Element 3: Managing risk: understanding people and processes

3.1 Health and safety culture

Safety culture is the shared attitudes, values and habits that decide how things are really done when nobody is watching. It strongly influences performance: a good culture means rules are followed because people believe in them, not only because they are enforced.

Indicators of culture include: incident numbers, absenteeism and sickness rates, worker turnover, how well rules and procedures are followed, and complaints about working conditions. Peers have a strong influence, because new workers copy what experienced colleagues actually do.

Key terms

• Safety culture: The shared attitudes, values and behaviour about health and safety in an organisation.

Study tip: Culture is usually judged from several indicators together, never from one.

Practice questions for 3.1

3.2 Improving health and safety culture

Culture improves when: management is visibly committed; leaders take part (for example in inspections) and use disciplinary procedures fairly and consistently; workers are competent, which means they are trained; and communication is good.

Communication methods have strengths and limits. Verbal communication (talks, briefings) is quick and allows questions, but is easily forgotten and not recorded. Written communication (notices, procedures) is a permanent record but may not be read. Graphic communication (signs, diagrams) is understood quickly and across languages, but is limited in detail.

Cooperation and consultation with workers and contractors bring better ideas, a feeling of ownership and early warning of problems. Health and safety committees are one way to do this, as are asking for worker feedback during inspections.

Study tip: Give a benefit and a limitation for each communication method you mention.

Practice questions for 3.2

3.3 How human factors influence behaviour

Human factors are the things that affect how people behave at work. They are grouped into three kinds, and they interact.

Organisational factors: culture, leadership, resources, work patterns (for example long shifts), and communications.

Job factors: the task, the workload, the environment, displays and controls, and procedures (are they clear and practical?).

Individual factors: competence, skills, personality, attitude and risk perception.

The three kinds are linked. A tired worker (individual) on a long shift (organisational) doing a repetitive task with poorly marked controls (job) is far more likely to make a mistake.

Key terms

• Human factors: Organisational, job and individual influences on how people behave at work.

Study tip: Use the three headings to organise any answer on why an incident happened.

Practice questions for 3.3

3.4 Assessing risk

A hazard is anything with the potential to cause harm. Risk is the chance that harm will occur, combined with how serious it would be. Risk profiling is a high-level look at the activities and areas of an organisation to rank them by risk.

A risk assessment is a more detailed study of specific hazards. It must be suitable and sufficient (see HSG65): it should identify the significant hazards and risks and deal with them in a way that fits the level of risk, not an excessive amount of detail.

The five step approach:

• Identify the hazards, using task analysis, legislation, manufacturers' information, incident data and guidance, and identify who is at risk (workers, contractors, visitors and the public).
• Assess the risk, taking account of existing controls, using the likelihood of harm and the probable severity, considering acute and chronic effects, and give a risk rating. Decide whether more needs to be done.
• Control the risks, using the principles in ILO-OSH 2001 section 3.10.1 and the general hierarchy of control in ISO 45001 clause 8.1.2, prioritised by risk, and considering residual risk and acceptable levels.
• Record the findings.
• Review the controls.

ISO 45001's hierarchy of control, from most to least effective:

1. Eliminate the hazard.
2. Substitute with something less hazardous.
3. Use engineering controls and reorganise the work.
4. Use administrative controls (including training).
5. Use personal protective equipment (PPE) last.

Some risks need their own specific assessment method: fire, display screen equipment, manual handling, hazardous substances and noise. Special cases are young people, expectant and nursing mothers, disabled workers and lone workers.

Key terms

• Risk: The likelihood of harm combined with the severity of the harm.
• Residual risk: The risk that remains after controls are applied.
• Suitable and sufficient: Detailed enough to deal with the significant risks, and no more than that.

Study tip: In an exam or in the GIC2 practical, say what the existing controls are before you decide what further controls are needed.

Practice questions for 3.4

3.5 Management of change

Change creates new hazards. Typical changes are construction works, a new process, new equipment, and new working practices. Their impact can be to introduce hazards, make existing controls ineffective, or confuse people used to the old way.

To manage the impact: communicate and cooperate with those affected; carry out a risk assessment before the change; appoint competent people; separate the work area from others (segregation); amend emergency procedures; and provide welfare facilities for the people involved.

Review the change during and after it, to check that the controls worked and nothing unexpected happened.

Study tip: A change that looks small, such as moving a machine, can block an escape route.

Practice questions for 3.5

3.6 Safe systems of work for general work activities

A safe system of work (SSoW) is a formal procedure that comes from looking at a task, identifying the hazards and setting out the safe way to do the task. Workers should be involved in developing it because they know how the job is really done.

It should be written down so that it is consistent, can be used for training and shows what was agreed.

Controls are of three types:

• Technical (engineering, such as guards).
• Procedural (such as inspections and permits).
• Behavioural (such as training and supervision).

To develop an SSoW:

1. Analyse the task, identify the hazards and assess the risks.
2. Introduce controls and formulate procedures.
3. Instruct and train people in how to use the system.
4. Monitor it to check that it is followed and still works.

Key terms

• Safe system of work: A formal procedure that results from a systematic examination of a task.

Study tip: Remember that a procedure that is not monitored will slowly be forgotten.

Practice questions for 3.6

3.7 Permit to work systems

A permit to work is a formal written record that authorises specific people to carry out specific work, at a specific place and time, and which lists the precautions that must be taken. It is used for high risk work where simple procedures are not enough and where several parties must coordinate.

A permit works like this:

• The work is assessed
• A competent person issues the permit once the precautions are in place
• The people doing the work accept the permit and follow its conditions
• The permit is displayed or carried
• At the end the work is signed off, the area is made safe, and the permit is cancelled

Use a permit for: hot work, work on non-live (isolated) electrical systems, machinery maintenance, confined spaces and work at height.

Key terms

• Permit to work: A formal system that controls high risk work with written authority and conditions.

Study tip: A permit is not just paperwork. The precautions have to be physically in place before work starts.

Practice questions for 3.7

3.8 Emergency procedures

Emergencies such as fire, serious injury, chemical release or structural failure need planned responses. A procedure sets out what to do, who does it, how people are warned, where they go and how the emergency services are called. It must be developed in advance because people react badly to unexpected events.

People need training so that they know their role, and procedures must be tested, for example by drills, so that weaknesses are found and corrected before a real emergency.

When deciding on first aid, consider shift patterns, the location of the site, the activities carried out, the number of workers, and how far the workplace is from hospitals and emergency services.

Study tip: First aid needs depend on the hazards and the distance to help, not only on the number of people.

Practice questions for 3.8