a visual record of a system that shows the logical relationships between events and causes lead that lead to failure. It helps others quickly understand the results of your analysis and pinpoint weaknesses in the design and identify errors. A fault tree diagram will help prioritize issues to fix that contribute to a failure. In many ways, the fault tree diagram creates the foundation for any further analysis and evaluation. Fault tree diagram can be used to help design quality tests and maintenance procedures.

Event tree analysis An event tree analysis (ETA) is an inductive procedure that shows all possible outcomes resulting from an accidental (initiating) event, taking into account whether installed safety barriers are functioning or not, and additional events and factors. By studying all relevant accidental events (that have been identified by a preliminary hazard analysis, a HAZOP, or some other technique), the ETA can be used to identify all potential accident scenarios and sequences in a complex system. Design and procedural weaknesses can be identified, and probabilities of the various outcomes from an accidental event can be determined.

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191 Green World Group Event tree construction steps: 1. Identify (and define) a relevant accidental (initial) event that may give rise to unwanted consequences 2. Identify the barriers that are designed to deal with the accidental event 3. Construct the event tree 4. Describe the (potential) resulting accident sequences 5. Determine the frequency of the accidental event and the (conditional) probabilities of the branches in the event tree 6. Calculate the probabilities/frequencies for the identified consequences (outcomes) 7. Compile and present the results from the analysis Advantaged of ETA: • • •

Visualize event chains following an accidental event Visualize barriers and sequence of activation Good basis for evaluating the need for new / improved procedures and safety functions

Disadvantages of ETA: • • • • •

No standard for the graphical representation of the event tree Only one initiating event can be studied in each analysis Easy to overlook subtle system dependencies Not well suited for handling common cause failures in the quantitative analyses The event tree does not show acts of omission

Bow tie analysis The Bowtie method is a risk evaluation method that can be used to analyse and demonstrate causal relationships in high risk scenarios. The method takes its name from the shape of the diagram that you create, which looks like a men’s bowtie. A Bowtie diagram does two things. First of all, a Bowtie gives a visual summary of all plausible accident scenarios that could exist around a certain Hazard. Second, by identifying control measures the Bowtie displays what a company does to control those scenarios. However, this is just the beginning. Once the control measures are identified, the Bowtie method takes it one step further and identifies the ways in which control measures fail. These factors or conditions are called Escalation factors. There are possible control measures for Escalation factors as well, which is why there is also a special type of control called an Escalation factor control, which has an indirect but crucial effect on the main Hazard. By visualising the interaction between Controls and their Escalation factors one can see how the overall system weakens when Controls have Escalation factors. Besides the basic Bowtie diagram, management systems should also be considered and integrated with the Bowtie to give an overview of what activities keep a Control working and who is responsible for a Control. Integrating the management system in a Bowtie demonstrates how Hazards are managed by a company. The Bowtie can also be used effectively to assure that Hazards are managed to an acceptable level (ALARP)

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192 Green World Group There are two things that the Bowtie does. First, the Bowtie analyses chains of events, or possible accident scenarios. The way it does that was inspired by three different methods. The first method is the fault tree which covers the left side of the Bowtie in a different form. Second, the event tree which can be seen on the right side of the Bowtie, but also in a different form than the original event tree. Lastly, causal factors charting, which is most likely the origin of Escalation factors. The second thing the Bowtie does is to identify control measures that an organisation has in place. This type of thinking is more easily explained with the famous Swiss Cheese model by James Reason, which originated in the early nineties. Bow tie construction steps:

1. Define the Hazard and the Top Event which is the initial consequence • What happens when the danger is released? 2. Identify the Threats which are the Top Event causes • What causes the release of danger? • How can lost control? 3. Identify the existing Protection Barriers each Threat • Prevent the Top Event occurrence • Can be independents or dependents • How can controls fail? • How can that their effectiveness can be compromised? 4. Identify for each Barrier their Escalation Factors • Factors that make the Barrier fail • How can we avoid that the hazard being released? • How can we keep the control?” 5. Identify for each Barrier their Escalation Factors Control • Factors that prevent or minimize the possibility of the Barrier or the Recovery Measures becomes ineffective • How to ensure that the controls will not fail? 6. Identify the consequences • Top Event could have several consequences 7. Identify the Recovery Measures • Factors that make the barriers fail • How can we limit the severity of the event? • How can we minimize the effects? 8. Identify for each Recovery Measure their Escalation Factors and Escalation Factors Controls 9. For each Barrier, Recovery Measures and Escalation Factors Controls identify the Critical Safety Tasks

Benefits of bow tie analysis: • • • • •

Ensures identification of high probability-high consequence events Combined application of a high-level fault/event trees Representation of the causes of a hazardous scenario event, likely outcomes, and the measures in place to prevent, mitigate, or control hazards Existing safeguards (barriers) identified and evaluated Typical cause scenarios identified and depicted on the pre-event side (left side) of the bow-tie diagram

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193 Green World Group • • •

Credible consequences and scenario outcomes are depicted on the post-event side (right side) of the diagram Associated barrier safeguards included Highly effective for initial Process Hazard Analysis

Limitations of bow tie analysis • • • •

Entirely qualitative Does not replace other techniques (JSA, method statements, etc.) – is complementary to them Depends on experience of personnel and active workforce involvement Ensure controls in bowtie are truly independent

Fishbone Diagram: A fishbone diagram is a cause-and-effect discovery tool that helps figure out the reason(s) for defects, variations or failures within a process. In other words, it helps break down, in successive layers, root causes that potentially contribute to an effect. Sometimes called an Ishikawa diagram or cause-and-effect analysis, a fishbone diagram is one of the main tools used in a root cause analysis. A fishbone diagram, as the name suggests, mimics a fish skeleton. The underlying problem is placed as the fish’s head (facing right) and the causes extend to the left as the bones of the skeleton; the ribs branch off the back and denote major causes, while sub-branches branch off of the causes and denote root causes. These causes mimic the bones of the fish skeleton. The construction of the fishbone can branch off to as many levels as is needed to determine the causes of the underlying problem. The concept of the fishbone diagram is said to have been around since the 1920s, but it was popularized by Japanese professor of engineering, Kaoru Ishikawa, who, most notably, put into place the quality management processes for the Kawasaki shipyards. One of the more famous uses of the fishbone diagram wasn’t used to find causes of existing problems, but rather in the design phase to prevent problems. Mazda Motors used fishbones diagrams to design the Miata (MX5) sports car. Details down to the design of the car’s doors, so drivers could rest their arm on it while driving, were considered. Advantages and Disadvantages of Fishbone Diagrams As we dive into when and how to use a fishbone diagram, it’s important to note the advantages and disadvantages that can present themselves when using this root cause analysis tool. Advantages go in accordance with the purpose and method of the diagram. • • • •

Help identify cause and effect relationships with underlying problems, Help facilitate joint brainstorming discussions, The brainstorming process encourages broad thinking, keeping teams from limited thinking patterns that can lead to getting stuck, The process of asking why something happened repeatedly at each stage helps drill down to one or more root causes,

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194 Green World Group • • • • •

Help prioritize relevant causes, so underlying root causes are addressed first. Some disadvantages that can present themselves relate to the greatest strengths of the fishbone diagram. The brainstorming process can produce irrelevant potential causes along with relevant ones, which can result in confusion and a time drain. Complex diagrams with multiple factors can lead to a jumbled mess that is too difficult to display in a fishbone diagram. Fishbone diagrams can lend themselves to the divergent approach – the temptation to identify and fix everything that might be causing the problem. This usually leads to a low success rate because hardly any team has the resources to fix every potential cause. For example, if you complete a fishbone diagram and it has 40 potential causes, the team will be left feeling like the problem is too big to handle.

The quantitative analysis of accident and ill-health data The impacts that statistics can have on an organisation and organisational reputation Statistical research in business enables managers to analyze past performance, predict future business practices and lead organizations effectively. Statistics can describe markets, inform advertising, set prices and respond to changes in consumer demand. Descriptive analytics look at what has happened and helps explain why. By using historical data, managers can analyze past successes and failures. This is also called “cause and effect analysis.” Some common applications of descriptive analytics include sales, marketing, finance and operations. Predictive analytics uses a variety of statistical techniques (such as modeling and data mining) to predict future probabilities and trends based on historical data. This goes beyond reporting what has happened to create best estimates for what will happen. Some common applications of predictive analysis include fraud detection and security, risk assessment, marketing and operations. Prescriptive analytics is the stage of determining the best course of action in a given business situation. This includes knowing what may happen, why it may happen, and how to navigate it. Constantly updating information changes prescriptive analysis, allowing managers to maintain action plans for their organizations in real-time. Mean, Median and Mode Those who use statistical research in business should be familiar with how statistics are calculated, including how the mean, median and mode work together to create meaning from a set of numbers. The mean is an average of a set of numbers, the median is the middle number within a set of numbers and the mode is the most common number in a set. Successful managers understand that these concepts work in concert to create an accurate picture of a business’s condition.

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195 Green World Group Responsibility with Statistics According to Six Sigma Online, managers should be prepared when they use statistical research in business to explain the research to other stakeholders and vouch for its authenticity. It is important to know the source of the data and ask questions such as What does this research represent, and why was it generated? Was the person who compiled this data capable of doing so, and were they unbiased? Methods of calculating loss rates from raw data Description of methods of calculating injury rates from raw data (accident frequency rate, accident incidence rate, accident severity rate). Measuring safety performance can be a complex and timeconsuming exercise but is also a necessity. • •

Prevalence rate is defined as the prevalence estimate divided by the population at risk of having a work-related illness. Incidence rate is defined as the incidence estimate (restricted to individuals working in the 12 month period) divided by the population at risk of experiencing a new case of work-related illness during the reference period (generally defined as people working in the last 12 months).

The following formulae are used in the United Kingdom as a standard for the health and safety industry (details given at HSE website): Accident / Incident Frequency Rate = (Total number of accidents / total number of man hours worked) x 1,000,000 Accident Incidence Rate = (Total number of accidents / Number of persons employed) x 10,000 Accident Severity Rate = (Total number of days lost / Total number of man hours worked) x 1,000 Ill-health Prevalence Rate = (The estimated number of people ever employed with a work-related illness in a reference period / Estimated number of people ever employed) x 100 000 Mean duration Rate = (Total number of days lost / Total number of accidents) The multipliers in the statistical analysis given above are the more common ones used in workplace organisations and are used as an internal comparison of performance from one period of time to another. If a company wishes to make comparisons with other companies, then it should be noted that other organisations may use different multipliers; for example the ILO & HSE use 1,000,000 for the frequency rate and the USA uses 200,000. There is no right or wrong multiplier but, should you wish to compare with other organisations, you will need to ensure you use their multiplier to ensure a true comparison takes place. Epidemiology is used to identify problems that would not be noticed from single unwanted events, for example accidents occurring more frequently in certain locations. It should be noted that using epidemiological analysis would only help to identify areas for investigation and will not provide solutions

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196 Green World Group to problems; that will come from the investigation. The results provide a guide to where investigations will be most cost-effective, although they provide no information on their causes Epidemiological analysis techniques are employed by using statistical techniques of unwanted events and not just medical ones. The statistical techniques associated with epidemiological analyses can be used in most circ*mstances where it is required by employers to analyse unwanted events, including accidents. The use of Epidemiological Analysis was first used as a scientific technique in the study of certain diseases and epidemics. An example of this is the early outbreaks of cholera that caused the deaths of many people in the major cities of Great Britain. No one knew what caused the disease but many doctors looked for patterns in how the epidemics occurred. This was done on a trial and error basis with different people looking at where cholera victims lived, what they ate and the work they did. Eventually it was discovered that cholera epidemics were centred on certain pumps from which local people obtained their drinking water. It also found that closing these pumps stopped the spread of the disease in those areas. Although no one knew why the pumps, or the water from them, were causing the disease, they had found an effective way of stopping it spreading. In fact, it was many years later that the water-borne organisms responsible for cholera were identified.

5.2 Measuring and monitoring The purpose and use of health and safety performance measurement The meaning of key performance indicators and their role in setting business objectives A Key Performance Indicator is a measurable value that demonstrates how effectively a company is achieving key business objectives. Organizations use KPIs at multiple levels to evaluate their success at reaching targets. Health and safety key performance indicator is an important way to mainstream OSH into business management. Key performance indicators should provide objective data on the Occupational Health and safety situation. It is often said that ‘what gets measured gets managed’. Without sufficient information on OSH performance, no adequate feedback on actions and policies is available. The most frequently used KPIs reflect past performance rather than future performance at a workplace. The business world regularly uses key performance indicators, or KPIs, to track the performance and project the future success of a business organization. The role of KPIs in the strategic planning process stems from the belief that KPIs provide a measurable and objective standard by which business leaders can track progress and implement change. To be useful as a tool to manage occupational safety and health, KPIs should provide quantitative or semi-quantitative data that reflect the safety and health issues and activities in the organization. These should comprise condensed information on existing and emerging risks, exposures, and hazards, as well as on preventive activities to (further) reduce the remaining hazards and risks.

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197 Green World Group The KPIs should be based as far as possible on objective and validated measurements; however, some OSH aspects (e.g. safety climate or worker satisfaction) are difficult to measure entirely objectively; in such cases, making use of validated surveys or questionnaires that deliver self-reported data is the best option. In principle, it is only useful to measure a performance indicator if the KPI can be used for decision-making. In other words, it is only useful when the measurement has potential consequences for adapting OSH policies, OSH plans, or existing practices. For steering purposes, the relevance of the KPIs increases when they are based on real time measurements or have a validated predictive value. A KPI that is measured every week implies that information becomes available every week whereupon action can be taken when necessary. If the measurement is only once a year, it can provide relevant information for an annual OSH plan, but it cannot have consequences for day-to-day activities and it cannot be useful in managing acute risks. The types, benefits and limitations of leading and lagging indicators

What it is?

Benefits

Leading Leading indicators are proactive, preventative, and predictive measures that monitor and provide current information about the effective performance, activities, and processes of an EHS management system that drive the identification and elimination or control of risks in the workplace that can cause incidents and injuries. Leading indicators focus on future health and safety performance with the intent of continuous improvement. They are a signal and monitor of what is being done on an ongoing basis to prevent worker illness and injury.

Lagging Lagging indicators measure the end result of OHS processes, policies and procedures. They’re a record of things that have already happened. Since they record things after the fact, they inform a reactive health and safety culture.

Leading indicators can be a useful tool to help organizations track, measure and adjust their OHS related activities so they can effectively direct their health and safety performance and avoid incidents/harm. Because they are able to target specific aspects of the organization’s health and safety management program, leading

Lagging indicators are the traditional safety metrics used to indicate progress toward compliance with safety rules. These are the bottom-line numbers that evaluate the overall effectiveness of safety at your facility. It tells the company how many people got hurt and how badly.

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198 Green World Group indicators can provide equally specific insight into the strengths and weaknesses of that program. Challenges

• May prove difficult to identify and The major drawback to only using lagging capture; often there are new measures indicators of safety performance is; with no history within the organization. • They tell you how many people got hurt and how badly, but not how well your company is doing at preventing incidents and accidents. • The reactionary nature of lagging indicators makes them a poor gauge of prevention. For example, when managers see a low injury rate, they may become satisfied and put safety on the bottom of their to-do list, when in fact, there are numerous risk factors present in the workplace that will contribute to future injuries. • Lagging indicators measure negative or unwanted outcomes such as injuries, illnesses or deaths. It’s an approach that can impair an organization’s efforts at building a positive safety culture. Waiting for the damage to be done before addressing the risks may send a message that worker health and safety isn’t a priority.

The assessment of the effectiveness and appropriateness of health and safety objectives and arrangements, including control measures One of the reasons why occupational safety & health receives less board level attention than other business priorities is because of the difficulty in measuring effectiveness in responding to what is a complex, multi-dimensional challenge. •

Selecting the right measures: Most organizations use performance measures as part of their monitoring. Checking performance against a range of pre-determined measures is one of the most frequently used techniques of monitoring. Selecting the right measures to use is the critical step. Using the wrong measures will cause a lot of unnecessary and unproductive effort, with little benefit to your organization.

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199 Green World Group • • • •

Comparing actual performance against target: The emphasis should be on achievements rather than failures, but it is important to analyze the reasons for substandard performance if improvements are to be made. Decide on corrective action: The measurement data should provide information to enable decisions to be made about what corrective action is required and where and when it is necessary. Review the measures: The measures derived need to be reviewed regularly to ensure that they remain appropriate, useful and cost-effective. There should not be frequent changes of measures because this can lead to confusion. Improving your performance measurement arrangements: In seeking to improve your organization’s approach to measuring health and safety performance, a useful starting point is to review what measuring activity is currently taking place against this guidance. You should include consideration of: o Range, nature and deployment o Gaps in the coverage o Balance and emphasis o Design basis

Making recommendations based on performance, for the review of current health and safety management systems Organizations need to monitor their performance to assess how well they are controlling risks. A low accident rate is not necessarily a sign that all risks are being managed, and so measures of performance need to be more wide ranging. Carrying out reviews will confirm whether your health and safety arrangements still make sense. For example, you’ll be able to: • •

Check the validity of your health and safety policy Ensure the system you have in place for managing health and safety is effective

Periodic reviews of control measures and risk assessments should be conducted to ensure the control measures implemented are appropriate and effective and the risk assessments are still valid. This can be achieved through: • • • •

Safety audits Regular workplace inspections Consultation with employees Review of incident investigations

Risk management should be built into all workplace activities that can give rise to safety issues. The information helps in deciding: • • • • •

Where you are relative to where you want to be What progress is necessary and reasonable in the circ*mstances How that progress might be achieved against particular restraints (e.g. resources or time) The way progress might be achieved Priorities and effective use of resources.

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200 Green World Group Audit is a formalized method of investigating a systems performance. Of course it is no good collecting information, if nothing is done with it to correct deficiencies. Organizations need to review the data information they have from all sources and act on it. Review the information from regular inspections to identify where corrective action was needed. Determine if these actions have been taken. Use older reports to identify trends. Analysis of inspection reports may show the following: • • • • •

Priorities for other corrective action Need for improving safe work practices Insight about why incidents are occurring in particular areas Need for education and training in certain areas Areas and equipment that require more in-depth hazard analysis

The health and safety committee can review inspections, identify trends, and monitor the progress of the recommendations. This analysis can be used as part of the continual improvement process for the occupational health and safety program or management system. The benefits of measuring what goes right (proactive safety management). You Get to See Mistakes When you have your eyes and ears on employees through the day, you have the chance to watch out for any errors or mistakes that may take place in the workplace in the course of the day. Whenever you spot an employee committing an error, you have the opportunity to get in touch with them immediately and tell them they are committing it, compelling them to correct it on the spot. Alternatively, you can file it in your employee notes and bring it up the next time you’re having a performance review meeting with the employee. Improving Employee-Employer Relationships If you want to improve the relationship, you have with your employees in the office, you can note down the mistakes that are being committed by employees and, rather than point them out immediately (especially if they are not serious in the immediate moment), you can revisit them at a later and better time. You Get to Spot Employee Strengths Employees don’t only want to know what they’re doing wrong so that they may improve and fix their mistakes – they also want to know what they’re doing right, so that they can keep doing it and become even better at it. They want you to tell them their strengths. Recognition Benefits of Monitoring Performance Being able to see what your employees are doing well gives you the opportunity to congratulate them and recognize them for the good work they are doing. When you can back up the recognition with

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201 Green World Group evidence gathered from the monitoring system, then the employees will have fewer trust issues with the idea of being monitored. They will see how it is of benefit to them and will learn to accept the system. This is one of the benefits of monitoring performance. Health and safety monitoring The objectives of active monitoring We cannot assume our people will always do what we want them to do, our systems and procedures will always work as intended and that our equipment and hardware will always perform as desired. Even good, motivated, trained and experienced people who are not tired make mistakes. We know that our people are not perfect and nor are our systems and procedures, and consequently, they are not always applied as intended. Furthermore our equipment wears out over time and can fail. In other words people and systems need regular supervision. Active monitoring involves checking all these components, people, equipment and systems, continue to work as intended. This is not new. What distinguishes the approach described here is the recognition that the topics which are actively monitored must include those barriers or controls needed to prevent a major accident. This needs to include preventive barriers as well as those barriers which are intended to mitigate the consequences of the event if it materializes. Furthermore there are subtly different types of active monitoring that should take place in different points in the organisation. There is a hierarchy of active monitoring: • •

•

First line supervisors should regularly go into the “field” and observe what their staff are doing and discuss their jobs with them and how the systems and equipment they use are working in practice. The managers of first line supervisors should do the same with their supervisors and ask how they know what their teams are doing; how the equipment is operating and how the systems they use are operating. In other words how do they monitor their staff? In addition these managers themselves should go into the “field” to see what is happening (albeit on a less frequent basis). More senior managers should check that their reports have systems for monitoring their people, the equipment and the systems they use. In addition, they too should also go into the “field” themselves on occasions to see what is happening and thereby provide leadership. This is likely to be on a less frequent basis than managers and first line supervisors.

A common thread throughout these different layers of management is that all layers should go into the “field” and focus on those controls that have a direct impact on major accident events. It is inevitable that the most senior managers will go less often but the positive impact they can have because of their positional power makes this activity very important and a key leadership opportunity. The objectives of reactive monitoring Analysis of reactive monitoring data should: • • • • •

Identify the reasons for substandard performance and establish what happened Identify the reasons for substandard performance Identify the underlying failures in the health and safety management system Learn from events Prevent recurrences

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Satisfy legal and reporting requirements

The reactive monitoring system should answer the following questions: • • • • • • • • • •

Are failures occurring (injuries/ill health/loss/incidents)? Where are they occurring? What is the nature of the failures? How serious are they? What were the potential consequences? What are the reasons for the failures? What are the costs? What improvements in the health and safety management system are required? How do all the above points vary with time? Are we getting better/worse?

