NEROSH Intemational Diploma Unit 1A — Revision Notes NEBOSH INTERNATIONAL DIPLOMA IN OCCUPATIONAL HEALTH AND SAFETY UNIT IA, REVISION NOTES CONTENTS LIST OF TOPICS INTRODUCTION SYLLABUS EXAMINATION STRATEGY LAST MINUTE PRACTICE ELEMENT A1: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT REASONS FOR MANAGING HEALTH AND SAFETY INTRODUCTION TO HEALTH AND SAFETY MANAGEMENT HEALTH AND SAFETY POLICIES ROLE AND RESPONSIBILITIES OF THE HEALTH AND SAFETY PRACTITIONER/COMPETENT PERSON ELEMENT A2: LOSS CAUSATION AND INCIDENT INVESTIGATION, LOSS CAUSATION AND ANALYSIS REPORTING AND RECORDING OF LOSS EVENTS AND NEAR-MISSES INVESTIGATION OF LOSS EVENTS ELEMENT A3: IDENTIFYING HAZARDS, ASSESSING AND EVALUATING RISKS. HAZARD IDENTIFICATION SOURCES OF INFORMATION EVALUATION OF RISK FAILURE TRACING METHODS ELEMENT Ad: RISK CONTROL AND EMERGENCY PLANNING ‘SYSTEMS FAILURES AND RELIABILITY RISK CONTROL SYSTEMS AND METHODS COST-BENEFIT ANALYSIS WORKPLACE PRECAUTIONS SAFE SYSTEMS OF WORK AND PERMITS-TO-WORK EMERGENCY PLANNING ELEMENT AS: ORGANISATIONAL FACTORS INTERNAL AND EXTERNAL INFLUENCES TYPES OF ORGANISATIONS ORGANISATIONS AND HEALTH AND SAFETY MANAGEMENT THIRD PARTY CONTROL CONSULTATION WITH EMPLOYEES PAGE Foumewss PROVISION OF INFORMATION AND DEVELOPMENT OF INFORMATION SYSTEMS68 DESCRIPTION OF HEALTH AND SAFETY CULTURE AND CLIMATE DESCRIPTION OF FACTORS AFFECTING HEALTH AND SAFETY CULTURE © RRC Training 70 BELEMENT A6: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT HUMAN BEHAVIOUR PERCEPTION OF RISK MAJOR DISASTERS IMPROVING INDIVIDUAL HUMAN RELIABILITY IN THE WORKPLACE ORGANISATIONAL FACTORS JOB FACTORS ELEMENT A7: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT ‘COMPARATIVE GOVERNMENTAL AND SOCIO-LEGAL REGULATORY MODELS ROLE AND LIMITATIONS OF THE INTERNATIONAL LABOUR ORGANISATION INA saxegesss GLOBAL HEALTH AND SAFETY SETTING 101 ‘THE ROLE OF NON-GOVERNMENTAL BODIES AND SELF-REGULATION 106 ELEMENT A8: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT — 112 PURPOSE OF PERFORMANCE MEASUREMENT 112 MONITORING SYSTEMS 115 MONITORING AND MEASUREMENT TECHNIQUES 116 PRESENTING AND COMMUNICATING FINDINGS 9 © RRC TrainingNEROSH Intemational Diploma Unit 1A — Revision Notes INTRODUCTION ‘The RRC study material provides a comprehensive set of reference notes, which amply covers the requirements of the NEBOSH International Diploma in Occupational Health and Safety. However, its strength is also its weakness in that there is too much material to retain in detail. Consequently your examination success strategy must be based on a revision programme that makes best use of this material but Is focused on the requirements of the NEBOSH examinations. Many students simply rely on either trying to learn all the notes, which is almost impossible, or concentrating on likely topics, which seriously reduces your examination question choice, and therefore your chances of passing. This revision guide has been prepared with the examinations in mind. It covers key points within the syllabus. Important: This revision book is NOT intended to replace a proper course of learning. The notes below give you guidance on using the syllabus as your best revision tool and also suggest tactics for maximising mark attainment from examination questions, There is no substitute for hard work, and the more study time you can spare the better, but the secret is to use this time effectively, 2s you will see below. SYLLABUS Your secret to success is the Guide to the NEBOSH International Diploma in Occupational Health and Safety. The Guide sets out the structure of the Diploma (examinations and the assignment) and contains the syllabus. All the examination questions are taken from the syllabus and therefore, as you become more familiar with the syllabus, you will be less likely to be 'thrown' by a surprise question. Remember, however, that you will be expected to apply your knowledge to both familiar and unfamiliar situations and to be able to undertake critical analysis and evaluation of information presented in both quantitative and qualitative forms. NEBOSH exam questions are set from the syllabus, not from the RRC notes, therefore an important revision technique Is to map your notes against the syllabus. You will find that in general your RRC notes follow the syllabus quite closely, but this exercise is important to help you see ‘the big picture’ or ‘the helicopter view’, which you need in order to familiarise yourself with © RRC Training 1NEBOSH International Diploma Unit 1A ~ Revision Notes the whole of the course material. It is all too easy, when studying one specific section of an element of the RRC text, to lose sight of where the material fits into the grand scheme of things, what practical use itis, or how the Health and Safety Practitioner might use it in real life. Constant reference back to the syllabus will put that topic in perspective and help you to see how it relates to the field of health and safety generally. It will also help you to cross-refer to other related topics, which you may have to do in more complex examination questions. To gain this