Institute of Business Management

of Southern Africa

Established 1973

OHS Representative

Fundamentals of Occupational Health and

Safety
Study Guide

Knowledge Module 1

©Institute of Business Management of SA – IBM of SA

[Link]
info@[Link]

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 Fundamentals of Occupational Health and
Safety

Published by

The Institute of Business Management

of Southern Africa.

© COPYRIGHT

All rights reserved. No part of this book shall be reproduced, stored in a retrieval system, or transmitted by any means,
electronically, mechanically, by photocopying, recording or otherwise, without the written permission of the owner. No patent liability
is assumed with respect to the use of the information contained in this manual. The owner and programme designer assumes no
responsibility for losses of any kind resulting from the direct or indirect use of the information contained herein.

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Table of Contents
HOW TO USE THIS GUIDE _______________________________________________ 5
PROGRAMME OVERVIEW ________________________________________________ 5
LEARNING ASSUMPTIONS _______________________________________________ 5

CHAPTER 1: ROLES & RESPONSIBILITIES Of the OCCUPATIONAL HEALTH & SAFETY

REPRESENTATIVE __________________________________________________________ 6
1. The purpose of the occupational health and safety representative _________________ 7
2. Describe the process for appointing of occupational health and safety representatives 13
3. Explain the functions of the occupational health and safety committees ____________ 20
Online Quiz

CHAPTER 2: OHS LEGISLATIVE REQUIREMENTS _______________________________ 27

1. Explain the purpose and structure of the relevant legislation applicable to a specific
workplace ______________________________________________________________ 28
2. Explain the difference the various legislative instruments _______________________ 38
Online Quiz

CHAPTER 3: DIFFERENCE BETWEEN OCCUPATIONAL HEALTH, OCCUPATIONAL

SAFETY AND ENVIRONMENTAL MANAGEMENT ________________________________ 42
1. Define and describe occupational health, safety and enviromental control _______ Error!
Bookmark not defined.
Online Quiz

CHAPTER 4: BEHAVIOURAL SAFETY MANAGEMENT ____________________________ 62

1. Explain what is meant by behaviour an how behaviour of people influence their health
and safety ______________________________________________________________ 62
2. Describe the factors that influence the behaviour of people in a work environment ____ 67
3. Identify and explain the role of behavioural modification in influencing the overall health
and safety employees _____________________________________________________ 70
4. The contribution leadership can make towards creating a culture where unacceptable
behaviour regarding health and safety issues are not tolerated _____________________ 78
Online Quiz

CHAPTER 5: EMERGENCY PREPAREDNESS AND RESPONSE ____________________ 85

1. The definition of an emergency and typical emergencies that could occur in the
workplace ______________________________________________________________ 86
[Link] difference between preparedness and response & examples of typical preparedness
and response actions _____________________________________________________ 94

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 3. Describe the roles of the various role players to ensurethat an organisation is adequately
prepared for emergencies _________________________________________________ 107
4. Describethe roles of the various role players when an emergency occurs __________ 113
Online Quiz

CHAPTER 6: THE PRINCIPLES OF HAZARDS IDENTIFICATION AND RISKS

ASSESSMENT ____________________________________________________________ 114
1. Practical examples to explain what a hazard is & how hazards relate to risks _______ 127
2. The concept of priority setting and relate it to the process of hazard and risk rating __ 135
Online Quiz

CHAPTER 7: PRINCIPLES OF SAFE WORKING PRACTICES IN AND AROUND THE PLACE

OF WORK ________________________________________________________________ 141
1. Explain what is meant by a working practice using practical examples ____________ 142
2. Explain the concept of habits and how good and bad habits can be established with
specific reference to occupational health and safety situations ____________________ 149
Online Quiz

CHAPTER 8: TECHNIQUES OF ACCIDENT AND INCIDENT INVESTIGATION _________ 138

1. Incident vs accident: what’s the difference? _________________________________ 154
2. Describe the generally accepted hierarchy of how incidents lead to accidents ______ 155
3. The basic process of accident and incident investigation _______________________ 160
Online Quiz

CHAPTER 9: ROLES AND RESPONSIBILITIES IN A WORKPLACE REGARDING

OCCUPATIONAL HEALTH AND SAFETY_______________________________________ 168
1. List the key stakeholders that are involved in the prevention of accidents and incidents in
the workplace __________________________________________________________ 168
2. Describe the role of each of the key stakeholders in preventing accidents and incidents
_____________________________________________________________________ 171
3. Explain the consequences when a stakeholder does not execute their duty in
accident/incident prevention _______________________________________________ 180
Online Quiz

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HOW TO USE THIS GUIDE

This workbook belongs to you. It is designed to serve as a guide for the duration of your study
programme. It contains readings, activities, and application aids that will assist you in
developing the knowledge and skills stipulated in the specific outcomes and assessment
criteria.