The distinction between Active/reactive, objective/subjective and qualitative/quantitative performance measures An ideal work environment is an environment in which employees feel their safety and well-being is considered a top priority. Accidents in the workplace are often unpredictable and erratic, however implementing proactive procedures rather than reactive measures make it easier to deal with the aftermath of an event. The differences between proactive measures and reactive measures may be the determining factor that decide whether or not a business or company recovers from the incident. A reactive response occurs in safety and health, after an injury or illness and usually has the purpose of minimizing the costs associated with the injury or illness. When management emphasizes a reactive approach to safety and health, it sends a negative message to employees. Reactive programs always cost much more than proactive programs...always...because an injury or illness has occurred. Reactive programs kick in only after an accident has occurred. Some examples of reactive safety programs include: • • • •

Accident investigation to fix the blame, not the system. Early return to work/light duty programs. Incentive programs that reward not reporting..."Work six months without an accident." Accountability systems that tie discipline to accidents

Active/Proactive measures are preventive actions taken to decrease the likelihood of an incident occurring, these measures also set in place techniques or procedures meant to mitigate the damage caused by the workplace accident. Proactive measures anticipate accidents and are defined by level of preparation, these types of measures have many advantages. These measures cut down on response time, guarantee a uniform response from all employees, reduce the total number of injuries and workers’ compensation claims, and promote an environment of safety and security in the workplace. This approach is always less expensive in the long-term as a result of fewer accidents and injuries. Some examples of proactive safety and health programs include:

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Accident analysis to fix the system, not the blame. Safety committees and/or safety teams Hazard analysis programs. Inspection and Job hazard analysis programs. Incentive/Recognition programs that recognize complying, reporting, suggesting, involvement. Safety education and training: must not be viewed as punishment. Accountability systems that do not tie discipline to accidents.

Objective and subjective performance measures are used to classify the various different types of performance measures. Objective performance measures are independent of the observer. That means the measurement is done using something other than the person observing. This independent measure can include: a stop-watch, measuring tape or record of goals. The objectivity of the performance measure is increased through measures such as: time, checklists, or established criteria. In contrast subjective performance measures are dependent on the observer and based on opinions, feelings, and general impressions. Subjective measures rely more on the observer than independent measures. Sports such as dance and gymnastics are more subjective than objective in their measures. One of the ways that people like to classify their KPIs and performance measures is by whether they are quantitative or qualitative. Should we, do it? And if we do, are we doing it right? A qualitative KPI is a ‘descriptive’ characteristic – an indicator that would describe or assess a quality or a behaviour. For example, worker ratings of management commitment to achieving ‘best practice’ in OHS. A quantitative KPI is a measurable characteristic – really anything that involves numbers. This is the most common type of KPI and covers many things for instance: number of safety audits conducted. The distinction between quantitative and qualitative measures is often misunderstood. Really if you’re measuring anything, you’re gauging the amount to which it’s happening. And numbers are the essential building blocks of amounts. Even when you use rating scales to turn attitudes into numbers, you’re doing it to gauge an amount. So, technically, every measure is quantitative. In the field of statistics, we distinguish variables as qualitative (or attribute) when those variables are not gauging an amount but rather are simply putting things into buckets. The buckets are classifications like gender or market segment or geographical region or product group. Qualitative variables aren’t performance measures. But they are used to help us analyse our measures. Qualitative Methods - produce data with more depth and description • •

Looks at questions that concern why and/or how Matches with outcomes about application, analysis, synthesis, evaluation

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Examples of qualitative methods: focus group/interview, portfolio, rubric (if descriptive), visual methods, one-minute assessment, open-ended survey question, observation, document analysis, case study In the field of statistics, we distinguish two types of quantitative variables: continuous and discrete. Continuous variables can take any value (including decimals) over a range, and are measured in units like kilograms, hours and minutes and seconds, dollars and cents, metres. Discrete variables are generally counting of things like complaints, accidents, new customers – anything that takes an integer value. This includes rating scales for measuring attitudes, such as satisfaction or agreement on a 10-point scale. Quantitative Methods - produce data that shares facts or figures • •

Looks at questions that concern who, what, where, when Matches with outcomes about knowledge and comprehension (define, classify, recall, recognize)

Examples of quantitative methods: survey, existing data, rubric (if assigning #’s), tracking system, observation, document analysis, KPI Health and safety monitoring and measurement techniques Collecting and using sickness absence and ill-health data Monitoring sickness absence Attendance management has become a major issue with many large employers. Information obtained from more tightly-managed attendance can be very useful in spotting possible work-related health problems. If there are certain jobs or parts of the workplace where absence is higher, this may be an indication of a problem. High levels of back pain or WRULD symptoms may be associated with certain types of work. Some caution needs to be exercised when analyzing absence patterns. More detail may be available from medically certificated absences (usually over seven days) than from self-certificated absence. However, absence certificates are mainly completed by GPs who have little experience or training in occupational health. Recording absence additionally allows targets to be set. Where a uniform attendance standard or target rate is defined for all employees, it becomes easier to identify cases that deviate from the standard or normal position. At the same time it can provide an imperative for supervisors or managers to deal with absence abuse, as with an objective measure and analysis tool in place, taking action against problem absence becomes more easily done. The role, purpose and key elements of health and safety audits, workplace inspections, safety tours, safety sampling, safety surveys, safety conversations and behavioural observations Safety Audits A thorough systematic and critical examination of an organization’s safety management systems and procedures to assess the quality and implementation of its safety policy; identifying potential risks and their means of control; analyzing the operations in the work place to see if they are being carried out in a sensible and safe manner.

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205 Green World Group When conducting a safety audit there are two things to evaluate: compliance and safety. When reviewing compliance it is important to evaluate how the company handles conformance to the prescribed codes or standards, recordkeeping and training of employees. When assessing safety, the objective is to identify unsafe work conditions, rather than unsafe acts or behaviors. There is no “one size fits all” approach to health and safety audits. Audits must be customized to the type of industry, size of the company or location being audited, applicable local, state and federal laws and any other company specific factors that might affect the safety and health of your workforce.

Workplace safety audit

Purpose of Safety Audit: • •

• • • •

The health and safety audit seeks to determine the health and safety strengths and weaknesses of an organization. Companies giving health and safety a high priority in their planning will certainly wish to see this reflected in reduced insurance premiums. It is, as we have said before, no coincidence that more insurance companies are becoming actively involved in health and safety training. Audits are conducted to determine the effectiveness of management systems and to identify the strengths and opportunities for improvements Initial health and safety audit can be used to establish standards against which future audits can be measured. A H&S audit will also provide an objective outlook of the status of occupational health and safety management within the workplace.

Audit Types: Legislative Compliance Audits: These types of audits can be specific and undertaken to determine if workplace practices are meeting legislative requirements. Compliance audits are conducted to ensure the workplace meets the requirements of the applicable legislation. A compliance audit will identify hazards, unsafe work practices and procedures, and systems of work do not meet legislated standards. The hazards addressed during a legislative compliance audit are determined by the workplace environment along with information obtained from specific training, relevant injury data and industry input. The outcomes of legislative compliance audits conducted give results that indicate if compliance is being achieved or if further actions are required to meet legislative standards.

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206 Green World Group Hazard Specific Audits Hazard specific audits address particular issues such as lifting or using hazardous substances, and involve the inspection and testing of current workplace control methods. This type of audit has a narrow focus and looks at the effectiveness of policies and procedures in dealing with specific hazards. These audits differ from compliance audits in that the standards set by the workplace to address a risk of injury may exceed legislative requirements. Management System Audits Management systems audits have a wider scope, and although addressing hazards and risk controls, it also looks at workplace structures, planning activities, responsibilities, implemented procedures, review cycles and measurement and evaluation issues. The management system, as such, is a planned, documented and verifiable method of managing WH&S hazards. What makes it a system is the deliberate linking and flow of processes that creates an intentional way of managing WH&S matters. A basic occupational health and safety management system has some of the following characteristics: • • • • • • • • •

Existence of a health and safety policy that is communicated to staff; Management commitment; Allocation of responsibilities and accountability for health and safety matters; Controls for suppliers, sub-contractors and purchasing; Health and safety consultation; Hazard identification, evaluation and control; Provision of information and training of staff; Incident recording, investigation, analysis and review; and Measuring and evaluating work health and safety performance.

Many workplaces undertake these audits on an annual basis as the amount of resources and time required to conduct a management systems audit can be substantial. Benefits of Safety Audits: Identify problems: If there are problems lurking behind the scenes, this can lead to accidents and other negative consequences for a business. The sooner they are identified and addressed, the better prepared your business will be for assisting its clients. Credentials: If you are bidding for clients or looking into new business, you will find that the majority of companies expect you to have proper health and safety procedures in place. Having positive public relations on the back of this will ultimately benefit your business goals. Save money: A health and safety audit provides a calculated analysis of procedures and provides factbased changes to be implemented. This will save you from wasting money on what may be little more than second guesses about procedures and benefit areas such as employee sick leave. Law abiding: There are different regulations and laws in place to ensure safety within different industries. If you are not abiding by these laws, it can lead to your business getting in trouble with the authorities or possibly being shut down. Being in the know that you have the proper regulations in place and eliminating the risk of injury in the workplace will ultimately benefit you and your employees.

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207 Green World Group Factors to consider when preparing your audit programme include: 1. Location: What department or area will you include in your audit? 2. Purpose/scope: Why do you need to do the audit? For example, is it a routine audit? Or problem investigated etc. What scope should the audit cover? 3. Dates: How long will it take to complete the audit? 4. Resources availability: Including competence and availability or auditors and the logistics 5. Preparedness: of the facility being audited 6. Time of opening meeting: Every audit must begin with an opening meeting and responsible managers of the departments/areas you're auditing should be present. 7. A timing plan of when you'll visit the areas that you're auditing: How many visits will you need. 8. Time of closing meeting: Every audit must end with a closing meeting. Ideally, management who were at the opening meeting should be there

Workplace inspections A physical look at aspects of the workplace, as opposed to a paper exercise inspection of part(s) of the workplace or of aspects of the work, which is undertaken, probably making use of checklists - different checklists being developed to meet the needs of different departments of the company. A safety inspection could involve one or more of a range of in-house staff - safety officer, safety representative, line manager, director - either inspecting together or working separately and then comparing results. The latter can be extremely valuable, not only in that one person can spot what others have missed, but also it can be useful in highlighting differences in perception held by management, workers and so on. Management may feel that a particular operation is very satisfactory, workers may feel differently and the safety inspection can help to sort out some of these Workplace inspection perception problems. An inspection will often concentrate on the work of one particular department, perhaps as part of a planned rolling inspection programme. During the course of this programme, inspections could cover a wide range of topics: fire and other emergency procedures, use of PPE, ergonomic aspects of work, condition of safety signs and so on. There are several ways to perform safety inspections of a workplace, task or job. The most popular ways include using checklists, general knowledge, and risk mapping. To be effective, safety inspections must be individualized or tailored to meet the needs of a specific workplace, task or job. •

Safety Checklist Inspections: A checklist is very good for the regular inspection of specific items. However, they may not be as useful in identifying previously unrecognized hazards. Many different checklists are available from a variety of sources. Unfortunately, since these readymade checklists are generic, they rarely meet the needs of a specific workplace, task or job. However,

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•

you may find them useful to inspect a part of your area. For instance, the owner's manual for a table saw may have a checklist that works perfectly for inspecting the saw in a department shop. Taking parts of several ready-made checklists and putting them together may be an easy method of beginning the development of your customized checklist. General Knowledge Safety Inspections: Another way of conducting inspections is to use the information you have in your head and just walk around looking at what is going on. You do not use a pre-made checklist for this type of inspection. This method keeps you from getting stuck looking at the same things every time. However the effectiveness of this inspection method is dependent on the individual's level of knowledge about workplace related safety practices. It is important to document the results of the inspection and any action taken in resolving or addressing safety hazards. Risk Mapping Safety Inspections: The third inspection method is called risk mapping. It is a good method to use at a safety meeting where everyone there is familiar with the workplace or process. This technique uses a map/drawing of the workplace or a list of steps in a process. People in the group then tell the leader the hazards they recognize and where they are located in the workplace or process. The leader uses different colors or symbols to identify different types of hazards on the map or list of steps. This type of inspection is valuable for involving all employees in identifying and resolving safety hazards.

When you do your inspections make sure you are looking at your entire operation's safety program. Remember to evaluate: • • • • •

Processes Equipment Workplace environment Employee training Emergency plans

Safety inspection may also be routine, pre-operational and periodic. How often inspections are performed will depend on several factors: • • • • • • •

The frequency of planned formal inspections may be set in your legislation Past incident records Number and size of different work operations Type of equipment and work processes - those that are hazardous or potentially Number of shifts - the activity of every shift may vary New processes or machinery Legislative requirements for your jurisdiction

Safety Survey This can mean a detailed investigation of one aspect of the workplace; for example a noise survey of an engineering workshop might involve detailed measurements over several days and subsequent analysis of the results.

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209 Green World Group 'Survey' may also mean a familiarization exercise, planning the campaign to make best use of limited resources - for example, an occupational hygienist may have conducted a walk-through survey of the engineering workshop in order to ascertain if a full noise survey is required and, if so, how this should be undertaken. Safety surveys are an organization’s internal activity conducted by those in charge. They differ from the general safety inspections or audits conducted by the government or other legislative bodies. Surveys are conducted regularly to detect unsafe conditions due to malpractices, mishandling of equipment, improper stowage of materials, poor housekeeping, workplace hazards, fire hazards, machine wear and tear, unsafe and unauthorized activities, and no or improper use of personal protective equipment. Safety surveys reduce accidental exposure and make employees more aware of standard operation procedures. They are also an effective way of obtaining a complete picture of day-to-day work and safety practices. Safety surveys may include the following points: •

Building Conditions: Structural safety, housekeeping, unobstructed exits, fire protection, and electrical items

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Equipment: Machine guarding, wear-and-tear on joints and connections

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Health Conditions: Sufficiency of light and air, temperature and humidity levels, noise pollution, ergonomics, and the presence of slip, trip and fall hazards

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Procedures and Practices: Standard operating procedure is in place, safety practices are adhered to, personal protective equipment is used, and procedures for preventing exposure to harmful substances are followed

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Personal Acts: The presence of unsafe and unauthorized activity, talking while working, mindlessness, etc.

Safety Tour A brief examination of one or more aspects of an organization’s activities by a small management team; this might serve as a means of indicating management's commitment to health and safety. Alternatively, the tour could be a prelude to a more detailed series of inspections. A safety tour is an effective visual management tool for a manager for monitoring and controlling his or her organization. It instantly provides the following: •

A demonstration of management’s commitment to the health, safety and environment

Safety tour

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Keeping an up to date knowledge on the current layout of the workplace and surrounding

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Comparison of theory with practice in the workplace

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Monitoring of safe systems in place

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Time to identify and recommend improvements and corrective actions

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A chance to plan for further inspections

•

An opportunity to meet the employees at their workplace

A safety tour is generally human-oriented and is not a substitute for safety audits and routine inspections, which are more technical in nature. It is a good practice for an organization’s journey towards a goal to achieve a zero accident status. Many people are influenced by over-confidence, complacency, optimism and peer pressure, etc., which may lead them to workplace hazards. It is the responsibility of the managers to make their supervisors commands make the consequences of the risk one is taking known, and to convince an employee to change his actions to avoid injury to himself and others. A manager taking a safety tour has to react to the observations, communicate to the responsible people, follow up the progress and finally raise the standards to make it successful. Safety Sampling Sampling implies an inspection that is limited either to certain areas of the workplace or to certain aspects of workplace activity e.g. Inspection of all the fire doors and fire escape signs. The defects that are spotted are noted and the total number of defects is added up to give an index of accident potential. You will appreciate that both trivial and major defects will register the same. Behavioral observation and safety conversations A behavior-based approach to safety and safety training is almost universally considered, and rightly so, to be the best way to improve safety. Behavioral Observations – where an employee, designated or not, observes another employee doing the job and records both safe and at-risk behaviors – are a key part of any behavior-based approach to safety and safety training. It is important to teach employees how to accurately and effectively use a behavior observation card. This includes learning to look for both safe and at-risk behaviors. It also involves how to approach someone regarding an observation. Effective observation and feedback processes are anonymous and confidential. Observers should not write down the name of the employee being observed. Further, it is important that employees are clearly visible when doing observations. In other words, employees should not be “sneaking around corners” trying to do an observation. Beyond teaching employees how to conduct a behavioral observation, it is important to teach employees how to give and receive feedback effectively. In addition, employees learn how to better receive feedback instead of being defensive. The communication piece of BBS training is very important in shaping an observation and feedback process that builds a more open and trusting safety culture. Safety observations should not be the responsibility of “the safety committee” or another select few who sneak in, look over shoulders, jot down notes and then leave. This promotes the “Us/Them” mentality and the perception that someone is snitching on us or that, even worse, Big Brother is watching.

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211 Green World Group In an Absolute safety culture, safety observations are not “add-ons” to our work, they are part and parcel of our work. Everyone is looking for both Safe and At-Risk behaviors. When either is observed, the observer – whether boss, peer or subordinate – has a conversation with the employee. This conversation is structured to recognize and lift up safe behaviors, as well as recognizing at-risk behaviors; then the observer helps the employee to consider and choose other ways to get the job done correctly and safely. These conversations are short, positive, professional and pervasive. They reinforce the correct perception that we are all looking out for one another and challenge the negative perception usually attached to safety observations. Workplace accidents occur for many reasons. After an accident, people tend to look for someone or something to blame rather than identifying the root cause. Below are some of the unsafe workplace behaviors that can lead to accidents. As you read them, ask yourself whether you have ever been guilty of any of these. It may not have resulted in an accident the first time, but you might not be so lucky in the future. • • • •

• • •

Taking Shortcuts: It’s only natural to look for ways to do our jobs faster and more efficiently. But do these time savers come at the expense of your own safety, or that of other workers? Shortcuts that reduce your job safety are not shortcuts at all, but an increased risk of injury. Being Over Confident: Confidence is never a bad thing. But too much confidence in one’s work ability can lead to improper procedures, tool mishandling, etc. which could lead to an accident. Beginning a Task with Incomplete Instructions: To perform a job safely and correctly you need complete information. Never be shy about asking for further explanations about work procedures and safety precautions. The only dumb question is the one that goes unasked. Poor Housekeeping: When clients, managers or safety professionals walk through the workplace, cleanliness is usually an accurate indicator of everyone's attitude about quality, production and safety. Poor housekeeping creates hazards of all types. A well maintained area sets a standard for others to follow. Good housekeeping involves both pride and safety. Ignoring Safety Procedures: Purposely ignoring known safety procedures can endanger not only you but your co-workers too. Being indifferent about safety is a death wish. Mental Distractions: Letting your personal life keep you from focusing on your work is a hazardous situation. Dropping your mental awareness can pull your focus away from safe work procedures. Failure to Plan: Hurriedly starting a task, or not thoroughly thinking through the process can put you in harm’s way. As the old saying goes “People Don’t Plan to Fail, They Fail to Plan!”

Health and safety practitioner’s role in third party (certification) audits Main responsibilities of in house safety practitioner • • •

Work with Department of EHS to ensure your department is in compliance with all standards and regulations. Work with Department to assess new safety and health hazards. Consult with EHS staff members and your department head to shut down any imminent health hazards.

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Consult with principal investigators (PIs) and appropriate departmental staff to make sure they are aware of any environmental health and safety issues.

Role of Safety practitioner in external Audits • Know your position: Where you can, take time to understand what the audit’s purpose is and why it’s being carried out? By understanding this you’re already better prepared to make the process run smoothly. •

Be honest: External auditors are there to help as well as audit, but by being frugal with the truth, trying to bluff or misdirect just makes auditors suspicious and so more likely to dig deeper. Confrontation rather than collaboration is never helpful.

•

Gather the information: Most visits are booked weeks in advance, so unless it’s a spot or deliberately unannounced audit, you have time to gather all the information requested. In advance of the audit, if you haven’t been told about the information your auditor wants to see, proactively ask them.

•

Schedule: Check who else you need to support you on the day of the audit, make sure they’re available and allot time for meetings. For site walk rounds do the same. Many auditors are familiar with time-wasting techniques, and key people not present (or their absence not covered) often just confirms poor management.

•

Work together: Particularly with health and safety, risk appetite is a key performance driver in most organisations. Helping your auditor understand where your business is going and/or the issues it/you are facing, allows them to make recommendations more pertinent and meaningful.

Comparison of previous performance data with that of similar organisations/industry sectors and with national performance data Performance measurement is an essential aspect of monitoring and evaluating OHS performance in any industry. One of the primary objectives of measuring OHS performance is to provide feedback regarding health and safety performance. The benefits associated with the introduction of a performance measurement system for OHS include: • • • • •

The ability to provide an indication of how an enterprise is performing in relation to OHS issues The ability to identify problem areas where adverse outcomes are occurring and subsequently to identify where preventive action should take place The ability to document effects of attempts to improve OHS. For example, a measurement system could provide feedback as to whether implemented safety interventions are operating adequately The ability to promote OHS reviews of existing work practices and work organisation The use of performance measures for benchmarking or comparative performance assessments.

Health and safety benchmarking is a planned process by which an organisation compares its health and safety processes and performance with others to learn how to: • Reduce accidents and ill-health • Improve compliance with health and safety law • Cut compliance costs.

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Benchmarking is not just about comparing data or copying your competitors. Benchmarking is more about continuously learning from others, learning more about your organisation’s strengths and weaknesses in the process, and then acting on the lessons learned. This is what leads to real improvement. Use and potential benefits of benchmarking • • • • • •

Improve your reputation - this is increasingly important in getting and keeping contracts; Avoiding re-inventing the wheel’ – learn from others’ experience and pick up on others’ good ideas by comparing and contrasting how things are done; Develop relationships with your customers and suppliers, including contractors; Find out where you stand - you may think you’re better than average, or eve n the best, but are you really? Save money and help keep your competitive edge. Savings can come, for instance, from reduced insurance premium, increased productivity and reduced staff turnover; Improve overall management of health and safety and reduce risks to people’s health and safety

Reviewing health and safety performance Each Workplace should examine its own health and safety status periodically and correct deficiencies or make improvements. If left alone, any management activity, rule or procedure will tend to deteriorate over time. It is important, therefore, that risks which have to be closely controlled should be re-examined periodically, and preferably annually. These arrangements have to be recorded. Health and safety performance measurement or review has several aims: • Ensuring that the aims and objectives of the health and safety policy are met • Ensuring that sufficient resources are allocated to the health and safety management programme • Uncovering risks not previously recognized • Gaining a fuller picture of the potential for loss • Improving focus on reducing significant risks • Reducing insurance liabilities for residual risk • Convincing stakeholders of the commitment of senior managers • Supporting management systems • Ensuring that all staff are complying with legislation and policy Need for formal and informal performance reviews Managers can be effective coaches to assist their employees in achieving higher OHS standards and increased performance. They just need to know how. A good avenue to do this is in the informal performance review process. Informal reviews serve several purposes, including the following: • • • • •

Provide feedback for a specific job or how the person responded to a situation Set and reset goals Provide clarity to the employee Help reinforce good habits and point out bad habits Identify special skills and accomplishments

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Provide specific recognition Provide clarity and encouragement to the employee

The three steps of an informal performance review include: 1. Acknowledge the good the person did and thank him or her for it. 2. Address any areas that need to be corrected or improved. 3. Speak specifically about your hope that the employee will be successful in the future because of the specific strengths and abilities you have seen. A formal boardroom review of health and safety performance is essential. It allows the board to establish whether the essential health and safety principles – strong and active leadership, worker involvement, and assessment and review – have been embedded in the organization. It tells you whether your system is effective in managing risk and protecting people. Formal reviews are planned and announced in advance in order to provide groups of employees with information from weekly safety letters, training issues, regulations, procedures, and hazard protections. Informal reviews, often referred to as "Tailgate" meetings, can also be planned. "Tailgate" meetings are often short in duration covering a specific topic. These short safety meetings are very effective at relating safety to a specific job or work task. Review meetings are important to the success of your safety program because they impact all of the following: •

•

Review meetings encourage safety awareness: Other means of getting the safety message across are often too easily ignored. But, when a group of workers get together to discuss the hazards they have encountered and the steps they can take to eliminate them, it increases each worker's safety consciousness. Review meetings get employees actively involved: In a sense, safety meetings put employees "on the spot"; that is, they demand feedback. They get employees thinking about safety and encourage them to come up with ideas and suggestions for preventing accidents and minimizing the hazards with which they are most familiar. Review meetings motivate employees to follow proper safety practices: Small group meetings are the best place to demonstrate the uses of protective equipment, proper lifting techniques and other safety procedures. Safety Review meetings can help to nip safety hazards in the bud: A safety meeting is the time to pinpoint minor hazards before they result in real problems. It also presents a good opportunity to discuss hazards that are inherent in the environment and that experienced employees are likely to take for granted. Safety review meetings introduce workers to new safety rules, equipment and preventive practices: In addition to introducing new things, a safety meeting is a good time to reinforce the importance of long-standing safety procedures and to remind employees of the reasons behind them.