overview you must at least know the elements that make up each of the three main units and how they relate to the RRC material, Note that each element in the NEBOSH syllabus (¢.g. Element 1: Principles of Health and Safety Management) contains the following two important sections: = Learning outcomes, which specify what you should be able to explain, appreciate, carry out, assess, etc. after having completed the element. = Content, which gives you the topics that you should be fully familiar with, By using these sections of the syllabus you can test whether you possess the necessary skills, knowledge and understanding relevant to that element or whether you need to do more. {An effective revision technique is to look at the syllabus and randomly select a section within it. Now write down what you know about that topic. Initially this might be very little, in which case go back to your RRC notes and summarise the key issues that you need to know. Make a note of this topic and return to it a few weeks later and see how much more you can now remember. If you practise this regularly you will eventually cover all of the syllabus and in the process find that you understand and retain the material much more effectively. This is ‘active revision’ where you are testing your memory to see what you have learnt. It is far more effective than ‘passive revision’ where you simply read the RRC notes and usually switch off after 30 seconds with little recall of the material. You will find it easier if you ensure that you understand the topic first, then fill in the knowledge requirements (the detail) later. Ask yourself searching questions on each topic such as: “What use is this?", "How would the Health and Safety Practitioner apply this in real life, "What is the point of this topic?*, until you feel that you thoroughly understand why the Health 2 © RRC TrainingNEROSH Intemational Diploma Unit 1A — Revision Notes and Safety Practitioner needs to know this area. Once you have this level of understanding the knowledge (detail) will be much easier to retain, and in some cases you may simply be able to derive it from your own workplace experiences. Your revision aim is to achieve this comprehensive overview of the syllabus. Once you have this then you are in a position to at least say something about each of the topic areas and thus tackle any question set on the syllabus content. EXAMINATION STRATEGY ‘The examination process may seem complex but success simply depends on. averaging around half marks or more for each question. Marks are awarded for setting down ideas that are relevant to the requirements of the question, and convincing the examiner that you understand what you are talking about. If you have the knowledge and understanding derived from study of the syllabus as set out above, then this should not be a problem. ‘An important examination skill Is carefully reading and analysing the question so that you are clear about what is required to answer it. The more you can study past examination questions, the more familiar you will become with the way they tend to be phrased and ‘the shape! of the answer required. ‘A common failing in answering questions is to go into too much detail on specific topics and fail to address the wider issues. If you only deal with, half of the relevant issues you can only achieve half of the marks. Try to give as broad an answer as you can, without stepping outside the subject matter of the question altogether. Ensure that you explain each issue in order to convince the examiner that you have this all-important understanding. Giving relevant workplace examples is a good way of doing this. LAST MINUTE PRACTICE Finally, a useful way to combine syllabus study with examination practice is to attempt your own examination questions. By adding a question word, such as “explain” or "describe", in front of the syllabus topic areas you can produce a whole range of questions similar to many of those used in past papers. This is excellent examination practice because it serves as a © RRC Training 2NEROSH Intemational Diploma Unit 1A — Revision Notes and Safety Practitioner needs to know this area. Once you have this level of understanding the knowledge (detail) will be much easier to retain, and in some cases you may simply be able to derive it from your own workplace experiences. Your revision aim is to achieve this comprehensive overview of the syllabus. Once you have this then you are in a position to at least say something about each of the topic areas and thus tackle any question set on the syllabus content. EXAMINATION STRATEGY ‘The examination process may seem complex but success simply depends on. averaging around half marks or more for each question. Marks are awarded for setting down ideas that are relevant to the requirements of the question, and convincing the examiner that you understand what you are talking about. If you have the knowledge and understanding derived from study of the syllabus as set out above, then this should not be a problem. ‘An important examination skill Is carefully reading and analysing the question so that you are clear about what is required to answer it. The more you can study past examination questions, the more familiar you will become with the way they tend to be phrased and ‘the shape! of the answer required. ‘A common failing in answering questions is to go into too much detail on specific topics and fail to address the wider issues. If you only deal with, half of the relevant issues you can only achieve half of the marks. Try to give as broad an answer as you can, without stepping outside the subject matter of the question altogether. Ensure that you explain each issue in order to convince the examiner that you have this all-important understanding. Giving relevant workplace examples is a good way of doing this. LAST MINUTE PRACTICE Finally, a useful way to combine syllabus study with examination practice is to attempt your own examination questions. By adding a question word, such as “explain” or "describe", in front of the syllabus topic areas you can produce a whole range of questions similar to many of those used in past papers. This is excellent examination practice because it serves as a © RRC Training 2NEBOSH International Diploma Unit 1A ~ Revision Notes valuable topic revision aid, while requiring you to set out your notes in the way that you would under examination conditions. 4 © RRC TrainingNEROSH Intemational Diploma Unit 1A — Revision Notes ELEMENT A1: PRINCIPLES OF HEALTH AND SAFETY MANAGEMENT REASONS FOR MANAGING HEALTH AND SAFETY We can identify three main reasons for the need to manage risk Moral Moral reasons should be the prime reason for managing risk. Based on the concept of an employer owing a duty to his employees to exercise reasonable care for their health and safety. Society expects every employer to demonstrate a correct attitude to health and safety to his workforce. Legal For example, the ILO Occupational Safety and Health Convention 1981. = Preventive - enforcement notices issued by enforcement inspectors, = Punitive - criminal courts impose fines and imprisonment for breaches of legal duties. = Compensatory - employees are able to sue in the civil courts for compensation. Economic Direct costs are calculable arising directly from the accident, e.g. repairs to equipment, fines, and legal fees, Indirect costs are consequential e.g. lost orders, business interruption. Insurance costs - those covered by insurance, e.g, = Employers’ liability insurance. = Public ability insurance. © Motor vehicle insurance Many of the costs cannot be insured against, e.g = Fines from criminal prosecutions © RRC Training 5NEBOSH International Diploma Unit 1A ~ Revision Notes = Effects on employee morale and the resulting reduction in productivity = Bad publicity leading to loss of contracts and/or orders. ‘Some of these costs are of indeterminate value. INTRODUCTION TO HEALTH AND SAFETY MANAGEMENT Definitions Hazard - A hazard is something (an object or situation) with the potential to cause harm. Risk - Risk is the likelinood that the harm from a particular hazard is realised. Danger - Danger is a liability or exposure to harm: a thing that causes peri Suitable and Sufficient Set criteria have to be met, e.g. ‘A *Suitable and sufficient” risk assessment: = Adopts an appropriate methodology. = Adequately identifies risks. = Suitable controls identified = Remains valid for a reasonable period of time. Principles and Benefits of Risk Management on a Global Perspective Risk Management The culture, processes and structures that are directed towards realising potential opportunities whilst managing adverse effects. 6 © RRC TealningNEROSH Intemational Diploma Unit 1A — Revision Notes Corporate Governance (holistic risk) eau aah) Loss Control (pure risk) EUS Era ai) Health and Safety Risks in Business Health and safety management should not be seen as something separate from business. Health and safety is largely concerned with pure risks (i.e. where there is only loss - such as disease, damage, injury) Loss control is also concerned with pure risks but Is wider in scope, additionally encompassing fire, security, environment and business recovery considerations. Risk management is wider stil and is concerned with speculative risks (Le. where there could be loss or gain). It involves additional consideration of finance, insurance, brand/reputation, business continuity, etc. Corporate governance is even wider and is concerned with holistic risk (ie. looking at risks as a whole, taking account of the interaction/impact of different risks on the business as a whole). It adds to risk management by using management systems and incorporates such things as Corporate Social Responsibility (CSR) and Socially Responsible Investing (SRI). Risk management involves: = Risk identification, © RRC Training 7NEBOSH International Diploma Unit 1A ~ Revision Notes = Risk evaluation. = Risk elimination = Monitoring. = Audit = Review, Risk management fs useful to organisations. It enables them to: ‘= Look at potential business impacts of foreseeable events. = Respond to changes in risk perception = Formulate and carry out risk