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Safety review meetings provide vital information on accident causes and types: Regular meetings are the best way of keeping employees up-to-date on the hazards in their environment and what can be done about them. They also make it easier for the company to maintain accurate accident statistics, an important tool in tracing the progress of prevention efforts.

The review process The measurement or review process must be designed to support, and indeed be indistinguishable from, the management of other business processes. It should be closely allied to the financial, personnel and, in the broadest sense, quality-based monitoring systems. If the process of measuring health and safety performance is tackled in a logical manner, then it can reveal much of use to managers for planning purposes.

The inputs to a review process The main review that is required of top management in a workplace is for top management to assess any opportunities for improvement and any needed changes in the OH&S Management System, including updates to the OH&S policy and OH&S objectives. There are several standards which also ask the top management to review certain inputs from the OH&S Management System listed below: •

•

• •

•

Results of internal audits: What was found during your internal audits? Along with corrective actions that were identified, were there any opportunities for improvement to investigate or even best practices that should be communicated throughout the company? Evaluations of compliance with legal requirements: In your review of how well you meet legal requirements, did you find anything that could be improved, was a near miss, or was done better in one part of the company that other areas of the company could learn from? Results of participation and consultation: In talking with employees and other interested parties, was there something identified that could improve your OH&S system? Communication from external parties: While this includes complaints, it is not exclusively complaints. If someone outside of the company has taken the time to identify something to you regarding health & safety, such as a potentially hazardous situation that they noticed, take the opportunity to address this before something happens. OH&S performance: How many accidents or near misses happen in your company? Is there something that needs to be done to ensure that accidents don’t happen to your employees or contractors? Extent of meeting objectives: Since you took the time and effort to set objectives for your OH&S Management System, how are you progressing toward meeting those objectives? By tracking your progress, you can tell if you are going to meet the target in time or if you need to change your approach or increase your resources. Status of incident investigations, corrective actions, and preventive actions: If you have implemented your corrective or preventive action process, or are investigating an incident to correct it, what is the status of the investigation and implemented plan? These should be done in a timely fashion in order to gain the most benefit from the improvement.

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Follow-up on previous management review actions: Why take actions if you are not going to make sure they are completed effectively and in a timely fashion? Changing circ*mstances related to the OH&S: This includes knowing any developments in legal requirements for the organization. By keeping up to date with legal and other changes, you can make sure you implement any necessary updates in a time that is most advantageous to you.

Recommendations for improvement: If someone has recommended a way that they think you can improve your OH&S performance; you owe it to yourself to see if it is feasible. It could even save you time and money. The outputs from a review process From the above mentioned inputs, there are a few outputs that may be received, includes decisions and actions from the review that need to be made. These need to be consistent with the commitment to continually improve, and are to be made available for communication and consultation with internal and external parties where applicable. These outputs include possible changes to: • • • •

OH&S performance: Are there things that need to happen to improve your performance to an acceptable level? OH&S policy and objectives: Have changes happened that require you to update your policy or objectives? Resources: In order to meet your targets and legal requirements, do you need to adjust the resources applied? Other elements of the OH&S Management System: What else should be recorded as a record of what was done?

As a result of review of H&S management system, it is important to identify appropriate training objectives and methods by first identifying the training needs. Training needs may be organizational, job-related and individual: 1. Organizational needs: Everyone in the organization should know about the organization’s Safety Statement and the philosophy underlying it and the structure and systems for delivering the policy. Employees should also know which parts of the systems are relevant to them, to understand the major risks in the organization’s activities and how they are controlled. 2. Job-related needs: This fall into two main types - management needs and non-management needs. Management needs include: • • • • •

Leadership skills Communication skills Techniques of safety and health management Training, instruction, coaching and problem - solving skills relevant to safety and health Understanding of the risks in a manager's area of responsibility

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Knowledge of relevant legislation and appropriate methods of control, including risk assessment Knowledge of the organization’s planning, measuring, reviewing and auditing arrangements Awareness of the financial and economic benefits of good safety and health performance.

Non-management needs include: • • •

An overview of safety and health principles Detailed knowledge of the safety and health arrangements relevant to an individual‘s job Communication and problem-solving skills to encourage effective participation in safety and health activities

3. Individual needs: Individual needs are generally identified through performance appraisal. They may also arise because an individual has not absorbed formal job training or information provided as part of their induction. Training needs vary over time, and assessments should cover: • • • • •

Induction of new starters, including part-time and temporary workers Maintaining or updating the performance of established employees, especially if they may be involved in critical emergency procedures Job changes, promotion or when someone has to deputies Introduction of new equipment or technology Follow-up action after an incident investigation.

6.1 Professional skills The role of the health and safety professional The role of a safety professional is no easy feat. The entire well-being of a company and its employees are in your hands. You’re tasked with determining the best way to prevent accidents, create a safe place to work, and get others to care about safety just as much as you do. Not to mention, there are tons of rules and regulations that you’re expected to know and uphold. Take a closer look at a day on the job as a safety professional – you might just find a new appreciation for your safety team. Responsibilities of a Safety Professional The biggest responsibility of a safety professional is simple: keeping employees, the company, and the surrounding community safe from safety and environmental hazards. The way this is accomplished isn’t quite so black and white.

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218 Green World Group Every day holds something different for safety managers and team members. One day might start and end with the same audit, inspection, or training, while other days may be filled with a combination of incident management, reporting, safety planning, and observing. The core responsibilities are many. Since these are the ones who oversee all safety and environmentalrelated activities, their duties affect employees, leadership, government regulatory agencies, and the surrounding community. These may include some or all the following: • • • • • • • •

Creating and reviewing safety plans Providing ongoing training for all employees Documenting work observations Analyzing safety data Managing incidents and associated reporting Maintaining company and government compliance Preventing workplace health and safety hazards Creating sustainable practices for better environmental impact

This list is far from comprehensive. Duties will vary by company and size, especially smaller companies whose safety team may only have one or two people. Daily Challenges One of the biggest challenges of safety professionals, regardless of team size, is time management. Given the above sample list of regular duties, safety is easily a full-time job for multiple employees within a company, regardless of company size or industry. With so much responsibility, getting tasks completed in a timely, impactful way can be difficult. From logging data to reporting hazards to the need to be everywhere at once, safety professionals must rely on the help of others, even if they aren’t officially part of the safety department. Another major challenge many companies are currently experiencing is the transition from traditional paper records to digital platforms. In the past, documents and data were stored in filing cabinets. There was no easy way to compile data, collect insights, or quickly access information. To overcome some of these challenges, many safety teams are using EHS software to streamline their day to day work. A central EHS management platform can log data on the go. It encourages self-learning by allowing employees to access necessary information (e.g. SDS, forms, important documents, checklists, data) on their own. Remote access gives teams the flexibility to use the platform for tasks even when they’re not on-site. And the digitization has made it easier than ever for safety teams to learn more about the information they collect. The role of the health and safety practitioner and the potential conflicts that this role brings ie, who the practitioner is there to protect; employees, employers or third parties

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219 Green World Group A key role of H&S practitioner is to establish a positive safety culture where participation by employees supports risk control by encouraging their ‘ownership’ of health and safety policies. It establishes an understanding that the organisation as a whole, and people working in it, benefit from good health and safety performance. Pooling knowledge and experience through participation, commitment and involvement means that health and safety really becomes ‘everybody’s business’ including employees, employers or third parties. Organisations should recognise that involving employees may initially increase the potential for shortterm conflict and disagreement about what constitutes safe and healthy working. They need to anticipate such conflict by supporting the activities of supervisors and managers with procedures which establish when and how specialist advice can be obtained to resolve problems and disputes. It may also be appropriate to identify when specific investigations are appropriate and any circ*mstances in which work should be suspended. The potential for conflict is likely to reduce in the longer term as participants develop more constructive working relationships and shared objectives. The need for health and safety practitioners to evaluate and develop their own practice so as to maintain competence Training is any activity that leads to skilled behaviour. Training also leads to knowledge and supports competence. The Health and Safety Executive (HSE) defines health and safety training as covering all training and developmental activities that aim to provide workers, safety representatives and managers with: • • •

A greater awareness of health and safety issues - skills in risk assessment and risk management Skills relating to the hazards of particular tasks and occupations A range of other skills, including those relating to job specification and design, contract management, ergonomics and occupational health.

It’s worth bearing in mind that if you have an academic qualification in health and safety – such as one from the higher education sector or nationally accredited awarding bodies such as the National Examination Board in Occupational Safety and Health (NEBOSH) – it doesn’t make you competent to practise health and safety. What it demonstrates is that you’ve carried out a programme of academic work leading to the development of knowledge and some skills, and that they’ve been formally assessed in an examination and/or by some other method. The knowledge you’ve gained can form the basis of competence, as long as you then acquire suitable experience and skills in the workplace. Similarly, if you hold an NVQ/SVQ in occupational health and safety, while this demonstrates competence in the knowledge and skills needed in the workplace setting you took your qualification in, you still have to gain more work experience to become competent. Refresher training can be useful to make sure that people maintain their competence in a specific area. Many occupational safety and health-related courses, such as first aid, passport schemes, gas testing and fire warden training, have a prescribed frequency for retraining. Retraining may not always be needed, and this is where a basic competence assessment can be useful, for example using a computer-based

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220 Green World Group package for the knowledge element, with refresher training for those who haven’t reached the required standard. Competence is about having the right amount of knowledge, skills and experience to carry out a task to a set level. These levels may be prescribed by law, by national standards or by best practice. Regardless of how competence is set or developed, H&S practitioners need to maintain their competence. Competence has several distinct stages: • • • •

Unconscious incompetence – when you’re unaware of what you need to do to act in a competent way Conscious incompetence – when you begin training and become aware of what you don’t know Conscious competence – when you’ve completed enough training to complete a task in a competent way and you’re aware of this Unconscious competence – when you carry out tasks in a fully competent way and you’re unaware of this because your behaviour has become habitual.

With ‘unconscious competence’, you could continue to perform competently. On the other hand, your performance could deteriorate if you: • • •

Unconsciously develop bad habits Don’t keep up to date with best practice Don’t regularly use your skills or knowledge.

There may be occasions when you are asked to carry out a specific task that requires specialist skills or knowledge that are beyond the limits of your competence. In these circ*mstances you should inform the client or employer of the limitations of your competence and consider the following options: (a) Decline the work, indicating where specific competences are required. It is recommended that you identify a suitable person or organisation with such competences to complete the work (b) Agree to carry out the work, provided it is supervised and/or peer-reviewed by another suitably competent person. This may be the best way to extend your current competences if you desire that. (c) Agree to carry out the work, but with your initial advice subject to review in the light of wider experience. This option may be appropriate for novel situations for both you and your client or employer, and where the risks to all involved are assessed and acceptable. You should make efforts to avoid such situations and learn how to minimise them, but they may be the only realistic option in certain circ*mstances. Remember that stopping or delaying work to consult others with appropriate competences is also a safe option in most cases. Working outside your competence area may have legal implications to you and the employer. Continuing Professional Development (CPD) is a part of every professional’s working life. CPD activities can take many forms and vary between individual practitioners, depending on their current level of

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221 Green World Group competence and development needs. It is the reflection of what has been gained from activities that is important. IOSH runs an Initial Professional Development (IPD) scheme for all members in the Graduate category. Under IPD, members have to demonstrate that they have enough knowledge, skills and experience before they can progress to Chartered membership. For more information, visit www.iosh.co.uk/ipd. The role of the health and safety practitioner in mentoring and supporting the development of health and safety competency in other relevant employees need depends on their role and responsibilities. The Health and Safety at Work Act and Management of Health and Safety at Work Regulations set out a framework for training and competence. There are also other specific laws that cite competence requirements, for example the Control of Asbestos at Work Regulations and the Provision and Use of Work Equipment Regulations It’s important to understand what specific competences are needed over and above those that may be provided by basic awareness training. A ‘training needs analysis’ will help identify any competency gaps, so that training can be tailored to fill them. This is a more professional approach than providing ‘blanket’ training on a topic, which can be unnecessary in some cases. Remember that, on its own, attending training isn’t enough. Delegates are often set learning objectives by course providers, and usually have to pass end-of-course assessments to successfully complete a course. More importantly, learning needs to be transferred and applied to the workplace. To assess how successful training has been, managers can agree objectives with staff before they begin a course, for example a reduction in poor safety behaviours. At a suitable point after the course, staff and managers can then evaluate how far the training has helped to meet the objectives •

•

Employees: Every employee should have a basic understanding of health and safety so that they aren’t injured, killed or made ill by work, and so that they can comply with their organisation’s health and safety policy. Supervisors and line managers: Supervisors and line managers need to have a much deeper understanding of their health and safety duties than non-supervisory staff. They need to know how health and safety law applies to them and what their organisation’s health and safety policy expects of them. They should be able to apply their management skills in a health and safety context, know about the risks associated with the work they oversee, and be able to manage them on a day-to-day basis. There are a number of courses that can help managers and supervisors handle health and safety in their teams. Senior managers: Senior managers need to know their responsibilities and accountability within the law, especially their duties under the Health and Safety at Work Act and any specific regulations that apply to their sector. They should be able to recognise key health and safety risks related to the work their organisation carries out, understand how these impact on the business, be able to provide leadership, and plan strategically to minimise those risks. Employees’ representatives: Although employees’ representatives hold voluntary positions, they need to be competent to fulfil their roles. In recognition of this, they’re allowed by law to take

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222 Green World Group time off for training. This includes training in health and safety, as well as personal communication and negotiation. Effective health and safety management can only be achieved when employers, employees, employees’ representatives and health and safety professionals work together in partnership. Each of these groups needs a different level of competence so that they can take an active part in managing health and safety and comply with their duties under the law. Competence for specific duties As well as the general levels of competence that employees and managers need to have, there are also specific requirements for particular tasks, and work involving specific hazards. These include: • • • • • •

Using certain types of work equipment Driving forklift trucks Handling and disposing of asbestos Working with radiation Advising on the transport of dangerous goods Working with chemicals and other dangerous substances.

Employers need to check both their own competence and that of their employees regularly, to make sure that their organisation’s health and safety performance is at the level they believe it to be. To make sure staff keep their competences up to date, employers need to: • • •

Assess their level of competence Produce a development plan that sets out the current position and the desired level List the development activities that will help staff achieve the desired level.

Employers should encourage all employees to take responsibility for their own competence. And if employees have any concerns about their competence, or suggestions for more development, employers should encourage them to raise them with their manager. Employers must make sure that development plans evolve so that they remain relevant to the work that an employee does. In sectors that have a transitory workforce, some schemes capture information about competence so that it can easily be transferred from one employer to another. These are often known as ‘passport’ schemes. You can get more information on these schemes from industry associations and trade unions. The following organisations provide advice, guidance, training and/or qualifications to industry in the field of health and safety. • • • • •

The Health and Safety Laboratory (HSL) offers a range of training courses on health and safetyrelated topics: www.hsl.gov.uk/hsl-shop/health-and-safety-training-courses.aspx Chartered Institute of Environmental Health: www.cieh.org European Agency for Safety and Health at Work: https://osha.europa.eu/en Access Industry Forum: www.accessindustryforum.org.uk EEF – The Manufacturers’ Organisation: www.eef.org.uk

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223 Green World Group • • • • • • • •

LANTRA: www.lantra.co.uk National Examination Board for Occupational Safety and Health (NEBOSH): www.nebosh.org.uk Institution of Occupational Safety and Health (IOSH): www.iosh.co.uk International Institute of Risk and Safety Management: www.iirsm.org Royal Society for the Prevention of Accidents (RoSPA): www.rospa.com British Safety Council: www.britsafe.org British Safety Industry Federation: www.bsif.co.uk Olympic Development Authority: http://learninglegacy.independent.gov.uk

The distinction between leadership and management and how this can apply to a health and safety practitioner The way you lead your team on health and safety can determine how safe your site is to work on (and the number of accidents, incidents and ill-health cases that happen) because: • • •

Your attitudes and beliefs about health and safety drive your behaviour Your behaviour on site sends a powerful message to your workers about how seriously they should take health and safety The real causes of accidents on site can often be traced back to managers’ decisions.

A leader influences others to reach a goal. A transformational leader makes a positive impact on attitudes, behaviours and organisational performance. They transform, energise and motivate their workers to: • • • •

View their work from different perspectives Be aware of their organisation’s vision Reach their full potential by challenging themselves Work to benefit the team rather than just themselves.

The 5-STARS model (OSHA) of safety leadership entails: • • • • •

Supervision: overseeing work activities to make sure employees are safe Training: conducting safety education and training Accountability: insisting that everyone complies with company safety policies and rules Resources: providing physical resources – tools, equipment, materials – so employees can work safely Support: creating a supportive psychosocial work environment – schedules, workloads, recognition – so employees do not work under undue stress

The 4 key behaviors that make up the L.E.A.D. Model of safety leadership: •

Lay Out a Vision

When was the last time you sat in on a safety briefing or toolbox talk that was exciting and actually moved you? It’s a rare thing. But successful safety leaders give their people a compelling and motivating vision for safety, and why they care about it. This recipe has 2 key ingredients:

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o Be crystal clear – it is very clear to everyone what the leader is asking for o Make it personal – the leader shares a reason for why safety is really personal to them Embrace Change

As we all know, change is constant these days. When there are changes that impact safety policies or procedures, strong safety leaders can convince their people of the benefits and roll them out successfully even when there is initial push back. How do they do this? Here's a couple of tips: Involve others – leaders can get buy-in from their people by involving them in the process, getting input from them, and being open to new ideas on how to implement changes o Drive the change – Get on top of the change! Why wait for questions and confusion to start when you can proactively communicate things the right way from the start? Act as a Coach o

•

What do teams with a great safety culture often have in common? Their leader is more of a coach than a sergeant or a buddy. So how do you act like a coach when it comes to safety? You: Actively listen – by listening to employees and asking questions before you correct an unsafe behavior, you completely change the paradigm and you show them that you value and respect them as a person. o Give timely and constructive feedback – knowing how to give effective feedback is absolutely essential for a great safety leader. It should be balanced (start with the positive, then discuss where they can improve; constructive rather than negative; and should be given as soon after the behavior as possible). o Keep it positive – People respond best to positive interactions and positive reinforcement. Always try to keep your interaction positive, professional, and respectful. Demonstrate Credibility o

•

Good luck leading a team successfully if you have no credibility in their eyes! At the end of the day, people have to respect their leaders, and know that they have integrity. When it comes to safety, this is even more critical. Safety leaders must: o o

Walk the talk – if you want people to wear their PPE on the shop floor – guess what? You’d better be wearing it too! Good safety leaders must always role model safe behavior. Everyone’s accountable, starting with the leader – supervisors must feel a personal sense of accountability for the safety of their people. So while everyone is accountable for safety, it has to start with the leader. Be organized – In order to lead safety initiatives with credibility, leaders must be organized and planful. When people see you know what’s going on, it builds trust and credibility.

There are some specific differences between a leader and a manager. This is not to belittle management or even to suggest we need less management. However, we need more leadership in safety and this is not the same as management. But managers can be leaders too!

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225 Green World Group Leader Manager Creates and communicates a vision for the Develops a plan and allocates resources future. Encourages others to commit to the vision Sets objectives and organises a schedule Motivates and inspires workers to overcome Monitors situations barriers. Encourages innovation Helps the organisation to develop by adapting to Focuses on order and efficiency. Ensures changing circ*mstances standards are met A healthy and safe organisation requires both managers and leaders.

In order to become an effective health and safety leader (HSE) Challenge the status quo • • •

How could current health and safety practices be improved? Are there new ways to improve health and safety – e.g. by learning from accidents, incidents and ill-health? Challenge your workers, by asking them ‘What can we do to solve the problem?’

Create a vision • • • •

Consult your workforce to identify and set clear health and safety goals Motivate them to create a ‘shared vision’ through those goals Involve them in planning and decision making Make sure everyone knows what they need to do.

Inspire workers to be healthy and safe • • • • •

Make sure everyone has the skills, abilities and resources they need to do their jobs safely Plan enough time for work to be done in a healthy and safe way Share your expertise to help workers overcome barriers Develop mutual trust Reward workers who successfully work safely.

Be a good role model • • • •

Be honest with yourself. Do you set a good example to your workers? Put health and safety first and behave in a healthy and safe way on site Promote safe work behaviour and practices – encourage the attitude: ‘I do it because I want to, not because I have to’ Be fair – trust and respect workers when making health and safety decisions.

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226 Green World Group Show consideration • • • • • • • • •

Get to know workers and respect their opinions Treat each worker as an individual Show personal concern for their safety and well-being Treat others as you would expect to be treated yourself Develop a team spirit where health and safety comes first and everyone looks out for one another. Communicate regularly Update workers on developments and performance in health and safety and encourage feedback Be approachable and receptive to your workers’ ideas Respond to concerns immediately and discuss the actions you will take.

The need to adopt to different management styles dependent on any given situation Every leader has a unique style of handling the employees (Juniors/Team). The various ways of dealing with the subordinates at the workplace is called as management style. The superiors must decide on the future course of action as per the existing culture and conditions at the workplace. The nature of employees and their mindsets also affect the management style of working. Not all managers are the same. Some are good, some are found to be lacking. Some are well-liked, while others have a hard time getting the favor of the people above them, and the members of their team. There are six management styles: 1. 2. 3. 4. 5. 6.

Directive Authoritative Affiliative Participative Pacesetting Coaching

Directive Management Style

The Directive Manager

Other terms for this management style are • Coercive and Autocratic. This is characterized by a top-down decision-making process, where the decision is made from the top, and all the others below are expected to fall in line and follow. Often, this management style is not recommended, although there are times when • using this style may be needed. Thus, this style should be used with extreme caution, and only when absolutely necessary, or as a last resort. Objective

The manager takes on the “do as I say” approach. It’s “my way or the highway” for this type of manager. He directs, or even dictates, what is to be done, and the employees are expected to follow along, with no questions. The manager keeps a close eye on the employees and their every move.Control is very important for this type of manager, which is why she has to know what each employee is doing at all times. This is where the definition of micromanagement applies.

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227 Green World Group The primary objective of this management style, which is no different to the concept of micromanagement, is to obtain immediate compliance of employees or subordinates. •

•

In essence, micromanagement is a style where the manager closely observes and controls every little detail in the work and actions of subordinates. The manager motivates by delivering threats. He gives ultimatums to employees. “Do it this way, or else…” Basically, the manager will tend to order the members of the team around. The manager places a high value on discipline, giving punishments to those who are not able to meet the standards that she has set previously. Often, the manager demands immediate compliance from the employees without asking questions.

Advantages:

Disadvantages:

•

This management style promotes very little learning, and even none at all. Remember that the employees are merely told what to do, and how to do it. This means that they are not given any room to exercise their judgment and, in the process, learn. It also gives very little room for mistakes, since all actions are dictated by the manager, and as a result employees are also deprived of the benefit of learning from mistakes. The possibility of employee morale being high is very low. Employees will easily feel stifled by the amount of control they are subjected to, and frustrations are bound to boil to the surface. As a result, employee dissatisfaction is likely to be very high. • Employee enthusiasm has a tendency to sink very low and they will lose initiative to perform their assigned tasks. This will ultimately result to low productivity and poor performance. • Managers may find this to be exhausting, since they have to be everywhere at all times, keeping an eye on everyone. When not to use?

• •

The manager is in full control of the • direction that the work is taking. As such, conflicts and differences in opinion are avoided, since it is the manager that solely decides what to do, and how to go about performing the tasks. There is more focus and order in how things are done The manager is always kept in the loop, fully aware of the progress of the project and fully apprised of the status of the work • of employees.

When to use? •

The directive style becomes an effective • management style when the business or

If the employees are still new or underdeveloped. As mentioned earlier, this

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company is suddenly faced with a crisis. For example, if a company is suddenly faced with the threat of a hostile takeover, managers will simply come up with splitsecond decisions and tell the employees what to do in order to deal with the threat. Use the coercive style in cases of emergencies. Say there is a plan, and unforeseen circ*mstances demand that they deviate from what was laid out on the plan. Further risk assessment shows that these deviations could have negative consequences if things go wrong. This is a time when a manager can take on a directive style of leadership. •

Authoritative Management Style

style does not allow employees to learn, which means their professional and personal growth may be hindered. The automatic conclusion that most people would arrive at would be underdeveloped employees are the best fit for the directive style. After all, they are new, they do not know much, so they should be able to follow orders well, right? From the point of view of the manager, that may be an advantage, but in the greater scheme of things, when we are talking about the growth of the employees, and consequently of the company, it would actually be counterproductive. If the employees are already highly skilled and qualified. These are the types of employees who become easily resentful when they are being micromanaged. They tend to feel easily suffocated by too much control, and the idea that their actions are dictated by someone else goes against their concept of self-worth and self-belief.

The Authoritative Manager

This style, also known as the Visionary style of • management, is often touted as the most effective out of all the six management styles, although it is not without its disadvantages. Objective The authoritative style has one goal: providing a long-term vision and direction for employees and subordinates. • • •

The manager sets the vision of the company, makes it clear to the employees, and provides clear direction towards achieving that vision. The leader sets the vision, and takes a step back, allowing the employees to get to work. From time to time, she steps in to share some input and reiterate the vision, if and when necessary. She does not tell them how to do things. The manager takes on a firm but fair stance when dealing with employees and subordinates. The manager motivates subordinates by using persuasion and providing feedback on their performance on the job. The manager should have a high level of credibility in order to command the respect and cooperation of employees in following him and his vision.

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229 Green World Group Advantages: •

•

This leadership style gives employees a • sense of freedom. They are free to perform in a way that is most comfortable to them, as long as they make sure that the vision is achieved. This allows them to strategize and • even innovate. Since feedback is provided, the employees are aware at all times of their performance and the progress of work, hence the manager does not have to be with the employees every step of the way. Ensures focus and a clear direction, since standards must be adhered to, and the vision is there as a constant reminder of what they are working towards. Lifts employees’ pride and self-esteem, especially when they turn in good performance and get praises or recognitions for it.

When to use? •

•

Disadvantages:

When not to use?

A business or company that does not have • a clear direction has a need for a manager with an authoritative style, since he will be the one to set that vision and steer the business towards it. Authoritative management style works best in cases where we have a manager who has a lot of credibility and commands great respect from employees. After all, employees will only agree to the direction • given by a manager who is credible and trustworthy.

Affiliative Management Style

Some employees may become complacent, going about their own way, even outside the bounds of what is legal and proper, as long as they arrive at the same result. This may give the impression of a manager that does not care about how the employees are working, since it is far from being hands on.

This style will not be effective when the employees are undertrained or underdeveloped. This means that they will need more guidance than usual. This will be a problem when they are dealing with timebound undertakings, because the manager cannot waste time assisting and guiding the underdeveloped employees every step of the way. Do not use this style when the manager does not have enough credibility. A leader that lacks credibility will not be able to convince subordinates and employees to follow the organization’s vision, which means that it will be difficult to attain the set goals and objectives.

The Affiliative Manager

This is the “people-come-first” style, meaning • that people are seen as more important than their functions.

This type of manager puts the people first, and the task that needs to be accomplished second.

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230 Green World Group • Objective This management style is aimed at creating a harmonious relationship in the workplace, • particularly between the manager and the employees, and also among the employees.

The manager focuses on avoiding conflicts and works at encouraging a good personal and professional relationship among employees. The manager motivates by seeing to it that everyone is happy and satisfied.

Advantages:

Disadvantages:

•

• •

•

Employees will be happy, and their relationships strong, since that is the focus of the manager. This management style shows enough flexibility, allowing it to be used alongside other management styles. Since the emphasis of this management style is not on performance, the employees and the manager are not subjected to a lot of pressure. This style emphasizes conflict management, which ensures that conflicts are kept at a minimum, promoting harmony in the workplace. Employees’ self-worth and self-esteem will be high, with the knowledge that their manager values them personally and professionally.

•

When to use? •

•

There is a great likelihood that performance of employees would be mediocre, at best. This is due to the fact that performance is not the primary focus. There is a risk that, as employees work on getting to know each other and growing closer, they may end up not accomplishing anything. Employees may have the tendency to be complacent about their performance and output, since these are not top in the management’s list of priorities. This management style requires more time, since the manager may have to spend some time with the employees in order to bond with them, and to create a bond among them. Employees who are performance-focused and task-oriented may feel dispirited, thinking they are wasting time focusing on things other than the job at hand. This also puts the manager at risk, when top management puts performance and results as priority in evaluating them.

When not to use?

A company that does not have the spirit of • teamwork in place will definitely get a boost from an affiliative management style. In the same vein, a company that suffers from divisions and dissensions may have its problems fixed by a manager that exercises an affiliative management style. The affiliative style works best when used • with other management styles, since it may be used as a balance against the coercive style or the authoritative style.

Avoid using this management style in organizations or businesses that are output-driven, where the future of the company solely depends on the performance of the employees. Otherwise, the business cannot grow as expected or hoped for. This management style will not work during times of crisis, where quick decisions must be made and immediate directions given to subordinates

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If the tasks performed by employees are routine and do not require top-notch performance, an affiliative approach is preferable.

Participative Management Style

The Participative Manager

This is also known as the Democratic style of • management.

The participative manager is inclined to have a willingness to listen to everyone, recognizing that everyone has ideas that Objective should be considered in the company’s decisions. They ask the employees what More than just promoting harmony among they would like to do, and opens the floor employees, the participative management style for voting. aims at establishing consensus and building • The manager encourages employee commitment among employees. participation in decision-making and other important aspects of management. • This manager motivates by recognizing team effort and rewarding the employees– and the team – for it Advantages: Disadvantages: •

Generally, it is difficult to build and maintain • Progress is often slow, since the opinion or trust in relationships but, thanks to input of the employees is going to be asked democratic style of management, this is at every turn. possible. • This will demand a lot from the manager, • This style encourages cooperation among since close supervision will be required. The employees, so they are willing to work manager has to keep his pulse on everything together. They will be better coordinated – the employees, the tasks at hand, the when it comes to their tasks. vision of the organization, and its goals and objectives. • Employees will feel more important and morale will be high, especially when they are consulted or asked for their opinions, and made to take part in the decisionmaking processes. • On the part of the manager, this takes a big burden from her shoulders, since she does not have to make the tough decisions by herself. When to use? When not to use? •

Use the participative management style in • an environment that requires brainstorming or input of ideas to arrive at solutions to problems. This definitely comes in handy when managers are at a loss on

This management style will not work if the employees do not have enough training and experience, or if they are not competent enough in doing their jobs. These employees are likely to require a lot of close

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•

how to go about a project, or how to solve a problem, since they can seek employee input. • If the working environment is steady and not subject to upheavals or uncertainties, participative management will be appropriate. This management style applies best if the employees or subordinates are experienced, qualified, and have credibility to carry out their tasks.

Pacesetting Management Style Another management style that can also be applied in different working environments is the Pacesetting style. Objective Organizations have goals and objectives that they are working to achieve. With the pacesetting management style, the manager aims to accomplish these tasks to a high standard of excellence.

Advantages: •

•

supervision, which will take a lot of time from the manager’s schedule. During times of business crisis, this style will not be applicable. Participative management style often entails conducting a lot of meetings among the managers and the employees to obtain their input, and these meetings will take time. Situations where decisions must be made quickly are not open for the participative style.

The Pacesetting Manager • As the term implies, the manager sets the pace in this management style. Often, it is at a fast and cracking pace. • The manager often prefers to personally do many things himself, as a way to set an example for subordinates and employees to follow. • The manager expects the employees to be able to pick up where they left off. He believes that, by showing how it’s done, selfdirection will be possible. • The manager motivates by setting high standards of excellence. If employees are not able to meet these standards, they assign the task to someone else. Disadvantages:

This style gives employees more freedom to • put their skills and competence to good use. It is also a good way for employees to hone their skills. • Employees perform their tasks with high energy and engagement. They tend to be highly motivated in performing their assigned tasks because there is a target to beat. • Employees will feel more inclined to face up to the challenge, for fear that their task may be transferred to others if they are unable to perform as expected.

Often, the managers set impossibly high standards that some employees may give up before they have even started. If the employees do not possess the skills, competence and expertise required, they may be put under too much pressure to meet the high standards of excellence in the organization. This can be exhausting for some employees, especially if the pace is so fast and high-speed, they have trouble keeping up. The manager basically expects employees to be on the same wavelength,

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When to use? •

•

and operate with the same level of energy, which can put a lot of strain on the employees. The manager, too, may feel exhausted, having to set the pace and make sure that employees maintain it. • Employees may feel like they are working for slavedrivers which, in a sense, the pacesetting manager is. The manager may even reach a point where she will obsess over the smallest of details and be too focused on the work, without caring for the personal welfare and well-being of the employees. When not to use?

Use the pacesetting style when the • employees are experts who can easily follow the lead and keep up with the pace (and expectations) of the manager. • The pacesetting style is most effective when the employees are highly motivated and have the competence to accomplish tasks according to the high standards of excellence set by management. If the manager is an expert in the specific area or field, she will have a lot of credibility, and the pacesetting style will definitely apply in this case because employees will generally want to become like her. This will work in organizations where the work force needs very little direction and coordination. The manager need only show the ropes, and the employees will do the rest.

Coaching Management Style

Pacesetting style is not going to work if the nature of the work requires development and coaching. If the workload is too heavy as to require assistance from others, pacesetting might not work well, since it will call for a lot of coordination between managers and employees, and among employees.

The Coaching Manager

As the term implies, this style involves a lot of • coaching and mentoring. Objective •

This type of manager is often known as the “developmental” manager, since her focus is on the professional development of the subordinates. The manager has great willingness to help employees and encourage them to further develop their strengths and improve on

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234 Green World Group The coaching style aims to contribute to the long-term professional development of employees •

•

Advantages: •

•

Disadvantages:

This is a great way to develop a strong • bond, or a relationship of respect and cooperation between the manager and the subordinates. Subordinates will tend to look at managers as coaches or teachers, and • respect them as such. The learning experience that comes with this management style further encourages a thirst for learning and development among employees. They will then actively seek personal and professional development while improving on their performance to the benefit of the company. Employees have a greater tendency to feel proud of their achievements, knowing that they learned it and will grow from it.

When to use?

their weaknesses, and increase their performance levels. The manager motivates by providing employees and subordinates with opportunities for professional growth and development. For example, when an employee demonstrates great aptitude or ability for the task, he will encourage that employee to demonstrate to the others and teach them. The manager is expected to be an expert and highly experienced, in order to be credible in performing coaching. She should also have good interpersonal skills to be able to relate well with subordinates and encourage them to improve.

This creates a high demand for highly skilled and expert managers. Only a manager with a high level of expertise will have enough credibility to perform coaching. This may promote unhealthy competition among the employees, given that they are presented with opportunities for professional development.

When not to use?

This management style is ideal in settings • where the employees are in need of instruction and training. Apply this management style when the employees are motivated and are keen on • developing and improving their skills and competence levels.

Do not apply this management style if the manager himself lacks experience and expertise, specifically in the tasks to be performed. Avoid the coaching management style when the business is facing a crisis. There is no time to coach and train subordinates and employees when there is a problem that needs a quick resolution.

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235 Green World Group The Best Management Style There is no right or wrong management style. The best management style will depend on several factors, such as the nature of the business, the work involved, the personalities and capabilities of the persons involved, their levels of experience and values, and even various circ*mstances prevailing at that certain period of time. The best leaders and managers often use more than two or three of these management styles at any one time. There is no limit to how many styles can be employed by one manager, as long as they do it right. Safety – Problem solving Organizations constantly ask if I can help them solve their safety problems. Think about this: Problems are things that already have happened. They cannot be changed or improved. Yes, past problems, if not addressed, potentially can repeat, so preventing their repetition certainly is a worthwhile pursuit. But trying to solve problems is like trying to prevent accidents that already have occurred. Herein lies the problem: Safety has a history of investigating accidents and "solving problems." We often call these solutions "corrective actions" and assume that they will prevent future events. In truth, these actions are designed to affect further performance, or in other words, they are "interventions." Problems are what happened in the past. Interventions are what we do in the here and now. Planning is what we do for the future. Mistaking one for another sub-optimizes safety improvement efforts. All these activities work best when they are guided by an overarching strategy for safety. Goals vs. Safety Strategy In reality, most organizations have no such safety strategy. They have safety goals and programs they believe will help them meet their goals, but this is a programmatic – rather than a strategic – approach to safety. A true safety strategy begins with a vision of what the desired safety processes, culture and performance look like. This vision becomes the standard by which every safety program is measured: Will it help to accomplish the vision? Programs should affect perceptions and capabilities. Perceptions and capabilities should affect performance. Performance should affect the lagging indicators of safety ( i.e. recordable rates, severity rates, workers' compensation offsets, direct and indirect costs of accidents, etc.). Measuring each of these phases of safety efforts creates the balanced scorecard for safety I have described in earlier articles. Such multiple metrics can generate what Deming called "profound knowledge" of the processes that can produce accidents. The idea that workplace accidents are problems that can be solved is very limited thinking. Accidents come from workplace risks that are conditional or behavioral, or a combination of the two. Workers who are injured either are unaware of the risks, unaware of how to deal with the risks or simply didn't do what

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236 Green World Group they knew they should do on this occasion or on a consistent basis. The latter can be due to a number of factors including, but not limited to: inattention, production pressure, disregard for safety rules and procedures, lack of skills or training or simple lapses in performance. Once an accidental injury has occurred, determining the exact cause and preventing future occurrences is an inexact science, at best. Yet, this is what we tend to call "safety problem-solving." So, what is wrong with this process (other than the obvious)? It is based wholly on lagging indicators and human supposition. The accident already has happened and no longer is preventable. How it could have been prevented almost entirely is a matter of supposition. The supposition largely is based on eyewitness accounts and/or the memory of the accident victim, both of which are proven to be unreliable. Organizations with camera surveillance of work areas regularly find that eyewitness accounts often disagree with camera footage. Another problematic issue is how accident investigations are conducted. Many of them involve rank amateurs with little or no training, supervisors who often are fearful of personal blame, nearby co-workers who might have seen or heard something related to the accident, workers who are fearful that the organization will add insult to their injury through blame and/or punishment and middle managers or safety professionals whose training varies greatly. This individual or team gathers information and writes a report, which largely is a fill-in-the-blank form designed by others with little or no training, or copied off the Internet. The "corrective actions" from such investigations have an alarming similarity to each other: Send worker to re-training, remind worker of danger, put worker on probation, direct supervisor to observe worker while performing this certain task, etc. The whole process is suspect, and using training for punishment is just short of criminal. Solutions So, what is the solution? Many organizations have trained senior managers about the differences between the past, present and future of safety. They have developed overarching strategies for safety excellence. They have utilized greater expertise and advanced technology to investigate accidents and determine appropriate countermeasures. They have adopted balanced scorecards for safety to gain insight into the effectiveness of processes on culture and capabilities; culture on performance; and performance on lagging indicators. As a result, they begin to understand what really prevents accidents and what does not. They continually adjust their strategy toward what is effective, and eliminate programs and processes that no longer add value. They divorce themselves from the pursuit of preventing accidents and strive to add measurable value to the programs that truly contribute to safety efforts. They know and understand that zero accidents is a by-product of their efforts and can't be controlled directly.

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237 Green World Group Quote books are full of references to "giving up all hope of improving the past" as the definition of forgiveness, the beginning of progress and the ultimate wisdom of effectiveness. The overutilization of accident data to drive safety efforts has clouded that effort. We use accident data because it is a more discrete metric than our leading indicators. But often, an indiscrete metric of the right thing is more useful than a highly discrete metric of the wrong thing. Measuring accident frequency and severity is necessary, but it is not prescriptive. It prompts us to try to improve the past rather than try to shape the future. It puts us in hopelessly reactive modes of management in which we try desperately to avoid failure while neglecting the efforts to achieve success. We learn the hard way that the only way to improve the past is to improve the present long enough for it to become the past. The role of health and safety practitioners in the development, implementation, maintenance and evaluation of health and safety management systems Health and safety practitioners need to have the status and competence to advise management and employees or their representatives with authority and independence. They are well placed to advise on: • • • • •

Formulating and developing health and safety policies, not just for existing activities but also with respect to new acquisitions or processes How organisations can promote a positive health and safety culture and secure the effective implementation of health and safety policy Planning for health and safety including the setting of realistic short- and long-term objectives, deciding priorities and establishing adequate systems and performance standards Day-to-day implementation and monitoring of policy and plans including accident and incident investigation, reporting and analysis Review of performance and audit of the whole health and safety management system.

To do this properly, health and safety advisers need to: • • • • • • •

Be properly trained and suitably qualified Maintain adequate information systems on topics including civil and criminal law, health and safety management and technical advances Interpret the law in the context of their own organisation Be involved in establishing organisational arrangements, systems and risk control standards relating to hardware and human performance, by advising line management on matters such as legal and technical standards Establish and maintain procedures for reporting, investigating, recording and analysing accidents and incidents Establish and maintain procedures, including monitoring and other means such as review and auditing, to ensure senior managers get a true picture of how well health and safety is being managed (where a benchmarking role may be especially valuable) Present their advice independently and effectively.

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238 Green World Group Relationships within the organisation: Health and safety practitioners: • • •

Support the provision of authoritative and independent advice Have a direct reporting line to directors on matters of policy and the authority to stop work if it contravenes agreed standards and puts people at risk of injury Have responsibility for professional standards and systems. On large sites or in a group of companies, they may also have line management responsibility for other health and safety professionals.

Relationships outside the organisation: Health and safety advisers liaise with a wide range of bodies and individuals including Local authority environmental health officers and licensing officials, architects and consultants, the Fire Service, contractors, insurance companies, clients and customers, HSE, the public, equipment suppliers, the media, the police, general practitioners, and occupational health specialists and services. Why workers’ information needs to be handled confidentially? The Health and Safety system holds a range of personal and highly sensitive data. Employee or nonemployee data such as names, job titles, home address, and phone numbers must all be securely stored. Highly sensitive data like health records and witness statements must be stringently guarded. Steps to take in advance Right now, along with understanding the new regulation, it is recommended that HSE leaders should: • • • • • • •

Understand and document the current data processes and demonstrate they meet compliance requirements. Document what personal data you hold. Assess the security of data stored, personal data in particular. Document where data is shared with 3rd party organisations. Review and define justifications for holding personal data. Categorize the risk level associated with personal data held. Commit to data retention policies.