elimination/control ‘= Improve corporate governance. = Achieve business objectives in a more targeted/efficient way. & _ Retain/improve shareholder confidence. Typical Organisational Models for Health and Safety Management AS/NZS 4360 Risk Management, Standards Australia/Standards New Zealand, 1999 Considers risk to essentially be exposure to the consequences of uncertainty (or deviations from the plan) 6 © RRC TealningNEROSH Intemational Diploma Unit 1A — Revision Notes omic erage east et Monitor and Review L AS/NZS 4360: 2004 Risk Management Model BSI — OHSAS 18001 Occupational Health and Management Systems: Specification. British Standards Institution, 1999 Ce Tae \ ad Occupational Health and Safety Assessment Series 18001 (OHSAS 18001): Health and Safety Management Model © RRC Training 9NEBOSH International Diploma Unit 1A ~ Revision Notes HSG65, Successful Health and Safety Management, HSE, 2000 cof planning, edb oulll Feedback loop to E Internation ok improve performance Control ok The HSG65 Model 1LO-OSH-2001 Guidelines on Occupational Health and Safety Management Systems. ILO, 2001 Model Health and Safety Management System (ILO-OSH-2001) 0 © RRC TrainingNEROSH Intemational Diploma Unit 1A — Revision Notes ANSI/AIHA Z10-2005, American National Standard — Occupational Health and Safety Management Systems > ieee acee Soom: ) =~ onset | Tame (Checking 8 Implementation Corectve 8 Operation American National Standard — Occupational Health and Safety Management Systems (ANS/AIHA Z10-2005) Key Typical Components of OHS Management Systems Policy. Organising Planning and Implementing, Performance Review. Audit. Continual Improvement. Quality Management and Environmental Management Systems BS EN ISO 9000:2000 Series Quality Management Systems BS EN ISO 14000 Series Environmental Management Systems © RRC Training "NEBOSH International Diploma Unit 1A ~ Revision Notes Arguments For and Against Integration of Environmental, Health, Safety and Quality Management Systems Arguments For Integration = More cost-effective. = Facilitate decision-making. = Avoidance of duplication. = Reduce the possibility of resolving problems at the expense of creating new difficulties in other disciplines. = Should involve timely overall system reviews where momentum in one element of an IMS may drive forward other elements. = A positive culture in one discipline may be carried over to others. Arguments Against Integration = Integration may threaten the coherence and consistency of current arrangements. = Relevant specialists may continue to concentrate on the area of their core expertise. = Uncertainties regarding key terms may be made worse. = System requirements may vary. An IMS could introduce unreasonable bureaucracy. = Health, safety and environmental performance are underpinned by statute law, but quality management system requirements are: largely determined by customer specification. = Regulators and single-topic auditors may have difficulty evaluating their part of the IMS. = Apowerful, integrated team may reduce the ownership of the topics by line management. = Annegative culture in one topic may unwittingly be carried over to others. Effective Management of Health and Safety = Appropriate Allocation of Responsibilities. 2 © RRC TrainingNEROSH Intemational Diploma Unit 1A — Revision Notes = Setting and monitoring performance standards, = Feedback and Implementation of Corrective Action. Common Health And Safety Management Systems In Global Organisations — Implementation, Benefits and Limitations = A formal occupational health and safety management system approach fs increasingly favoured by regulators throughout the world, and may be legally required in some regions. ‘= Modern goal-setting legistation implies the need for an occupational health and safety management system as a form of “self-regulation” ‘= Multisnational organisations favour a consistent, standardised approach throughout the organisation — just like the business ‘management system (‘globalisation’). = Possible cultural/sacial and legal barriers. = Possible resistance to change (adequacy of existing systems, bureaucracy, cost). The Influence of Corporate Responsibility and Business Ethics “Corporate responsibility” (also called Corporate Soctal Responsibility) Is where businesses take account of their social, economic and environmental impacts (all of which can affect their reputation and profitability). Impacts include, = Greater board-level leadership (directors). = Public reporting of health and safety performance (annual reports to shareholders). = Improved management control systems - (health and safety risks seen within the overall business risk management framework). UN Global Compact Businesses should support and respect the protection of internationally proclaimed human rights, (¢.g. health and safety Management systems can help ensure legal compliance and consistent application of standards in different parts of the world (even where they have lower national © RRC Training aNEBOSH International Diploma Unit 1A ~ Revision Notes standards). Investing in a positive health