Unit ID1: Know – Workplace Health and Safety Principles (International)

239 Green World Group The Health and Safety system holds a range of personal and highly sensitive data. Employee or nonemployee data such as names, job titles, home address, and phone numbers must all be securely stored. Highly sensitive data like health records and witness statements are must be stringently guarded. Steps to take in advance Right now, along with understanding the new regulation, it is recommended that HSE leaders should: • • • • • • •

However, achieving these steps may be a challenge. As EHS professional, you may be seen as a Data Controller or Data Processor by proxy, so you should be aware of the legal responsibilities. Like health and safety, data and cyber security are now priority boardroom issues for business. It’s intimidating, but taking small steps and asking the right questions will keep you compliant, achieve best practice and lead the way. Sensible risk management and importance of proportionality when assessing & controlling risk Risk management is about taking practical steps to protect people from real harm and suffering – not bureaucratic back covering. According to HSE, Taking a sensible approach to risk management is about: • • • • •

It is not about: • •

Reducing protection of people from risks that cause real harm Scaring people by exaggerating or publicising trivial risks

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Stopping important recreational and learning activities for individuals where the risks are managed Creating a totally risk-free society Generating useless paperwork mountains

Adopting a risk-based approach means targeting resources commensurate with the level of risk of a specific activity. For a regulator, this involves identifying, measuring, and evaluating different risk factors; developing risk mitigation requirements proportionate to the risks of that specific activity; imposing enhanced mitigation measures for higher-risk activity; and allowing simplified measures for lower-risk activities. For employers committed to promoting positive safety culture, a robust consultation process is essential. The health and safety practitioner’s role in enabling work activities as part of proportionate and sensible risk management Health and safety at work law is about reducing death, serious injury and ill health in workplaces. It is about taking the necessary action to reduce significant risks arising from work - it is not about banning activities. It is important to be clear about what is a legal requirement. If you are concerned about actions that appear disproportionate or a decision that does not make sense then H&S practitioners may challenge that decision directly.

Understanding the basis for a decision will help you decide whether a challenge is justified. •

•

Legal requirement - it’s specifically detailed in health and safety at work legislation: Health and safety law deals with risks created by a work activity or undertaking - whether a business activity, or the activities managed or delivered by organisations like local Councils. Sensible precautions are explained in HSE guidance, including for voluntary activities. Other legislation designed to protect the public/consumers may require more specific precautions. If there is no work undertaking involved, health and safety at work law does not apply. Internal policies or procedures: Health and safety at work legislation requires employers to do what is reasonably practicable to manage risks, and so employers need to decide what steps to take. Some organisations may put in place detailed rules and procedures that go beyond the requirements of the legislation. This may be for ease of implementation, or might possibly be due to over-zealous interpretation or being risk-averse. External advice – instructions or advice have been given from another organisation: Risk management decisions are sometimes complex – and can involve balancing issues such as civil liabilities, human rights and costs of insuring activities. Understanding this helps put decisions in their wider risk management context. It’s also important to identify whether the advice given is specific and relevant, or general advice that’s simply not relevant to the actual activity.

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A local manager - introduces a new instruction or decision: Sometimes managers need to make decisions on limited information, or following an incident. Separating proportionate decisions from knee-jerk or ‘jobsworth’ decisions is not always easy – when local decisions are made expect to see clear explanations about why the precautions are considered necessary and are sensible

Organisational risk profiling; its purpose, practicality and organisational context The risk profile of an organisation informs all aspects of the approach to leading and managing its health and safety risks. Every organisation will have its own risk profile. This is the starting point for determining the greatest health and safety issues for the organisation. In some businesses the risks will be tangible and immediate safety hazards, whereas in other organisations the risks may be health-related and it may be a long time before the illness becomes apparent. A risk profile examines: • • • •

Key actions in effective risk profiling include: •

• •

•

• •

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242 Green World Group The contribution of the health and safety practitioner in achieving the objectives of an organisation A number of concrete activities through which OHS objectives can be realised are given below. In preparing these activities, attention should be paid to the needs of particular groups of employees such as those from other cultural backgrounds or those with disabilities. H&S practitioner will be involved as an advisory role in each activity. • • • • • • • • • •

• • • • • •

A strong and written commitment from the management in supporting the planning, implementation and maintenance of an OHS Plan and to ensuring safety and health in the workplace The OHS Plan should have the same importance as all other policies of the organization and all policy changes should be considered in terms of their impact on workplace health and safety Try to ensure the active participation of all staff in OHS activities Communication to all staff of all information concerning health and safety in general and in relation to the activities of the OHS Plan, including ongoing updates and reporting Organisational clarity and transparency in general adds to workplace health and safety not only by reducing stress amongst staff but also assists both transfer of and the uptake of information by employees A collaborative Organisational Safety Committee including representatives from management and employees is valuable in ensuring involvement of all employees and in identifying risks and finding practical and effective preventive strategies Responsibilities and accountability: the Plan should clearly define responsibilities and accountability for management, for supervisors and employees as well as the OHS Safety Committee if this is planned The OHS Plan should include as a minimum standard, those national health and safety regulations that are applicable to a particular workplace Ensuring all workers are appropriately registered with the appropriate national authority responsible for workplace accident insurance. Risks and Hazards assessment: identification of all hazards and risks in the workplace, some of which may be common to many workplaces and others which will be specific for each individual workplace and for specific tasks within the workplace. Risk assessments should be regularly updated as work practices, equipment, staff change. As well as a detailed assessment of the workplace, employee surveys of workplace health and safety are also valuable Putting prevention into practice: develop strategies, within the available resources of the Organisation, to control, respond rapidly to and prevent accidents, illness and injury resulting from each of these identified hazards and risks On the basis of the assessment and the prevention and response strategies clear and documented rules for health and safety in the workplace help to define each employees responsibility As well as general workplace rules for health and safety, clear and documented safe work procedures for each of the tasks within the Organization Regular inspections of the workplace using checklists based on the risks and hazards analysis and on the identified control and preventive strategies Staff orientation (organisational orientation, clear introduction to the tasks required and appropriate work practices, including written job description, awareness of the OHS Plan and their individual responsibilities within the plan) Training

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•

• • •

o Safety Education and Training Program including induction training during orientation and after long periods of leave or changes of work activity o encouraging personal development of staff so that all staff are well trained for the tasks they must undertake First aid: if possible, all staff should have the opportunity to undertake first aid training. However, at least one staff member should be available during all work periods who is trained to provide basic first aid. Readily available and regularly checked material for the provision of first aid is essential. An emergency plan: a plan for responding to medical and other emergencies such as fire or hazardous incidents will help to minimise damage to personnel, buildings, and equipment. The plan should include easily accessible contact numbers for emergency medical care, ambulance, fire brigade, police. Employee Safety Handbooks and Procedure Manuals are in valuable in clearly defining Health and Safety responsibilities and safe work practices within an Organisation Property Maintenance to keep the workplace environment both clean and free from obvious risks Documentation and reporting: It is essential that records relevant to the OHS Plan are maintained and reviewed regularly. Such records include: o Incident/accident, injury and illness reporting o Incident/accident investigations o minutes of committee meetings o all updates or changes to the OSH Plan o periodic evaluation reports on the outcome of the OHS Plan

For all of these activities to remain effective, the OHS Plan must be kept up-to date and the goal of workplace health and safety built into all aspects of the workplace. Health and safety professional’s role in change management Importance of a structured approach Change management is the process of transitioning an organisation or workgroup to a planned future state. It requires a structured approach to help align the organisation or workgroup with the change. In its simplest form, change management involves helping stakeholder groups to understand what the change means for them, and helping them make and sustain the transition while working to overcome any challenges involved. From a management perspective, it involves the organizational and behavioral adjustments that need to be made to accommodate and maintain change. The effect on supervisory requirements also needs to be considered before any changes are made. New risks and how they relate to the activities of affected workgroups should be understood. Successful change also requires workers to adapt to and work effectively in the changed environment.

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244 Green World Group Responsibilities for H&S professionals undertaking change management include: • • • •

identifying potentially significant change and considering related safety and health risks to minimize the risks managing organisational and workplace change, and developing change management standards systematically inspecting and auditing workplace systems, procedures, conditions and practices in their area of responsibility to ensure standards are met assisting in the management of workplace change.

The meaning of the term ‘ethics’ Derived from the Greek work ethikos (“of or for morals”), ethics is a branch of philosophy concerned with the study of values or morality. The ancient philosophers who pioneered the study of ethics were largely concerned with the functioning of society as a whole and the individual’s role in it. Today, ethics also relates to corporate social responsibility. What is it that we owe our employees, customers, shareholders and the community at large, and how does our fulfillment of these obligations ensure our long-term sustainability as a company? Many leaders have come to see safety as the starting point for answering these questions. To them, providing a safe workplace lays the foundation for organizational excellence and integrity in strategic, financial and operational performance. These leaders are driven by a deep sense of commitment to ethical principles that include: • • • •

Honesty: That we keep our promises, take responsibility, instill confidence in our employees, customers and other stakeholders and are clear in all communications so that we generate assurance Respect: that we show consideration for one another, recognise each other’s differences, understand the customer’s needs and expectations and go out of our way to meet these and prevent accidents and see that no-one injures themselves in the workplace Integrity: That the commitment to telling the truth and keeping promises, plus applying the best of one’s abilities, promise worker loyalty and commitment. Personal conflicts of interest: That excellence stems from a concern for the achievement of the common good (as opposed to what is good just for the individual person or company).

The practical application of ethical principles (ie, honesty, respect, integrity, personal conflicts of interest) that underpin professional health and safety practitioner codes of conduct. Honesty You must be honest in discharging your duties as a health and safety professional. In litigation concerning other professionals, courts have decided that defendants have been dishonest if they knew that what they were doing would be regarded as dishonest by honest people. Knowingly misleading anybody for financial or other gain that could not have been made honestly is most likely to be unacceptable. Examples include giving misleading information about qualifications and/or memberships, either to a prospective

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245 Green World Group or current client, in order to gain or retain instructions, or to a prospective or current employer, in order to obtain employment or to attain a promotion or enhanced benefits. Assisting others to gain from the provision of false information is also unlikely to be acceptable. Examples include entering misleading details on policies, procedures, risk assessments or similar documentation or records. You must be honest when you are ‘off duty’ too. Respect Respect the rights and privacy of other people and organisations. As an occupational safety and health professional, disagreements will happen from time to time. To avoid making disagreements personal, it is important to remember that is often acceptable to criticize ideas but often unacceptable to criticize individuals, particularly in an offensive manner. Respecting other people includes behaving in an appropriate manner. Inappropriate behaviour includes the use of foul language or acting in an intimidating or threatening way. Respecting an individual’s rights will include ensuring that you do not discriminate on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex and sexual orientation. Race includes colour, nationality and ethnic or national origin. You should not discriminate on the grounds of socio-economic status either. You must specifically respect the privacy of the individual. Information technology may have an adverse effect on an individual’s privacy, and advice should be sought on data protection legislation when storing personal information. Integrity If you recognise a dangerous procedure but do not recommend a shutdown in case it ultimately leads to the closure of the company and your redundancy, then that could point to a lack of integrity. Similarly, as a consultant, if you are aware that your recommendations are not being implemented, but you continue to advise the organisation for the fee income you derive, then that may be similarly questionable. Personal conflicts of interest Conflicts of interest occur where your judgment may be affected by more than one interest, meaning an interest in the outcome: what may happen as a result of your involvement. Something that could benefit one interest may be detrimental to the other interest. An interest may be personal or professional. You usually have a personal interest in being able to provide for yourself and any dependents. This should not be allowed to interfere with the professional interest of giving appropriate health and safety advice. You are unlikely to be able to avoid having a personal interest in earning a living but should be able to put the welfare of the workforce or others affected by your activities first. Where you are acting as an expert witness in judicial proceedings the overriding objective will be to assist the decision-maker to deal with the case justly. If you take on the role of giving expert witness evidence, you should disclose any previous or continuing relationship that you have with any of the parties in the case at the time you are instructed and, in any report, prepared for the case. The conflicts that you are required to avoid include situations such as accepting responsibility for advising both parties to a contract. This is because the interests of the parties are competing interests that are in

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246 Green World Group conflict, as each wants the best outcome for them. If you advise company A on selecting an external training provider and company B on tendering for providing training services to A, without disclosing to A or B that you act for the other, then that is likely to lead to a breakdown in trust and the possibility of complaint. A wants the best value it can get for its training budget and B wants to win custom at the highest rate possible. If the full extent of your involvement becomes known, A and B are likely to doubt that you could have at all times acted in their best interests and may resent you earning two fees. Indeed both may regard the second fee as an inappropriate secret profit made by exploitation. Conflicts of interest may also arise through the offer or acceptance of inducements. Inducements can include gifts, hospitality, preferential treatment and inappropriate appeals to friendship or loyalty. An inducement could affect your professional independence. You should not encourage any inducements which a reasonable observer may perceive to be factors that could affect your or another member’s objectivity, and thus the health and safety of others. Effective communication and negotiation skills Why effective communication is important Workers and H&S representatives have a vital role in communication. On any normal working day we communicate on a number of different levels. We do this by:

• • • • •

Talking to other team members Seeking support and guidance from friends and other colleagues Discussing work practices and other issues with managers Using the internet and intranet to gain updates and information Using a range of social media options to stay in touch.

To ensure that communication is effective in your workplace, you should use all the available and established channels to provide your ideas and concerns about health and safety in your workplace. Workers can use the following suggestions as ways to ensure they are contributing to effective communication: • • • • •

Contribute at meetings Access and seek information from your intranet Use emails to clarify, and provide a two way communication approach Establish an open and constructive approach to talking to your colleagues and mangers Consider the barriers to communication in remote and isolated work locations (e.g. shift work, working on your own, isolated by distance or team support, working from home) make contact daily where possible.

Unit ID1: Know – Workplace Health and Safety Principles (International)

247 Green World Group Communication is the most effective tool in any face of business, and workplace safety is no exception. In order for a truly safety-centric workplace to be in effect, safety hazards, area guidelines, rules, regulations, warnings, goals, and progress reports must be made to employees across an array of media. With a workforce that is more distributed and more mobile than ever before, supervisors are facing extreme communication barriers. Relying on traditional, static poster boards stating, "x number of days since an accident," outdated signs, and the occasional meetings can only do so much. Due to its static nature, employees will only pay attention to a sign for so long before their attention starts to drift. It is because of this drift that the static poster nestled in the corner for 16 years displaying all of the rules and regulation for that particular area is seemingly meaningless. Much like the general population, companies need to embrace the digital age when it comes to safety communication. More and more businesses are adapting a new sense of safety culture by using digital signage that provides them with the ability to reach their entire workforce via digital displays, desktop communications, and handheld devices. By embracing these digital means of communications, companies now have the ability to reach up to 100 percent of employees—whether they are in a field 100 miles away or at their desk in the corporate office. Software exists that collects, analyzes, and prepares data to display on an array of media. This information used in real time creates a safer and more productive workplace, keeping every employee up to date. Due to the fact that many companies have a diverse and global workforce, an often-overlooked area of effective safety communication is the necessity to transcend language barriers. It is imperative that messages be highly visible, easy to read, and color coded. All employees need to be connected at any given time for a company to truly become a safety-centric workplace. How you communicate with, and treat your staff can affect how they undertake their work, display resilience at times of pressure and manage any difficulties they may be experiencing. Consultation on health and safety is a two-way process and should be seen as an opportunity to add value when making decisions. This process involves: • • • • • • •

Talking about issues Listening to and raising concerns Understanding your role Seeking information and sharing views Discussing issues in a timely manner Considering what is being said before decisions are made Attending scheduled meetings.

There are number of situations when your manager and senior leaders are required to consult with workers. They are when: • • •

Identifying hazards and assessing risks arising from work Making decisions about ways to eliminate or minimise those risks Making decisions about the adequacy of facilities for the welfare of workers

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248 Green World Group • • • •

Proposing changes that may affect the health and safety of workers Making decisions about the procedures for resolving health and safety issues Monitoring the health of workers or workplace conditions, information and training or consultation with workers Carrying out any other activity prescribed by the OHS related Regulations.

The need for health and safety practitioners to consult and negotiate with others when developing an organisation’s health and safety objectives Establishing objectives for the health and safety performance program provides a vital blueprint for implementing and directing the organization’s resources in order to achieve desired outcomes. The most commonly found objectives in any safety and health program include lost-time injury rate, lost workdays, recordable injury rate, and total injury rates. Safety goals can also be vague. Some examples that fall into this category include objectives ‘‘to achieve compliance’’ or ‘‘to provide a safe environment’’ Guidelines for setting goals and objectives are as follows: 1. 2. 3. 4. 5. 6.

Set objectives as part of the planning process Word the objectives clearly Objectives must be realistic Accomplishing objectives must be under the responsible person’s influence or control Objectives must be assigned to someone Completion dates must be established for each objective.

When establishing objectives, it is important for H&S practitioner to identify those measures that are indicative of a good program. They must emphasize activities that are needed to meet the objectives. A common downfall is to develop broad-ranging objectives with no clear understanding of the activities that impact the outcomes, which in turn determine whether or not the objectives are met. The following are some examples of poorly constructed and well-constructed safety objectives: Poorly constructed safety goal: ‘‘Improve the safety record of the organization.’’ This is considered a poorly written safety goal since it does not establish a time frame for completion. It also does not provide a specific outcome that would be indicative of meeting the goal. Well-constructed safety goal: ‘‘Over the next five years, the organization will reduce recordable injuries by 10 percent.’’ This is considered a well-constructed safety goal because it establishes a fixed, long-term focus for the safety program. The desired outcome for the goal is also measurable. Poorly constructed safety objective: ‘‘The organization will increase employee safety training offerings.’’ This is considered a poorly written safety objective since it does not establish a time frame for completion. It also does not provide a measure by which success or failure of meeting the objective can be ascertained.

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249 Green World Group Well-constructed safety objective: ‘‘During this fiscal year, the organization will provide twelve monthly safety-training programs at which 90 percent of the employees shall attend.’’ This is considered a well-constructed safety objective because it establishes a fixed, short-term focus for the safety program. The desired outcome for the goal is measurable. In order for health and safety practitioner to develop an effective safety metrics program, the objectives of the organization must be clearly established. Business objectives typically state and define underlying organizational ‘‘values’’ and quality factors such as safety, rework, environmental soundness, and customer satisfaction. The development of these business objectives usually begins with the stated mission for the organization. This organization’s mission statement will provide the overall guidance for not only the safety program but also any other program developed to meet the organization’s overall goals and objectives. While the business side of the objectives may be stated in terms of productivity, costs, or profits, safety objectives can be stated in terms of losses, accidents, safe behaviors, or increased costs The balance scorecard approach: One method of developing safety objectives is through the use of the balanced scorecard approach. The concept ‘‘translates’’ the planning perspective of an institution (mission, strategic vision, and goals) into a system of performance indicators that cover all-important perspectives of performance (i.e., finances, users, internal processes, and improvement activities). The balanced scorecard management system provides feedback concerning internal business processes and external outcomes. To improve performance, continuous improvement strategies are incorporated into the model. The process involves defining the mission and goals for the organization. As with other performance improvement processes, the activities necessary to meet the goals are developed and measures indicative of that performance are identified. Continual improvement is incorporated into the model, which balances financial and nonfinancial demands of the organization with performance. What is required to develop a ‘‘balanced scorecard’’ is a ‘‘basket’’ of measures that provide information on a range of health and safety activities. The balanced scorecard assists organizations in overcoming two key issues: effective organizational performance measurement and implementing strategy. An organization can use the balanced scorecard tool as a framework for translating its vision and strategies and clarifying its strategy through selected objectives and measures. The balanced scorecard utilizes four perspectives: • • • •

Financial perspective Customer perspective Internal perspective Innovation and learning perspective

These four perspectives are all tied to the organizational mission and vision. Within each perspective, objectives can be developed and the appropriate metrics can be identified.

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250 Green World Group Health and safety practitioner need to consult with relevant interested parties in developing objectives and consult all above perspective. For example, financial perspective need to be considered to ensure that there are enough budgets required to achieve the objective. Customer perspective need consideration in cases when an objective is set to meet customer requirements or expectations. Internal perspective to be considered to incorporate the goals and mission of the company health and safety. Innovation and learning perspective becomes especially important when a particular competence/skill is required to achieve an objective e.g. competent in sprinkler system design or distribution of hand held fire extinguishers etc. Influencing ownership of health and safety at all levels of an organisation Ownership of health and safety in an organisation may be achieved via four mentioned mechanisms. These four must be followed in parallel. 1- Participation: Examples of how workers can be included in the safety program include: • • • • • • •

Incident investigations Procedure development Development and implementation of safety and health training Job safety analysis Safety and health committee/team involvement Recommendations for specific actions in response to employee safety suggestions Problem-solving techniques to seek solutions to identified safety and health problems

At a minimum, a mechanism should exist for workers to identify and report safety concerns on the workplace without fear of reprisal or punishment. These reported issues should be addressed in a timely fashion, which will communicate to workers that safety is a high priority for owners and managers. Offer the necessary levels of education, training, resources, and authority so employees can take ownership of the safety process. It’s a mistake to expect employees to take pride and be enthusiastically involved over the long term in order to simply conform to top-down management programs, and/or merely comply with regulations. The single most powerful source of motivation is employee ownership of the safety process. Ideally, everyone should be involved. In many cases safety representatives will already be involved. There may be active involvement through health and safety committees and in other business areas too, such as quality systems; this needs to be acknowledged and built upon. Don't wait for it to happen. Actively search for opportunities to involve employees. Listen up. Pay attention to what employees have to say. Respond to and resolve issues brought forth by their involvement.

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251 Green World Group Ask employees how they would like to be involved. All this may be simpler than we think. We train people on specifics — way more than these smart people need to be told. Let’s get out of the way, and begin asking more questions about how they want to create their safety system and account for their results. Let’s do this instead of telling them what to do. Ask more questions about how your people want to manage safety. Ask yourself, “How do I get employees involved in the rest of our organization’s activities?” Getting involvement in safety is not likely to happen unless there is also a climate of involvement in other objectives of your organization. Trying to manage safety by involvement, and other activities in other ways, is not likely to work, at least not consistently. Get everyone on the same page. Executives, supervisors, employees and the safety and health team must have the same vision for safety and health. Everyone must understand that safety and health really are important to each level of the organization, and that the employees’ well-being is what it is all about. There can be no hidden agendas, no “gotchas.” Employees’ concerns and their ideas and suggestions are to be taken seriously, sometimes implemented, and rewarded. This is not a difficult mission, but it does take discipline to keep on track 2- Management accountability: Accountability may be defined as an activity, practice or issue for which a person(s) can legitimately be held responsible and called on to justify or change. In a workplace, there are three types of accountability: personal accountability, peer accountability and management accountability. In an ideal environment, each party can and should hold each other accountable. Accountability is an obligation or willingness to accept responsibility that managers should embrace. It goes beyond performing the tasks assigned to given roles and involves ensuring that everyone is also performing those roles safely. In a workplace with high safety accountability, employees and managers are more vigilant in seeking opportunities to improve processes in order to increase safety Get managers at the top to realize the need for excellence in safety. To get their attention, it’s often better to have some type of objective assessment that comes from the corporate level or from outsiders. This could involve employee sensing sessions, climate surveys and programmatic reviews. As we all know, prophets are not often heard in their own land, and so it is with safety professionals. An outside perspective can provide leaders with a new perspective regarding other organizations that are pursuing safety excellence. Show management commitment in small and multiple ways. This is critical. Involve management at all levels in audits and inspections. Be sure managers are visible and engaged in training. Include safety and health issues in all management presentations. Be sure that follow-up on safety and health issues and audit items is part of the management review process. There must be consequences at all levels for nonconformance to agreed-upon policies and procedures.

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252 Green World Group Reinforce managers in regular staff meetings for what they personally did about safety this month. This moves safety from a set of boring statistics that include luck to an aspect of management that can be a source of pride. Ambiguous accountability damages morale and leads workers to seek unacceptable solutions instead of effective business solutions. Accountability is a fundamental principle of business success and must be designed into the management structure. When accountability is clear, productivity and efficiency follow. Accountability should be the aim of all good managers. Holding managers and workers accountable for safety performance is no exception. 3- Consultation: Enhance your relationship skills. Be recognized as trustworthy and display confidence in the ideas you want promoted. Management and employees will not eagerly support merely an idea or program, but they will support someone they like and trust. It takes a leader, in the true sense of the term, to bring along followers and supporters. Ask senior line management this question: “How can safety help you meet your important business objectives?” When asked with sincerity, this question can change management’s perspective of safety. Rather than a staff cost necessity, safety is seen as a business-building asset, a new business partner. To get senior line managers involved, play in their sandbox; don’t expect them to play in yours. Give people the feeling that they will have an impact. Listen well. Workers who complain about workplace safety or health hazards are frequently the targets of reprisals by their employers. An independent voice is essential because health and safety involves issues of economics and control — issues that management and the workforce may each view very differently. Those who bear the risks should have a significant voice in decisions regarding those risks. Workers input into safety procedures, selection of PPE, and other decisions that affect their own personal safety is paramount. This team is guided by the H&S practitioner and top manager in the company, but it is not directed by them. Team decisions can be overruled, but you need a good reason and a full explanation. Ask for insight. Managers often ask people to conduct safety tours or to do behavioral observation counts, but they rarely ask about what people found when they looked. This says safety is not interesting. Make a point to ask for trends, patterns, and overall conclusions such as, “We take care of guards on equipment but we often miss problems related to the condition of the floor.” People like to be reinforced for being perceptive. 4- Feedback: Provide positive consequences for desired behaviors and actions. People only work to receive positive consequences or avoid negative ones. Safety programs typically motivate people to avoid negative consequences, such as injury or discipline. A new way to define and measure desired safety performance is needed. These new expectations must be clearly communicated and understood by all. Then, positive

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253 Green World Group reinforcement must be provided when those desired behaviors occur. This does not mean trinkets or giveaways, but sincere acknowledgement from peers, supervision and management. When this happens, employees will be motivated to be involved in any safety program. If they know feedback is designed to improve processes and add to knowledge, employees be will generally be receptive to it. Use multiple forms/mechanisms of feedback. The benefits of health and safety professionals engaging with stakeholders “Stakeholder engagement” became a buzzword as the sustainability movement gained visibility and momentum in the 1990s, and today, every sustainability program has stakeholder engagement as a key part of the strategy. But recently, stakeholder engagement has become a key strategy for managing EHS as well, especially in lower-risk environments like offices and retail stores. EHS risks exist in these environments – think slip/trip/fall hazards, indoor air quality, and emergency response – but don’t warrant a full-time on-site EHS manager. If you are an EHS manager for a lower risk environment, you are probably already practicing stakeholder engagement strategies but may not realize it. By recognizing that this can be an important factor in your success, you can incorporate intentional stakeholder engagement activities into your EHS programs and allocate the necessary time and resources. So what is stakeholder engagement? Who are stakeholders? What is engagement? What is the best way to do it? (Hint, you don’t have to buy a ring.) Who are stakeholders? There are many definitions for “stakeholder,” but I think of it as the people who are going to be affected by what you are doing, and the people who can influence the success of your initiatives. For lower-risk environments, the critical stakeholders might be: Employees, customers, and visitors (people affected by what you are doing.) Facilities Management, Human Resources, and Security (people who can influence your success.) To identify your critical stakeholders, think back on who has helped you, who has made things difficult, and who has responsibilities that overlap with EHS. (This can be a great exercise to conduct with your team to identify critical stakeholders and make sure you’re not missing any.) What is engagement? Once you identify your critical stakeholders, your next step is to identify your engagement goal and then develop an engagement strategy.

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254 Green World Group The engagement strategy for each stakeholder will be different depending on your goal, the stakeholder, and your company operations and culture. Consider the following factors in developing the specific engagement strategies: • •

• •

Content and Goal – what is the information to be communicated and what is the action expected or desired when the information is communicated? Channel – meetings, e-mail, newsletters, postings are the usual channels. Be creative– consider holding brainstorming meetings to get input or use gamification platforms to engage the broader employee population. Frequency – could be ad hoc, scheduled, continuous. Don’t forget to consider whether ongoing engagement is needed to measure whether your program or initiative is truly effective. Drivers – factor in timing with other company activities (for example budgeting time and the end of the fiscal year are usually very busy times) and other initiatives going on, such as new programs or changes in the organization.

For example, if you want to get buy-in from security on how they can help implement a new emergency response program, you may want to engage near the beginning of developing your program, and an inperson meeting is probably the best channel. For a new EHS awareness training program, you may want to get input from HR on how your new training program will align with or augment existing HR training requirements. Timing may be critical to avoid the annual employee review process, when HR is likely to be very busy. You may need to engage directly with employees to communicate the importance of proper ergonomic workstation set-up to minimize injuries. A newsletter, online reference guide, or electronic posting might be the best channel for communicating this information, with a follow-up survey or contest to see if employees received the information and found it useful. Tips for Success Although the concept of EHS stakeholder engagement is simple to understand, it takes time and can be hard work. As an engineer by training, I didn’t learn this in school. But by watching and working with some great companies, here are some tips from my experiences based on what I have learned through trial and error: Identify key stakeholders for your particular initiative – they won’t always be the same ones! • • • • •

Plan and allow adequate time for the engagement process, especially in the beginning. Think about your goals for engaging with a particular stakeholder and think about their perspective – what would be a win-win for both parties? Be purposeful in your engagement. People are busy, so be respectful of their time. Be genuine and passionate. If you believe in what you are doing, your enthusiasm will be contagious, and people will want to be part of your team. Recognize their efforts. Give credit where credit is due.

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255 Green World Group In the end, you are aiming to build a mutually respectful relationship in which participation benefits both parties. Many EHS managers focus on the technical aspects of EHS – regulatory compliance, incident investigations, and reporting. While these are important, stakeholder engagement can be a powerful strategy to achieve success in your EHS programs. Engage other parts of the organization, such as facilities, security, and human resources to help build and support EHS programs and leverage limited EHS resources to create a safer and more productive workplace, build employee engagement, and enhance EHS culture. The importance of receiving, and acting on feedback from all stakeholders on health and safety performance Clearly, a number of parties will have critical information and knowledge about an organisation’s needs and priorities. Their input is essential to the process of reviewing the effectiveness of existing workplace arrangements for OHS – including for OHS consultation and communication. Key stakeholders may include senior management, frontline managers and supervisors, employees, safety and health representatives and committees and OHS specialists. In addition, an organisation may identify some external stakeholders whose input they consider important; for example, the regulatory authority or the relevant industry or employer association. There is an increasing need to demonstrate to external stakeholders (regulators, insurance companies, shareholders, suppliers, contractors, members of the public etc) that arrangements to control health and safety risks are in place, operating correctly and effective. Examples of the types of OHS Information that may be required include: • • • • • • • • • • • • • •

OHS statistics OHS rules Safe working procedures Material Safety Data Sheets (MSDS) Maintenance manuals Legislation and codes of practice Copies of incident reports Minutes of OHS meetings Planned inspection outcomes Audit results Statutory inspection reports Action plan registers OHS plans and targets Copies of memos or letters or communication from management.

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256 Green World Group In order to ascertain whether an organisation is performing in accordance with its OHS plan and objectives laid out, it is necessary to have an evaluation and measurement process in place. All details – both positive and negative – need to be recorded and made available for all stakeholders to see. Audits, either internal or external, should be conducted periodically and used by management for review purposes. Accident investigations provide opportunities to examine the effectiveness of an organisations SMS. Remember that investigations need to be approached in identifying deficiencies in the system rather than apportioning blame. There is usually an initial phase of planning which allows an organisation to answer four key questions: • • • •

Who are all of our stakeholders in OHS management? Where are we now in terms of the effectiveness of existing workplace arrangements for OHS consultation and communication? Where do we want to be? How are we going to get there?

To start answering these questions you can assist an organisation by doing the following: •

• • • •

Review the organisation’s OHS performance history (e.g., in dealing with OHS incidents, achievement of past goals and objectives, results of any previous reviews or inspections by Government authorities) Consult with key stakeholders − consult with stakeholders through formal and informal mechanisms (e.g., workshops, surveys, interviews and feedback through regular meetings) Identify OHS legislative requirements and compare with current performance Identify any other suitable benchmarks and compare with current performance Assess the level of resources committed to OHS consultation and communication – are they being used efficiently and effectively and are they sufficient (e.g., to achieve objectives)?

Under a planned and systematic approach to OHS there will be a range of OHS activity generally grouped under a series of headings (often the OHS ‘Standards’ for an organisation). For example: • • • • • • • • • •

Leadership and commitment Planning and organizing Consultation and communication Hazard management Recruitment, induction and training Contractor management Procurement Incident reporting Emergency preparedness and response Fitness for work

Each of these areas of OHS activities will involve specific roles and groups of people and these roles and groups will have various information and consultation needs. In particular, there will important

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257 Green World Group requirements in relation to information and consultation about high-risk activities or equipment and how they are to be controlled or managed. While the higher hazard industries may have recognised that they have in effect been granted ‘license to operate’ by their local community and society, pressure for accountability is reaching other sectors through routes such as corporate social responsibility. The challenge for organisations is to communicate their performance in ways which are meaningful to their various stakeholders. The use of different types of communication media available to promote the health and safety message There are many barriers to how we communicate and consult with each other in the workplace. Finding the right time and delivering messages in the right way can be a challenge. Workers and H&S representatives should establish a relationship with their manager that encourages open and honest discussion and mutual trust. Consultation often fails due to: • • • • • • •

• •

Attitude: When a worker is abrupt due to time limits, not having enough resources or their mood, the person they are speaking to may feel intimidated or frustrated and not want to communicate Limited use of technology: When the technological aids known to be the best way for someone to communicate are not available Body positioning: Sitting too close could be intimidating and would make an individual feel uncomfortable. Sitting too far away could show lack of interest or concern Emotions: When someone is depressed, angry, embarrassed or upset their emotions may affect their ability to think and communicate in a sensible way. Physical: When someone has physical conditions that create communication difficulties, for example, being breathless, not having any teeth or being in pain. Not enough time: Not giving individuals time to say what they want may make them feel rushed and reluctant to express their true wishes. Poor or negative body language: Crossed arms or legs, poor facial expressions, poor body positioning, constant fidgeting or looking at a watch or mobile phone can all make someone less likely to communicate. Lack of privacy: Think carefully about where and when private and confidential conversations should take place. Stereotyping: Generalisations about a group of people that are wrong and misleading. An example would be that ‘all older people are hard of hearing’. Other barriers include sensory impairments, culture, language, noise, lighting or substance misuse.

To reduce barriers through communication: • • • • • • •

Engage people on an emotional level Provide clear messages with concrete examples to help people focus their energies Think about what you say and how you say it (is what you are saying aligned with what you are feeling and thinking?) Written material should be backed up by verbal communication Check the tone of the communication (edit, edit and edit again) Some news is better than no news Let people know the status of what is happening, you are the key in communicating change, workers look to you to see if there is real acceptance.

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258 Green World Group Talking is often seen as the most common method or type of communication but most communication is silent. Gestures, tone of voice, grins, grimaces, shrugs, nods, moving away or closer, crossing arms and legs all tell us far more than words. Learning to take account of these reactions is all part of developing your communication skills to achieve the best outcomes for individuals. Communication can be harder when we can’t see these signs such as when we use the phone, texts or email. Communication may be formal or informal. • •

Formal: Formal communication is likely to be used in the working environment, particularly between you and other workers. Informal: Informal communication is likely to be used with friends and family, using familiar words or slang. You should always use the communication method that is appropriate for the person and situation

Following methods (in different combinations) may be used to ensure effective communications: Verbal Verbal communication involves the usage of words while the delivery of the intended message is being made. It can be one-on-one, over the phone or in group settings, etc. it is a methods of effective communication that is personal and has to be used more than only phone calls and emails whenever possible. The medium of the message in case of verbal communication is oral. Simple speaking is verbal communication. Seeing the person with whom face-to-face communication is taking place helps in gauging the response of that person by understanding their body language and also assists in active participation of the dialogue. Some of the important oral methods of communication include – •

•

Face-to-Face Communication: This is usually preferred methods of communication although it is not realistic all the time, especially in organisations that are based in several locations around the globe. However, tools like videoconferencing make approximate face-to-face communication possible and help even the large organisations in creating personal connections between the management and the staff. Meetings: Meetings are common in almost all the business settings and now it has become possible to augment them via use of the tools of technology which allow the participants in the remote locations to participate in the discussions, although they are not present physically on the meeting site.

While using verbal communication, the person needs to be aware of his tone of voice, inflection as well as speed. Use of sarcasm and angry tones should be avoided otherwise the person with whom you are communicating will go on the defensive. While speaking to your team or to a group of people, you should ensure that you speak loudly as well as clearly so that everyone is able to understand what you are saying. Use of the microphone should be made if a group in is being addressed in a large room. Verbal communication is best used when something has to be discussed in detail or when someone has to be

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259 Green World Group complimented or reprimanded. Verbal communication makes the conveying of thoughts faster and easier and is the most successful methods of communication. Electronic The email communication in organisations has become very common and is a highly essential tool for sharing of information with one, hundreds as well as thousands of employees. It is usually a significant component of the communication plan and even though it may not be a replacement for face-to-face or other methods of communication, it is easily accessible and inexpensive. Business E-mail Do’s and Don’ts • • • • • • • • • •

DON’T send or forward chain e-mails DON’T put anything in an e-mail that you don’t want the world to see DON’T write a message in capital letters—this is the equivalent of SHOUTING DON’T routinely CC everyone. Reducing inbox clutter is a great way to increase communication DON’T hit send until you’ve spell-checked your e-mail DO use a subject line that summarizes your message, adjusting it as the message changes over time DO make your request in the first line of your e-mail. (And if that’s all you need to say, stop there!) DO end your e-mail with a brief sign-off such as, “Thank you,” followed by your name and contact information DO think of a work e-mail as a binding communication DO let others know if you’ve received an e-mail in error.

Printed Printed communication cannot be avoided in the workplace. It is present everywhere and consists of traditional paper and pen documents and letters, text chats, emails, typed electronic documents, reports, SMS and anything else that might be conveyed by the use of written symbols like language which includes any documents that are a part of the day to day business life. Such methods of communication is indispensable for any formal business communication and also for the issue of legal instructions. The methods of communication that mainly make use of written communication consist of formal business proposals, press releases, memos, contracts, brochures, handbooks and the like. How effective the printed communication is will depend on the style of writing, vocabulary, grammar along with clarity. Printed/Written communication is most suitable in cases that require detailed instructions, when something has to be documented or in situations where the person is too far away to speak in person or over the phone. In order to effectively communicate more with fewer words: • •

Picture the receiver in your mind before you begin to write. After all, a written communication is a link between people. Choose simple words. When in doubt, choose the shorter word (“Automobile or car? Car!”)

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260 Green World Group • •

•

Be polite and clear. Your message will make a strong, clear impact. Make your message brief and direct by trimming redundant words or phrases. “Having thus explored our first option, I would now like to begin to explore the second option that may be open to us.” versus “After considering Option 1, I would like to look at Option 2.” Choose strong, active verbs. “I suggest…” instead of “It would seem to me that we might…”

Pictorial / Visual Pictorial communication methods of communication takes place through the help of visual aids like colour, illustration, graphic design, drawing, typography, signs and other electronic resources. This type of communication comprising charts and graphs generally reinforces written methods of communication and in majority of the situations replaces written communication completely. “A picture is worth a thousand words” is an adage which shows that verbal communication can on several occasions be more powerful than verbal as well as nonverbal communication. The developments in technology have made expression of pictorial communication easier than what it was before. Social Tools of the social media such as LinkedIn, whatsapp or Facebook can be used in an effective way in the organisations for the purpose of communicating between locations, divisions, departments and employees. Certain tools such as Yammer are specifically designed for creating social media networks in the confines of a particular domain of business. There is no one correct way of communicating but you need to have awareness about what is appropriate and in which situation. The chosen methods of communication depends on the situation. Put yourself in the shoes of the employees. If there is a need to communicate a certain message to you, then you should first think of the way you are going to receive it. By using your good judgment regarding the situation and being considerate of your employees will make you an effective communicator. A better understanding of the various methods of communication along with the different communication styles will help in knowing as well as dealing with people in a better way, clear any misconceptions or misunderstandings that may exist and thus contribute to the organisation’s success. Why an organisations top management should be media trained? CEOs and other top-level executives understand their businesses better than anyone else. That’s because they have the requisite education and experience. At one time, the ability to present well in the media was not a job qualification, but now it is necessity. Performing well in a high stakes media interview can boost corporate and personal reputations. Consequently, a bad performance does a disservice to both that person and his or her company. That’s why media training today is critical and more and more companies see it as vital and are investing their time and people. I’d like to say when I made the transition from television news to public relations, I wish I was stunned to see so many top-level executives ill-prepared to be interviewed, but I wasn’t. I once interviewed a highranking executive, and all I wanted was an explanation of what his company did. He threw out a lot of big

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261 Green World Group words and tried to impress me with a lot of jargon but what he didn’t do was give me a quote. To paraphrase a line from the movie Cool Hand Luke, “He failed to communicate,” and his interview ended up—as they say—on the cutting room floor. Words matter, and how they are used matters even more. Speaking to journalists is a developed skill vastly different from addressing board members, colleagues and clients. An interview is not a conversation but rather a transaction. The journalist wants information and you want to provide specific messages in a succinct manner that gets YOUR point, and more importantly your company’s point of view, across to resonate with the audience. A carefully crafted media training conducted by an experienced facilitator can provide the necessary tools to navigate through the potential landmines of an interview, whether it is print or broadcast. The biggest concern or fear I hear from my clients is, “What happens if my interview starts going ‘sideways’”? It is a fair question and knowing how to take back control is essential. These are techniques that can be learned. To communicate effectively, learn from those who do it best—the journalists. Play their game, learn their methods and think like they do. A journalist craves that wonderful story with that fantastic quote that paints a vivid picture. Be a great storyteller, bring emotion, give examples and anecdotes and provide that special quote. Come across both as knowledgeable and personable. How you act during an interview is every bit as important as what you say, in fact it accentuates it. I applaud companies that want to train their executives but it can’t be just ‘checking the box’, doing it once and moving on. Speaking to the media is a skill that must be developed and cultivated. The media landscape is constantly changing, especially in the world of social media where the story changes by the minute, so refresher sessions are a must. Though ‘training’ is the widely-accepted term for preparing for media encounters, C-suiters don’t like that word and neither do I. I prefer effective executive communication or a simpler term ‘coaching’ and everyone, even the best can use a little coaching. Michael Jordan was arguably the greatest basketball player to ever grace the court, but he not only accepted coaching, he demanded it because he knew it

would make him even better and more effective at his job. Then he practiced and refined his talent. And when it was game time, MJ was prepared. If Michael Jordan saw the need for coaching, practicing and preparation then we should all take his lead and demand it as well. A little ‘training’—make that ‘coaching’—can make us all more effective executive communicators when it is game time. Procedures for resolving conflict and introducing change Conflict resolution in the workplace can be broken down into steps to simplify the process. By doing so, H&S professionals and managers can ensure more effective communication and a more effective conflict resolution process. Here are six steps to the conflict resolution process: 1. Clarify what the disagreement is: Clarifying involves getting to the heart of the conflict. The goal of this step is to get both sides to agree on what the disagreement is. To do this, you need to discuss what needs are not being met on both sides of the conflict and ensure mutual understanding. During the process, obtain as much information as possible on each side's point

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of view. Continue to ask questions until you are certain that all parties involved (you and those on either side of the conflict) understand the issue. Establish a common goal for both parties: In this step of the process, both sides agree on the desired outcome of the conflict. When people know that they're working towards the same goal, then they're more apt to participate truthfully to make sure that they reach that end goal together. To accomplish this, discuss what each party would like to see happen and find a commonality in both sides as a starting point for a shared outcome. That commonality can be as simple as "both sides want to end the conflict." Discuss ways to meet the common goal: This involves listening, communicating, and brainstorming together. Continue with both sides working together to discuss ways that they can meet the goal they agreed on in step 2. Keep going until all the options are exhausted. Determine the barriers to the common goal: In this step of the process, the two parties acknowledge what has brought them into the conflict and talk about what problems may prevent a resolution. Understanding the possible problems that may be encountered along the way lets you proactively find solutions and have plans in place to handle issues. Define what can and cannot be changed about the situation. For the items that cannot be changed, discuss ways of getting around those road blocks. Agree on the best way to resolve the conflict: Both parties need to come to a conclusion on the best resolution. Start by identifying solutions that both sides can live with. Ask both sides and see where there is common ground. Then start to discuss the responsibility each party has in maintaining the solution. It's also important to use this opportunity to get to the root cause to ensure this conflict will not come up again. A lot of times when we try to fix problems, we get so caught up in fixing it that we do not identify what we need to do so it doesn't happen. Acknowledge the agreed upon solution and determine the responsibilities each party has in the resolution: Both sides need to own their responsibility in the resolution of the conflict and express aloud what they have agreed to. After both parties have acknowledged a win-win situation, ask both parties to use phrases such as "I agree to…" and "I acknowledge that I have responsibility for…" Agree a transition period: To ensure that any change in working conditions, or enviroment or SOPs etc. can be implemented in phases in a safe manner. A Management of Change procedure may also be agreed and developed.