and safety culture can help retain staff, too.) Businesses should uphold the freedom of association and the effective recognition of the right to collective bargaining. (¢.9. Good health and safety management encourages consultation and participation at every level.) ‘The elimination of discrimination in respect of employment and occupation. (e.g. This could potentially occur in an occupational health and safety context ~ so the safety management system should help ensure that selection of an individual for a task is based on such things as suitability, competence and risk, rather than gender, age, physical capability. The safety management system should help adapt procedures, tasks and equipment to the individual by making reasonable adjustments.) Greater environmental responsibility. (e.g. Even without specific environmental managment systems, a safety management system will necessarily have an impact on some environmental issues. For example, the identification and prevention/control of potential chemical spillage scenarios will have a positive benefit for the environment.) ‘The idea is that these principles should be embedded in all the activities of a business so that the organisation behaves with a social conscience. Social Accountability 8000 Provide a safe and healthy work environment; take steps to prevent injuries; regular health and safety worker training; system to detect threats to health and safety; access to bathrooms and potable water. Management Systems: Facilities seeking to gain and maintain certification ‘must go beyond simple compliance: to integrate the standard into their management systems and practices. The Global Reporting Initiative (GRI) AA standard framework for reporting, and contains some specific occupational health and safety Reporting Performance Indicators. Specific items of note for disclosure in reporting are: = Management approach to occupational health and safety. = Goals and performance. u © RRC TrainingNEROSH Intemational Diploma Unit 1A — Revision Notes = Organisation responsibility (i.e. the organisational roles/structure assigned to dealing with it). = Training and awareness aspects. Monitoring and follow-up (corrective actions, etc.) Performance Indicators identified for disclosure on occupational health and safety include: = Percentage of total workforce represented in formal joint ‘management-worker health and safety committees. = Rates of injury, occupational diseases, lost days, and absenteeism, and total number of work-related fatalities by region. = Education, training, counselling, prevention, and risk-control programs regarding serious diseases. ‘Health and safety topics covered In formal agreements with trade. unions HEALTH AND SAFETY POLICIES The Role of the Health and Safety Policy In Relation to a Health and Safety Management System From a SMS point of view, the policy is just a statement of intent — a demonstration of commitment. It should: = State the overall health and safety objectives. = Express commitment to improving health and safety performance. = Be authorised by top management. ‘= Commit the organisation to continual improvement and compliance with legislation = Be communicated to all employees and other interested parties = Be kept up to date by periodic review. © RRC Training 16NEBOSH International Diploma Unit 1A ~ Revision Notes As a Vehicle for the Communication of Health and Safety Information ‘= Tells people about a company’s approach to managing health and safety. = Can be used in the induction of new employees, = Communicates the organisation's commitment to health and safety. = Can be used to involve workforce representatives. ® Can be used at regular briefing sessions. Requirements for a Written Health and Safety Policy and for Recording Arrangements May be a requirement of national legisiation. It is required by the following standards: = ILO-OSH 2001 (which supports ILO conventions). = OHSAS 18001 = HSG65 = ANSIZ10. The policy should be documented (paper or electronic) and authorised by top management. General Components of a Health and Safety Policy Document Ahealth and safety policy document (as opposed to just a health and safety policy) is a commonly used vehicle within a company. Typically it will contain the following components: = Statement of intent - the policy itself (as discussed) = Organisation - who does what, who is responsible. = Arrangements - systems, standards, procedures, etc. 6 © RRC TealningNEROSH Intemational Diploma Unit 1A — Revision Notes ROLE AND RESPONSIBILITIES OF THE HEALTH AND SAFETY PRACTITIONER/COMPETENT PERSON Role of the Health and Safety Practitioner in the Safety Management System Formulate and develop health and safety policies. Promote a positive health and safety culture. Secure the effective implementation of health and safety policy. Planning for health and safety. = Decide priorities and establish 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. Health and safety practitioners need to: = Be properly trained and suitably qualified. 8 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) © RRC Training v