Ensuring roles and responsibilities are clear, understood by all workers and implemented Developing job descriptions is essential to the success and efficiency of safety management system and creating a positive healthy culture. They create clarity. Clarity is one of the biggest reasons every role in a workplace should be defined via a job description. One of the biggest motivating factors is clarity within the employee’s role. That is, they know what they’re supposed to do and how to do it. There’s no ambiguity, there’s no anxiety that “I think I should be doing something, or I’ve missed something”, and there’s no getting into trouble for not doing something that wasn’t made clear in the first place. A job description, or position description, is a written statement explaining why a job exists, what the job holder actually does, how they do it and under what conditions the job is performed. One of the most important sets of documents that a business can have is a current and clearly expressed set of job/position descriptions. Job descriptions improve an organisation's ability to manage people and roles in the following ways:

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• •

Clarifies employer expectations for employee Provides basis of measuring job performance Provides clear description of role for job candidates Provides a structure and discipline for company to understand and structure all jobs and ensure necessary activities, duties and responsibilities are covered by one job or another Provides continuity of role parameters irrespective of manager interpretation Enables pay and grading systems to be structured fairly and logically Prevents arbitrary interpretation of role content and limit by employee and employer and manager Essential reference tool in issues of employee/employer dispute Essential reference tool for discipline issues Provides important reference points for training and development areas Provides neutral and objective (as opposed to subjective or arbitrary) reference points for appraisals, performance reviews and counselling Enables formulation of skill set and behaviour set requirements per role Enables organisation to structure and manage roles in a uniform way, thus increasing efficiency and effectiveness of recruitment, training and development, organisational structure, work flow and activities, customer service, etc. Enables factual view (as opposed to instinctual) to be taken by employees and managers in career progression and succession planning Used in the recruitment process to assist employees and the applicants to understand the role and what is required, ensuring that the selected person can properly commit to the job.

After a person has been selected, this job description must be communicated and explained to him and the person would be required to sign the same for record purposes. Keep in mind that just asking staff to confirm they have read the job descriptions will not usually be enough to ensure understanding. There is a need to ensure staff have understood what is required by them. Setting a test to be passed when the audience reads the description is a good way to achieve this. Job description must be clear and be written in plain language. Account must be taken of for workers for whom English is not the primary language. They must have their job descriptions in the language the easily understand. A manager can take several approaches to helping employees craft their job descriptions. Depending on your department and your management style, you may choose any of the following methods: • • •

Talk with employees about their work, soliciting their input to incorporate into your ideas about how to describe the position Ask employees to develop their own position descriptions, that you may later discuss with them and modify as required Draft position descriptions for your employees’ jobs and then discuss your drafts with them to ensure they understand your expectations and standards for the position

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264 Green World Group In the spirit of continuous improvement and process review, position descriptions should constantly evolve based on emerging priorities or shifts in organizational and departmental needs. Be sure to constantly update and assess position descriptions in the following ways: • • •

Let employees know that their job descriptions are always subject to change Review job descriptions when you discuss the performance expectations and development plans for the coming year with employees If changes identified in your annual plan involve fundamental additions or deletions to the existing functions, you may need to incorporate those changes into your employees' job descriptions

The health and safety professional’s use of financial justification to aid decision making The significance of budgetary responsibility, including profit, loss and payback analysis Every person who leaves for work in the morning should expect to return home at night in good health. Can you imagine the knock on the door to tell you your loved one will never be returning home? Or the phone call to say he’s in the hospital and may never walk again? Ensuring that husbands return to their wives, wives to their husbands, parents to their children, and friends to their friends — that is the most important reason to create a safe and healthy work environment. But it isn’t the only reason. A serious workplace injury or death changes lives forever – for families, friends, communities, and coworkers too. Human loss and suffering is immeasurable. Occupational injuries and illnesses can provoke major crises for the families in which they occur. •

•

Reducing injuries reduces cost to the business: If a worker is injured on the job, it costs the company in lost work hours, increased insurance rates, workers’ compensation premiums and possible litigation. Productivity is lost when other workers have to stop work to deal with the injury. Even after the injured employee has been sent home or taken to the hospital, other employees may be distracted or need to take time off from work in the aftermath of the incident. Even a single injury can have far-reaching and debilitating effects on your business. Safe workers are loyal workers: Any business knows that employee attrition and absenteeism can be major obstacles. When you create a healthy and safe workplace, you reduce those issues in several ways. By budgeting for safety improvements and making safety part of your operational plan, you engender trust. By involving employees in safety decisions—through reporting, committees, walk-throughs and meetings—you show that their opinion matters to you. By following through on their input and improving safety, you prove quite tangibly that you care about their well-being. Workers typically respond by working harder, showing more pride in their jobs and remaining loyal. Safety improved quality: Time and again, companies that put safety first turn out higher quality products. In some cases, that’s because a safe workplace tends to be a more efficient one, free of debris and tangles of cords. In other cases, it’s a matter of focus. By working in a clean, efficient environment, workers are able to reduce distractions and truly focus on the quality of what they do. The results? Better products that create customer loyalty, bigger margins and increased sales.

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265 Green World Group In these ways and others workplace safety is about much more than legislation. It’s about creating the kind of productive, efficient, happy and inspiring workplace we all want to be part of. It’s about creating a highly profitable company. And that’s why it’s important. Health and safety legislation is very clear in the requirement to manage hazards and risks and meet obligations. Whilst taking action for health and safety is essential, it’s naive to think employers will spend money on anything that is not justified. Every business manages its health and safety differently – some invest in management, some integrate OHS into quality, environment or wider business management, some go beyond compliance and promote health and wellness, whilst some do very little and then react when accidents happen. Any money spent in a business is an investment and OHS must be treated the same. That’s not to say that money shouldn’t be spent, just that the purpose must be understood and budget allocated accordingly. This is particularly relevant in today’s competitive economic climate. This must be seen as an investment and, like any investment, it must have a return. The budget holder is entrusted to manage the budget and spend according to what has been agreed. The return on investment is the fulfilment of the goals and aims that were set down during the budget planning, along with any wider benefits that may be realised such as a good morale, a productive workforce, a positive safety culture along with trust and respect between the organisation and its workers. In its simplest form, budgeting means deciding what outcomes are needed, the actions that will be taken and allocating money for this. This ideally happens in an organisation’s business planning and budget cycle and includes costs such as personnel, personal protective equipment, training courses, fire and emergency equipment, servicing of equipment etc. Contingency may also be allocated to deal with issues that may arise. Also companies compare the budget spent in terms of benefits gained so it’s always useful and easy for a health and safety practitioner to install control measures that give collective protection as they are easy to negotiate with management. Also try to quantify as much as possible the indirect costs. This way you can have more chances to convince management to allocate the required budget when they have a clearer picture of what may go wrong and how much they might have to pay directly or indirectly after an accident at workplace. Importance of recognising who is the responsible budget holder and how they can be influenced to make appropriate health and safety decisions Dealing with one of safety’s toughest challenges is funding projects on worksites that senior managers never see. OHS professionals tend to be idealistic, as they should. Capital expenditure decision makers, on the other hand, are often a tad more hard-nosed. Both find the other’s approach immensely frustrating and that can be a big problem when it comes to funding safety related capital intensive projects. Surprisingly, the secret to finding common ground lies in the OHS professional’s stock in trade – the risk assessment. The pure logic of combining probability with consequences to assign a risk rating is something that resonates with many senior company officers, who are increasingly attuned to risk

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266 Green World Group management in an uncertain global business environment. The key is to present the information in a format that very clearly reflects the organisation’s objectives, whether they are prudent corporate governance, reputation management or sheer compliance. With a risk assessment and a budgeted list of priorities, the business case for OHS capital expenditure now simply needs a rationale. In most cases, compliance with safety obligations alone is sufficient but not always. In the name of flexibility, most work health and safety laws are open to interpretation and sometimes even conflict with other mandates. It is also true that many substantial safety gains are made beyond mere compliance in terms of productivity, lower insurance costs, improved morale and fewer lost time injuries. The most compelling call to action is the one that best mirrors the goals of your organisation. Meeting health and safety obligations is a moral as well as legal obligation; however there can be differences in values and beliefs for health and safety between organisations and within organisations. Decisions made by employers and business managers can be influenced by what they think and how they feel – and this can make the difference between resourcing health and safety, or not. To find money for health and safety means looking beneath the line and establishing the organisation’s value base for health and safety. It is difficult to do so, but there are times when below the line aspects of health and safety management have to be challenged, to ensure that those making decisions are aware of the implications – personally as well as for the wider organisation. Management of the devolved budget is achieved by delegating responsibility for specific functions or activities to Budget Holders. A budget holder is a member of staff who has been assigned a budget for a particular activity and is accountable to their Senior Manager for it. Budget Holders must manage the budget in a prudent manner. They must: • • • • • •

Ensure that no-one commits or incurs financial transactions that are not within budget, or not on agreed types of expenditure or for purposes other than those for which the funds were allocated Manage the budget in a prudent manner and ensure that value for money is achieved in any purchases Regularly monitor expenditures Provide such financial information for Senior Managers as may be required from time to time Adhere to financial procedures laid down Only approve transactions in accordance with their authorisation limits

Budget Holders must be permanent members of staff and be a person from top management. Cost-benefit analysis in relation to risk control decisions (organisational, design, planning, operational) Step 1-The perspective: The intention of any CBA should be to ensure that the best possible result is obtained for everyone in the organisation, not just particular groups. You need to start by getting the perspective right — think through the issues from many different perspectives. You may need to consult with others in the organisation to do this effectively. For example, you would want to avoid a change in Unit ID1: Know – Workplace Health and Safety Principles (International)

267 Green World Group the production process that would reduce the risk to one group of workers only by increasing the risk to another group. This might occur, for example, if a chemical or physical hazard is removed from one site only to be released at a similar concentration in another. Step 2-Identifying the costs and the benefits: Start by making two lists. The first list is of all the non-trivial costs and savings associated with the intervention. Costs and savings refer to resource uses. Here is a brief example: • • • •

Costs Modification of machinery and/or worksite Training personnel in safe operation of new equipment New safety kits for staff in area Slower cycle time because of new guarding

• • • • • •

Benefits More efficiency from a new machine Improved quality of product from new machine Reduced risk of death Reduced risk of non-fatal injury or ill-health Better relationship with customer because of improved quality and service Avoiding the costs associated with noncompliance (e.g. legal costs, prohibition notices disrupting production)

In an actual situation, these lists may be considerably longer. You will need to talk to others, especially those who will work in the changed areas, those who manage that area and any specialised staff. For example, if you can see that quality and productivity might change, then it will be important to get the views of the Quality Manager and the Operations Manager as well as those who work in the area. Often, preparing two well-developed lists of costs and benefits will be sufficient to make the argument you want. It may not be necessary to go further by quantifying the costs and benefits and then expressing their value in dollars. The best course of action may be plain for all to see. Step 3-Quantifying the costs and benefits: Now each of the costs and benefits you have identified needs to be expressed in the units that are natural to them in your organisation. For example, how much reconstruction of the worksite? How much modification of how much machinery? How many new safety kits? How many health and safety incidents avoided? Some of this will be obvious to you, but other items may need specialist knowledge, so you may need to get advice from other people in your organisation or outside it. Step 4-Valuing in dollars: Now you can work out the value of each of the costs and benefits in dollars. For each: Total value = quantity x price This is usually straightforward where resources have a well-recognised price. It is much more difficult to express the value of lives saved or the value of good or bad health changes in dollars. The UK HSE provides a guide to quantifying injury costs that could be used to quantify some of the benefits of reducing injuries:

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268 Green World Group http://www.hse.gov.uk/businessbenefits/index.htm. However, this method does not tell the whole story. You will also need to account for the uninsured costs of workplace illness and injury (the so-called intangible costs). The injured worker is likely to put a higher value on what they have lost. Step 5-Refining the CBA: To round off your CBA you will need to consider: •

That there will be a point at which increasing the resources for an intervention will make increasingly less difference, thus you will need to find a balance between the investment required and the benefits reaped. • An assessment of how reliable your estimates were in calculating the costs and benefits. Some benefits and costs may occur in the future, in this case, you may need to calculate the net present value of these costs to make your estimates more accurate in today’s money terms. You may also wish to conduct a sensitivity analysis. This analysis is where you replace your base figures with best case and worst case figures to see how this would affect your decision. Step 6-Interpreting the Cost-Benefit Analysis: The results of your CBA can be expressed in either of two ways: The net benefit = total benefit minus total cost OR The benefit-cost ratio = total benefits divided by total costs Each of these two expressions has their proponents and their relevance. The more straightforward is the net benefit: if after adding up all the costs and benefits, the sum is greater than zero, then this is an argument for going ahead with the planned intervention - but keep in mind that there may be another use of these resources which has an even greater net benefit. If, on the other hand, the sum is negative, this suggests that, overall, people will be worse off if the change is implemented – and so, back to the drawing-board. Always remember that CBA is a method for helping decision makers to make better choices, but it can never provide just one final number that automatically makes the choice for you. In making a decision about an intervention you will need to consider the other drivers of change in your organisation and in the wider society, as well as who will influence the decision and how they might do this. There are costs related to the following areas: Organisational cost: This may include costs related to hiring new staff with additional skills, hiring of OHS consultants, providing training to existing staff, Design costs: Related to installation of new engineering control measures e.g. sprinkler system design and installation, change in the layout of area etc. Planning: Time spent in training need analysis, developing new SSoW, implementation of permit to work system, drafting approval and implementation of new SOPs etc.

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269 Green World Group Operational: i.e. costs to maintain the control measure. For example any lubrication and greasing, preventive maintenance of fork lift trucks, refilling of fire extinguishers etc. The internal and external sources of information that should be considered when determining costs The costs head required in CBA comes from a range of internal and external sources including: • • • • • • • • • • • • • • • • • •

Hazard and incident reports together with details of corrective actions First aid records Injury and illness reports including details of days-off work Workers’ compensation claims records and other compensation details Trends in absenteeism or sick leave records Health surveillance and exposure records Equipment maintenance records Minutes of meetings including management meetings, staff and workgroup meetings and OHS committee meetings Enforcement notices and actions Collated information such as trend analyses of incident and injury reports Documentation related to registered plant Performance appraisal records Training records Costs related to re-hiring of staff Staff salary and wages Time spent in risk assessments, SSoW and accident investigations Insurance premium rates Downtime including lost production and sales

While calculating the benefits, always estimate the projected reductions in the costs heads listed above. The necessity of both short and long term budgetary planning when seeking approval for new initiatives, projects and campaigns The basis of CBA is that business will save money when investment is named on OHS aspects. However, this savings is difficult to calculate as benefits of OHS management system appear in the long run. For example, benefits of replacing a broken electric wire in terms of cost and energy saving may be calculated by calculating the energy losses in that wire and combining it with the cost of electricity. This cost then be compared with the cost of replacing the wire. However, this is not always that easy as other aspects associated with such scenarios like increase in staff morale, reduction in downtime etc. are difficult to calculate. Also in many cases, enough data might not be available to support the cost benefit analysis and come up with a concrete figure.

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7.1 Societal factors Economic climate, government policy and initiatives The economic climate of the country and the company may result in downsizing production, changing working-time patterns and/or increasing job demands simply to stay in business may have a negative impact. In some cases, we might expect a reduction in resources allocated to safety and health. Enforcement agencies, labour inspectorates and occupational safety and health services may also have to operate with limited resources. The restructuring and downsizing of companies throws up new challenges in relation to OSH and this becomes the time for companies to be distracted away from OSH concerns. No workplace is immune or free from occupational diseases and accidents. But some are more at risk than others. Micro enterprises in the informal sector – where economic survival is the first priority – tend to lack resources and know-how on OSH management. If they weren’t thinking about OSH issues before the crisis, it’s unlikely they will start doing so now. If more workers take on precarious work and jobs in the informal economy, it stands to reason that there may be more exposures to occupational hazards and risks. It is worth pointing out here that the potential impact on the health of workers goes beyond the victims of downsizing or the remaining workers. It also affects workers’ families and the communities where restructuring occurs. Also different government policies effect how a business manages its operations. The laws set by government authorities can impact the business in either a negative or positive way and can impact the opportunities a business can have. They also impact the processes and practices of the business. Government policies can change from time to time, a good operations manager will be fully aware of all modern policies and will be able to change easily to adapt to new laws. Business owners have responsibilities regarding the safety and health in their workplace. The OH&S policy insures that all employees, visitors and contractors behave properly on their business site or at business related activities. The business needs to ensure that they don’t contribute to or create health or safety problems for the community, their employees and their customers. This will also impact the business as the health risks that are avoided will result in prevention of unnecessary costs and damage to the business and its operations. Industry/business risk profile The risk profile of an organisation informs all aspects of the approach to leading and managing its health and safety risks. Every organisation will have its own risk profile. This is the starting point for determining the greatest health and safety issues for the organisation. In some businesses the risks will be tangible and immediate safety hazards, whereas in other organisations the risks may be health-related and it may be a long time before the illness becomes apparent. A risk profile examines: •

The nature and level of the threats faced by an organisation

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The likelihood of adverse effects occurring The level of disruption and costs associated with each type of risk The effectiveness of controls in place to manage those risks

The outcome of risk profiling will be that the right risks have been identified and prioritised for action, and minor risks will not have been given too much priority. It also informs decisions about what risk controls measures are needed. Globalisation of business Globalization has brought major changes to workplaces worldwide. Privatization, industrial restructuring, new forms of work organization, the break-up of larger state enterprises and the proliferation of small enterprises – to name just a few of these changes – directly affected employment, industrial relations and, consequently, occupational safety and health (OSH) standards. Migrant workers For migrant workers in jobs and sectors with poor psychosocial working conditions, it is plausible that the aspects that cause migrants to be more affected by safety risks, have to do with aspects like lack of safety knowledge, values about work, and communication. Factors that can contribute to these include: • • • • •

Language barriers, e.g. understanding safety regulations Risk perception Knowledge and understanding of local habits and standards Cultural values like obedience, for example some may be more reluctant to challenge authority and raise safety issues Context factors, like eagerness to earn money quickly.

Language problems and cultural differences often cause problems with respect to understanding safety regulations. E.g. next to understanding regulations, they may have different perceptions on the importance of obeying safety regulations and, probably as a result, feel less committed to these regulations. In addition, they are less acquainted by local safety standards. It is also shown that a higher risk involvement may partly be explained by characteristics of the low skilled jobs. Both characteristics of migrants (e.g., language comprehension, knowledge and understanding of local habits and risk perception) as well as their working conditions (e.g. temporary, unskilled and risky work) places the occupational safety of the worker at risk. Language problems and cultural differences often cause problems with respect to understanding safety regulations. E.g. next to understanding regulations, they may have different perceptions on the importance of complying with safety regulations and may be less acquainted by local safety standards. Actually, since migrants predominantly have access to work that is characterized by high job insecurity, poor working conditions, part-time jobs and low wages (work is more often physically demanding and monotonous, working hours are longer, wages lower and migrant workers tend to do more often shift work than native workers), it can be concluded that overall, migrants do seem to be more often involved in occupational accidents.

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272 Green World Group National level of sickness absence Sickness absence has numerous impacts on businesses and other organisations, both direct and indirect. These include: • • • • • •

Reduction in productivity due to less workers Obligations to pay the salary or sick pay of absent workers Having to find, train and pay for temporary cover The possibility of reduced customer satisfaction Reduction in motivation and morale from the other staff Other employees having to bear the extra workload, which has the potential to lead to overwork, stress, and further sickness absence.

Sickness absence has an enormous impact on the productivity of businesses. Not only long term absences (in weeks and months) can be extremely disruptive; but short term absence (in days) can also be difficult to manage, particularly where there is frequent short term sickness. Societal expectations of equality Some people with disabilities can face barriers at work because of how their work situation is organised. In many cases, these barriers can be removed by changing some feature of the workplace environment. Making these changes is commonly referred to as ‘reasonable adjustment’. Employers have a responsibility to make reasonable adjustments to the workplace so that an employee with a disability can do their job effectively. Failure to do so may amount to discrimination. Adjustments should respond to the particular needs or concerns of the worker (including contract workers, trainees, apprentices and business partners). Employers must ensure that these groups of people aren’t seriously disadvantaged when doing their jobs. This includes: • • • • • • •

Making reasonable adjustments during the recruitment process Doing things another way – e.g. allowing someone with social anxiety disorder to have their own desk instead of hot-desking Making physical changes – e.g. installing a ramp for a wheelchair user or an audio-visual fire alarm for a deaf person Letting a disabled person work somewhere else – e.g. on the ground floor for a wheelchair user Changing their equipment – e.g. providing a special keyboard if they have arthritis Allowing employees who become disabled to make a phased return to work – e.g. working flexible hours or part-time Offering employees training opportunities, recreation and refreshment facilities

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7.2 Corporate Social Responsibility (CSR) What is CSR Corporate social responsibility (CSR) is a type of business self-regulation with the aim of being socially accountable. Corporate social responsibility (CSR) refers to strategies that companies put into action as part of corporate governance that are designed to ensure the company’s operations are ethical and beneficial for society. There is no one "right" way companies can practice CSR; many corporate CSR initiatives strive to positively contribute to the public, the economy or the environment. In today's socially conscious environment, employees and customers place a premium on working for and spending their money with businesses that prioritize CSR. A robust CSR program is an opportunity for companies to demonstrate their good corporate citizenship … and protect the company from outsized risk by looking at the whole social and environmental sphere that surrounds the company. It was found that more than 60% of people hope businesses will drive social and environmental change in the absence of government regulation. Nearly 90% of the consumers surveyed said they would purchase a product because a company supported an issue they care about. More importantly, nearly 75% said they would refuse to buy from a company if they learned the company supported an issue contrary to their own beliefs. The four types of CSR Recognizing how important socially responsible efforts are to their customers, employees and stakeholders, many companies focus on a few broad CSR categories, including: Environmental efforts - One primary focus of CSR is the environment. Businesses, regardless of size, have large carbon footprints. Any steps a company can take to reduce its footprint is considered good for both the company and society. Philanthropy - Businesses can practice social responsibility by donating money, products or services to social causes and nonprofits. Larger companies tend to have plentiful resources that can benefit charities and local community programs; however, as a small business, your efforts can make a big difference. If there is a specific charity or program you have in mind, reach out to the organization and ask them about their specific needs and whether a donation of money, time or perhaps your company's products would best help them. Organisation diversity - By treating employees fairly and ethically, companies can demonstrate CSR. This is especially true of businesses that operate across international locations. Volunteering - Participating in local causes or volunteering your time (and your staff's time) in community events says a lot about a company's sincerity. By doing good deeds without expecting anything in return, companies can express their concern (and support) for specific issues and social causes.

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274 Green World Group The benefits for organisations from CSR In a way, corporate social responsibility can be seen as a public relations effort. However, it goes beyond that, as corporate social responsibility can also boost a firm’s competitiveness. The business benefits of corporate social responsibility include the following: • • • • • •

Stronger brand image, recognition, and reputation - CSR adds value to firms by establishing and maintaining a good corporate reputation and/or brand equity. Increased customer loyalty and sales - Customers of a firm that practices CSR feel that they are helping the firm support good causes. Operational cost savings - Investing in operational efficiencies results in operational cost savings as well as reduced environmental impact. Retaining key and talented employees - Employees often stay longer and are more committed to their firm knowing that they are working for a business that practices CSR. Easier access to funding - Many investors are more willing to support a business that practices CSR. Reduced regulatory burden - Strong relationships with regulatory bodies can help to reduce a firm’s regulatory burden.

7.3 Organisation change Why organisational change needs to be effectively managed Many organisations face continuous pressure to change in order to meet their business objectives in a competitive market place. Industry is undergoing increasing change and there has been, and continues to be, pressure for organisational change and staff reductions. Organisational changes such as reducing staffing levels, using contractors or outsourcing, combining departments, or changes to roles & responsibilities are usually not analysed and controlled as thoroughly as plant or process changes. Such changes can, if inadequately conceived or implemented, have a detrimental effect on safety. Even subtle changes to organisations can have significant impacts on the management of hazards. Rapid or continuous change can also have a detrimental effect on health and poorly managed organisational change can increase the workforce's experience of stress. The impacts of organisational change include: • • • • • • • •

changes of responsibility without adequate arrangements to ensure capability or competence; reduction in supervision; team-working deficiencies; conflicting priorities; loss of key skills or knowledge; overwork leading to inefficiency and lack of appropriate control; lack of clarity about, or complete loss of, important functions and responsibilities; change of priority away from safety related tasks;

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275 Green World Group • • •

reduction in available resources for maintenance; inadequate staffing for handling upsets, crises, or peak workloads; reduction in morale, motivation and organisational “citizenship behaviours”.

The above impacts of change will have consequences for any safety-critical or complex organisation. Use of the Kubler-Ross Change Curve to manage the change process The Kubler-Ross Change Curve which is also known as the 5 stages of grief is a model consisting of the various levels or stages of emotions which are experienced by a person who is soon going to approach death or is a survivor of an intimate death. The 5 stages included in this model are denial, anger, bargaining, depression and acceptance. This model was introduced by and is named after Elisabeth Kubler-Ross in a book called ‘Death and Dying’ which came out in the year 1969. This book, as well as the model, was inspired by her association and work with patients who were terminally ill. The psychiatrist Kubler-Ross got inclined towards this subject because of lack of research and information on the subject of death and experience of dying. She began her research by analyzing and evaluating those who were faced with death, but the examination took the form of a series of seminars and then patient interviews, etc. later on. After the book ‘Death and Dying’ was published, the concept or the model was widely accepted, and it was found that it was valid in a majority of cases and situations relating to change. This model and her research also improved the overall understanding as well as the procedures followed in medical care. The 5 stages, according to her are transferable to different ways and degrees and may vary from person to person. Besides those who are faced by intimate death, this model also holds true in the case of others who may be faced by less serious physical conditions or trauma. Some of these situations or cases include injury, disability, work issues, relationship problems and financial problems, etc. Relevance of Kubler-Ross Change Curve in Business: The Kubler-Ross Model also holds true when it comes to business, work or employment. Every organization needs to bring about changes in its management and policies. But besides the improvement of systems, there must be a change in the people or employees as well. If even in bringing about several changes in the systems and processes, the employees of your company persist in their old ways, and then the thousands of dollars invested will go to waste. This is why it is important for the employees too to adapt and change accordingly. Only when the workforce of an organization makes personal changes, or transitions can the company move ahead and reap the benefits. Every organization needs to support the employees in the process of making transitions or changes. These individual transformations can be traumatic and may involve a lot of power loss and prestige issues. The easier it is for the employees to move along on their journey, the easier will it be for the organization to move towards success. Thus, this impacts the success rate and overall profits experienced by the company. The Change Curve in business is thus a powerful model that can help one understand and deal with changes and personal transitions. It helps to fathom how one will react to change and how to provide support during the process of change

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276 Green World Group It is essential to understand that we do not move along the stages in a linear direction or step by step. A person tends to move into stages in a random order and may sometimes even return back to a previous stage after a certain point in time. Each stage can last for a different time period, and it is possible for a person to get stuck in a particular stage and not move on from there. The following are brief descriptions of each of the 5 stages of grief: Denial: The Stage of shock or denial is usually the first stage in the Kubler-Ross Model and is mostly short-lived. This is a phase during which one puts on a temporary defense mechanism and takes time to process certain disturbing news or reality. One may not want to believe what is happening and that it is happening to him/her. It can bring about a dip in productivity and the ability to think and act. After the initial shock subsides, one may experience denial and may remain focused on the past. Some people tend to remain in the state of denial for a long time and may lose touch with reality. At Stage 1 – This is the stage at which the employees or employee may be in a position of shock or denial. He or she may not be able to digest the fact that he/she has to undergo change and adapt to something new. They may need time to adjust to the changes and for a long time, they may deny that they need any. Here, as a manager or employer, the role should be to help employees understand why this is happening and how it can be helpful. This stage demands communication so that employees can have full knowledge and can have their questions answered. Employers must make it a point to avoid overwhelming the employees with a lot of information in one go and give it slowly and gradually. Anger: When the realization finally hits, and one understands the gravity of the situation, he/she may become angry and may look for someone to blame. Anger can be manifested or expressed in many ways. While some take out the anger on themselves, others may direct it towards others around them. While some may be angry at life in general, others may blame the economy. One always tends to remain irritable, frustrated and short tempered during this stage. At stage 2 – When finally the gravity of the situation settles in, and reality becomes clear, employees or workers may begin to feel fear from what lies ahead, and this may also turn into anger and resentment. They have been in a comfort zone for so long and knowing that they need to learn, change and adapt may make them angry. This stage has to be managed very sensibly by managements and organizations because some employees tend to vent their anger a little too harshly. This could create chaos and to avoid it, careful planning must be done in advance. Clear communication and support should still be the focus for organizations at this level as well. Organizations must understand that this is just a natural reaction and with time, it shall pass away and make way for acceptance. Bargaining: When the stage of anger passes away, one may start thinking about ways to postpone the inevitable and try to find out the best thing left in the situation. Those who are not faced by death but by another trauma

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277 Green World Group may try to negotiate in the situation and come to a point of compromise. Bargaining may help to come to a sustainable solution and might bring some relief to those who are moving close to what they wish to avoid altogether. The search for a different outcome or a less traumatic one may remain on during this stage. At stage 3 – When employees finally understand the change and realize how they must adapt to new situations and circ*mstances, they may try to find the best possible scenario for them to fit in and adapt to. They may try to bargain with the management so that not a lot is compromised. They may try to learn only what they think is important but as an employer or part of management, your role should be to ensure that everyone gets the best of training so that the change incorporated can run successfully. The training stage may take time and for employees, figuring out their best options for a comfortable tenure ahead will be the focus. A company cannot rush employees to learn quickly or adapt to changes fast. It cannot expect 100% productivity during this phase. Depression: Depression is a stage in which the person tends to feel sadness, fear, regret, guilt and other negative emotions. He/she may have completely given up by now and may now reach a dead end from where the road only seems dark. One may display signs or indifference, reclusiveness, pushing others away and zero excitement towards anything in life. This may seem like a lowest point in life with no way ahead. Some common signs of depression include sadness, low energy, feeling demotivated, losing trust in god, etc. At Stage 4 – Learning phase may not always be a very happy and comfortable zone for most employees of a workplace. This phase could result in low energies at the workplace due to low morale and excitement. It is important for the management to understand that this phase is not easy for the workforce as well. Hence, the more exciting the training can be made, the better would it be for the employees to move ahead and give their best. Employees may have realized by now that there is no way out of the situation, and this may prove difficult for some of them to handle. Acceptance: When people realize that fighting the change that is coming into their life is not going to make the grief go away, they resign to the situation and accept it completely. The resigned attitude may not be a happy space but is one in which the person may stop resisting change and move ahead with it. While some people totally resign and go into a deep state of low energy, others may try to make the most of the time left on their hand and explore new opportunities. One has come to a point of peace and is prepared to take one whatever has to follow next. At Stage 5 – This is the stage that managers or workplaces wait for after introducing a new change into an enterprise. People finally begin to embrace the change, accept the situation and start building new hopes and aspirations. They realize and understand the importance of the change and resign towards it. While some may resign because of lack of any other option, others may resign to the reality in a positive way. The managers of the workplace will finally begin to see the benefits of the hard work put in by them so

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278 Green World Group far. The team is showing improvements now, and the overall productivity begins to improve. The road may have been rocky, but it is now time to celebrate, move towards a brighter future and expect more profits around the corner. Dead Car Battery example One of the best examples of the Kubler-Ross Change Curve is the Dead Car Battery example. The following given example clearly demonstrates the transition process from one stage to another. It’s a chilly winter morning, and it is dark outdoors. There is a thin layer of frost on the ground but you are late for work and hence have to rush out to the car parked outside. As you place the key in the ignition and turn the car on, you realize that the battery is dead. What follows is a clear demonstration of the Kubler-Ross transition stages: •

• •

Shock and denial – Your first reaction is of absolute shock and denial. You cannot believe this happening to you when you are already running late, and you thus try to start the car again and again. Anger – Now that you realize the car cannot be started, you begin to feel angry and very mad at the situation. Bargaining – Even on knowing it won’t help, you start asking the car to start, just for once. You promise it in your mind that you will keep it maintained and get the battery charged as soon as possible. Depression – All the negative thoughts start rushing to your mind. You begin to feel depressed, sad and hopeless. You fear your job will be taken away and see now way out of the situation. Acceptance – Now you figure out what you should do next. You take a cab and decide to deal with the situation later on.

Key principles of managing organisational change • The key issue is that the direct and indirect effects of a proposed change on the control of hazards should be identified and assessed. • Due to the greater potential consequences of an accident, major accident hazard sites should aim for higher reliability in their planning and decision making. • Avoid too many simultaneous changes which may result in inadequate attention to some or all. Phase changes whenever possible. • Organisational change should be planned in a thorough, systematic, and realistic way; similar to the processes for managing plant change. • Two aspects of the change need risk assessment: risks and opportunities resulting from the change (where you want to get to) and risks arising from the process of change (how you get there). • Consult with staff (including contractors) before, during and after the change - don't miss serious issues hidden among all the natural concerns. • Ensure that all key tasks and responsibilities are identified and successfully transferred to the new organisation.

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279 Green World Group • • •

Provide training and experienced support/supervision for staff with new or changed roles. Consider reviews of plans and assessments by independent internal or external experts - be prepared to challenge. Remember that change can happen even to apparently static organisations e.g. the effects of an ageing workforce.

8.1 Contractors Supply chains Selection of contractors In today's global and national economies, businesses increasingly rely on the outsourcing of parts of their activities and processes. Companies function and compete thus more and more on a supply-chain level, in specific networks with their suppliers and service providers. This outsourcing trend and growing importance of supply chains has its implications for the working conditions and health and safety of workers of supplier and contracting companies. It’s absolutely vital to select competent contractors, regardless of the size or urgency of the project. Workplace health and safety requirements don’t start once the contractor is on site; they need to be in place through the whole engagement process. When selecting contractors, you should consider the following: • • • • • • • • • •

Level of industry/business-relevant experience Familiarity with the hazards of your industry Previous health and safety performance records Safety policies, risk assessments and training records Insurance cover – Professional Indemnity, Public Liability, Workers Compensation Communication methods before and during the work Subcontractors and their competence Any enforcement actions that have been taken Supervision requirements Notifications process for problems and incidents

The above is not a definitive list of every consideration for contractor selection, but certainly a starting point that covers your bases. There are two main supply chain networks or relationships between companies and the members of their supply chain: the primary network (a company and its suppliers of certain goods and materials) and the secondary network (a company and its contractors and subcontractors providing specific services such as maintenance, construction, cleaning or catering activities. Additional arrangements when selecting a specialist contractor, e.g. Occupational hygienists •

Evidence of relevant competency, i.e., qualifications, member of a trade or professional body at a relevant level that will include completion of continuing professional development.

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280 Green World Group • • •

Confirmation to relevant code(s) of ethics and/or demonstration of independence, impartiality and integrity Ask contractor to demonstrate why they are competent to do the work Evidence that good practice/industry standards are followed

Procedures in place for ensuring co-ordination between organisation and contractor of • • • • • • • • •

Information sharing, e.g. site rules Hazard reporting Control of access to hazardous areas Emergency procedures Safe systems of work (including permits-to-work) The assessment of exposure to hazardous substances Sign in/ sign out Active monitoring Assessing number of incidents and special arrangements.

Managing health and safety within supply chains Many OSH challenges require actions well beyond the boundaries of a single company. This is because many companies work in supply chains. A supply chain is most often ruled or governed by one company or organisation, the so called ‘focal’ company. The focal company forms the centre of the supply chain. It is provided with goods/materials from suppliers and concludes contracts with companies who act as service or production providers. An example is a construction or maintenance project which frequently involves a prime contractor who makes use of sub-contractors (contracting chain). These sub-contractors, in turn, can engage other subcontractors resulting in a complex chain of companies and responsibilities in order to work safely. Another example is the identification of substances usage throughout the supply chain, or the presence of substances from the Candidate List in products and articles as part of REACH (Registration, Evaluation, Authorization and restriction of Chemicals). The aforementioned examples show that a single company can take proactive action, but would not be able to ‘solve’ the OSH problem(s) alone. Two main types of supply chain networks of organisations have to be considered in terms of OSH •

•

Companies and their suppliers (supply chain) - the primary network: Within this network there is primarily a flow of goods and materials. Companies are linked through information, knowledge, materials and capital flows. A chain suggests that companies are linked in a straight line. This is often seen as a primary network of companies, in which production, distribution and sales of goods occur. A focal company can use a diversity of instruments to influence the members of its supply chain to apply sustainable OSH practices, such as economic pressure or incentives, or policies to deal with suppliers, retailers and purchasers. This network is further explored in chapter 3 of this report. Companies linked together by contracting bonds (contracting chain) - the secondary or supporting network: The secondary network comprises a flow of people and their services (contracting and

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281 Green World Group sub-contracting). Companies are linked through information, knowledge, people and capital flows. It is getting more and more common for construction work, maintenance projects and other work (ICT, cleaning, catering) to be performed by contractors. Often this work is of a sporadic nature which implies that employees are needed only temporarily. Specialized companies and their employees are hired to perform the work better, faster and usually cheaper. Not only do employers hire contractors, but these contractors can also hire sub-contractors and a chain of companies emerges. The work takes place mostly at the premises of the focal company/organisation. Both networks are affected by stakeholders such as the government, non-governmental organisations (NGOs) and customers. The government is an important stakeholder which can bring in regulations, economic incentives and procurement and recognition policies to ensure primary and secondary networks apply sustainable OSH practices. As part of the primary and secondary networks, and as a response to pressures and incentives, more and more focal companies are moving to a strategic OSH policy, starting internally (internal policy, operations and culture) and extending it to the whole chain of suppliers, clients, subcontractors and stakeholders. Definitions and general aspects of OSH in the supply chain A supplier is a party that supplies goods or services. A supplier may be distinguished from a contractor or subcontractor, who commonly adds specialized input to deliverables. The terms ‘supply chain’ has been defined by Handfield and Ernest (1999) as encompassing ‘all activities associated with the flow and transformation of goods from raw materials stage (extraction), through to the end user, as well as the associated information flows. Material and information flow both up and down the supply chain.’ They define Supply chain management (SCM) as ‘the integration of Supply chain cycle these activities through improved supply chain relationships to achieve a sustainable competitive advantage’. Walters (2009) addresses the increased complexity of supply chains: ‘the supply covers simple transactions between buyers and suppliers as well as complex arrangements in which there may be multiple links in supply chains’ (p. 49). For example, a paint supply chain consists of substances manufacturers, paint producers or formulators, and ultimately, application of the paint. These are the links of the supply chain. It is quite possible that this paint supply chain consists of more links, such as the distributor of raw materials to the paint industry. See Figure 1 for the relationships between the companies in the supply chain. Current business and organisational practices have led to the increased importance of supply chains to business strategy as well as within national and global economies (Walters,

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282 Green World Group 2009). Increasing globalization and continued outsourcing cause companies to function and compete on a supply chain level. Hence, focal companies of supply chains might be held responsible for the environmental and social performance of their suppliers. Focal companies, according to Seuring and Müller (2008) are those companies that usually: (1) rule or govern the supply chain; (2) provide the direct contact to the customer; and (3) design the product or service offered. This is especially the case for brand-owning companies, as they are likely to come under pressure from stakeholders, such as NGOs (Carter and Jennings, 2002). For example, focal companies such as C&A and H&M were held responsible for occupational health issues at their suppliers in India (Graafland, 2002, Volkskrant, 2010) and Nokia was criticised about the labour conditions in its factories in Asia (Wilde and de Haan, 2006). Generally inhuman working conditions (Graafland, 2002, Preuss, 2001), contaminations of the (local) environment (Seuring, 2001) or use of hazardous substances (Wilde and de Haan, 2006) were frequently mentioned as problems. Therefore, focal companies are taking proactive actions to promote better environmental and social conditions, including OSH performance at their suppliers. Focal Company: This section gives an overview, analysis, conclusions and recommendations on how OSH can be promoted through the above-mentioned supply chain networks. The review examines and discusses the drivers and instruments for so-called ‘focal’ companies to promote OSH practices in those networks. Furthermore, the governmental influence (national and EU) on both networks is investigated. The second network, which describes the relationship between the company and its (sub-) contractors, appeared to be a critical issue for. Therefore, this report does not aim to be exhaustive in terms of OSH problems and tools, but to give a general overview of the relationships between the actors in the different networks and the framework in which OSH is promoted. Why modern slavery must be managed within supply chains Modern slavery is everywhere. From the construction of FIFA World Cup stadiums in Qatar to the cotton farms of Uzbekistan, from cattle ranches in Paraguay to fisheries in Thailand and the Philippines to agriculture in Italy, from sweatshops in Brazil and Argentina to berry pickers in Sweden. The production chains of clothes, food and services consumed globally are tainted with forced labor. The world is three times richer in terms of global GDP than it was 30 years ago yet we have historic levels of inequality. Eighty percent of the world’s people say that the minimum wage is not enough to live on, work is more insecure with a predominance of short-term contracts or other non-standard forms of employment and both informal work and modern slavery are not only growing but increasingly prevalent in the supply chains of large corporations. In the global private economy, the ILO calculates forced labor generates $150 billion each year but it could be even higher. In all countries, unscrupulous employers and recruiters are increasingly exploiting gaps in

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283 Green World Group international labor and migration law and enforcement. After drugs and arms, human trafficking is now the world’s third biggest crime business. Cleaning it up is possible. No corporation or investor would blindly sign a contract, enter into a merger or risk large sums of capital without doing due diligence. Assessing risk is a corner stone of successful business practice and corporations expect the rule of law to protect their interests. Yet when it comes to the very people companies rely on to produce their profits, few respect the rights of or take responsibility for decent work for workers. Up to 94 percent of the global workforce of 50 major corporations is a hidden workforce because responsibility has been simply outsourced many times over. Due diligence and transparency are the key to ending modern slavery in supply chains. Where corporations take responsibility for due diligence and consequently make their supply chains transparent then it is possible to establish grievance procedures that can facilitate remedy of any violations of rights at work from forced labor to paying below the minimum wage. The Business Human Rights Resource Centre report, Modern Slavery in Company Operations and Supply Chains: Mandatory Transparency, Mandatory Due Diligence, and Public Procurement Due Diligence, commissioned by the International Trade Union Confederation with support from Friedrich Ebert Stiftung gives an insight into the growing body of law and practice from international standards to emerging national legislation. The critical ingredient to end slavery is political will. G20 Labor Ministers accept that the global economy cannot be built on oppression and rights violations, now we need government leaders to stare down corporate greed. Everybody’s sons and daughters must be afforded the same rights, wages and decent work we want for our own.

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HEAD OFFICE INDIA Green World Management Consultants & Training Institute 249/2, P Block MMDA Main Road, Arumbakkam, Chennai – 600 106 Tel: 044 48561333 Email: [emailprotected]

CORPORATE OFFICE UAE Green World Safety and Security Consultancies LLC Suite # 102 First Floor, Sapphire Tower, Near Dnata, Deira, Dubai Po Box: 83127 Tel: +971-4-2698807 Email: [emailprotected]

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Unit ID1: Know – Workplace Health and Safety Principles (International)

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FAQs

What is the first thing an employer needs to do according to the health and safety at Work Act? ›

Employers must find and correct safety and health problems. OSHA further requires that employers have to try to eliminate or reduce hazards first by making changes in working conditions rather than just relying on masks, gloves, ear plugs or other types of personal protective equipment (PPE).

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What three general components must be included as a part of a workplace safety program? ›

OSHA believes a safety and health program must have the three basic elements of management leadership, worker participation, and a systematic approach to finding and fixing hazards to be effective.

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What is OSHA your right to know? ›

Workers have the right to know and understand the hazardous properties of the chemicals in the workplace to which they may be exposed. They also have the right to all pertinent information that will enable them to work with or around such chemicals in a safe manner.

Do you have to answer OSHA questions? ›

If you decide to voluntarily speak with the OSHA inspector, you must answer his or her questions based on your own personal knowledge and to the best of your recollection. Your personal knowledge is what you saw with your eyes, heard with your ears, etc.

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What is the first thing to do to ensure safety in the workplace? ›

The best way to keep yourself and others safe is to identify the hazards in your workplace and be aware of your surroundings. The more familiar you are with your tasks and workplace, the more aware you'll be of the potential hazards.

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What is the first step in resolving safety and health issues or concerns in the workplace? ›

Conduct initial and periodic workplace inspections of the workplace to identify new or recurring hazards. Investigate injuries, illnesses, incidents, and close calls/near misses to determine the underlying hazards, their causes, and safety and health program shortcomings.

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What is the first step in employment? ›

15 Steps of the Hiring Process

Identify the hiring need. The hiring process begins by identifying a need within your organization. ...
Devise A Recruitment Plan. ...
Write a job description. ...
Advertise the Position. ...
Recruit the Position. ...
Review Applications. ...
Phone Interview/Initial Screening. ...
Interviews.

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What is the first priority of OSHA? ›

OSHA's top priority for inspection is an imminent danger-a situation where workers face an immediate risk of death or serious physical harm. Second priority goes to any fatality or catastrophe-an accident that requires hospitalization of three or more workers.

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Unit ID1 Know - Workplace Health and Safety Principles - PDFCOFFEE.COM (2024)

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What is the first thing an employer needs to do according to the health and safety at Work Act? ›

Do you have to answer OSHA questions? ›

References