PROGRAMME OVERVIEW PURPOSE

The main focus of the learning in this knowledge module is to build an understanding of the key
quality and safety issues that impact on the productivity of employees. The learning includes the
key issues relevant to the procedural and legal aspects required to monitor work progress and
the use of equipment and instruments.

LEARNING ASSUMPTIONS

The learning will enable learners to demonstrate an understanding of:

➢ CHAPTER 1: Roles and responsibilities of the Occupational Health and safety
representative as set out in the relevant legislation (Intermediate) (30%)
➢ CHAPTER 2: Legislative requirements related to Occupational health and safety (Basic)
(10%)
➢ CHAPTER 3: Definitions of and difference between Occupational Health, Occupational
Safety and Environmental management. (Basic) (10%)
➢ CHAPTER 4: Concept of behavioural safety management (Basic) (10%)
➢ CHAPTER 5: Concepts and principles of emergency preparedness and response
(Basic) (20%)
➢ CHAPTER 6: The principles of hazards identification and risks assessment (Basic) (5%)
➢ CHAPTER 7: Principles of safe working practices in and around the place of work
(Intermediate) (5%)
➢ CHAPTER 8: Techniques of accident and incident investigation (5%)
➢ CHAPTER 9: Roles and responsibilities of the various stakeholders in a workplace
regarding Occupational Health and Safety (Intermediate) (5%)
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CHAPTER 1: Roles & responsibilities of the
occupational health & safety representative

Outcomes

On completion of this chapter, you will understand the roles and responsibilities of the
Occupational Health and safety representative as set out in the relevant legislation

1. Explain the purpose of the Occupational health and Safety representative:

➢ Functions as described in the legislation
➢ Rights and duties of the employer and employees regarding occupational health and
safety
➢ Rights and powers of health safety representatives

2. Describe the process for appointing Occupational Health and safety

representatives:
➢ Negotiation and consultation process
➢ Designation of the working places
➢ Qualification requirements of representatives
➢ Election and appointment of the representatives

3. Explain the functions of the occupational Health and safety Committees:

➢ Structure of the various committees
➢ Rights and powers of the Occupational Health and Safety committees
➢ Legal obligation to support the work of the committees
➢ The importance of compliance with the relevant legislation

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Purpose of the occupational health and safety representative

A health and safety representative may perform the following functions in respect of the
workplace or section of the workplace for which he has been designated, namely-
a) Review the effectiveness of health and safety measures.
b) Identify potential hazards and potential major incidents at the workplace.
c) In collaboration with his employer, examine the causes if incidents in the
workplace.
d) Investigate complaints by any employee relating to that employee’s health or
safety at work.
e) Make representations to the employer or a health and safety committee on
matters arising or where such representations are unsuccessful, to an inspector.
f) Make representations to the employer on general matters affecting the health or
safety of the employees at the workplace.
g) Inspect the workplace, including any article, substance, plant, machinery or
health and safety equipment at that workplace with a view to the health and
safety of the employees, at such intervals as may be agreed upon with the
employer; Provided that the HSR shall give reasonable notice of his intention to
carry out such an inspection to the employer, who may be present during the
inspection.
h) Participate in consultations with inspectors at the workplace and accompany
inspectors on inspections of the workplace.
i) Receive information from inspectors as contemplated in section 3.
j) In his capacity as HSR, attend meetings of the health and safety committee of
which he is a member, in connection with any of the above functions.

A health and safety representative shall, in respect of the workplace or section of the workplace
for which he/she has been designated be entitled to-
a) Visit the site of an incident at all reasonable times and attend any inspection in loco.
b) Attend any investigations or formal inquiry held in terms of this Act.
c) In so far as it is reasonably necessary for performing his functions, inspect any
document which the employer is required to keep in terms of this Act.
d) Accompany an inspector on any inspection.

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 e) With the approval of the employer (which approval shall not be unreasonably
withheld), be accompanied by a technical adviser, on any inspection.
f) Participate in any internal health or safety audit [sub-s (2) substituted by s. 5 of Act
No. 181 of 1993.]
An employer shall provide such facilities, assistance and training as a HSR may reasonably
require and as have been agreed upon for the carrying out of their functions.
A HSR shall not incur any civil liability by reason of the fact only that he/she failed to do anything
which he/she may do or is required to do in terms of this Act.

Rights and duties of the employer and employees regarding occupational health and
safety
People could be seen as one of the most important assets in an organisation. As human beings
we are all entitled to a safe and healthy working environment. Legislation in the form of the
Occupational Health and Safety Act (Act 85 of 1993) was written and passed by parliament to
address this matter. The main objective of the OHS Act could be described as proactive attempt
by government to provide and maintain a safe and healthy work environment to all. Preventing
unnecessary injury, illness and loss makes good management sense any way.

• According to the OHS Act the employer must, where reasonably practicable, provide and
maintain a safe, healthy work environment that is without risk to employees.
Based on Legislation in section 8, of the Occupational Health and Safety Act.
• Although the OHS Act largely places the duty for health and safety on the shoulders of
management, the workforce are also bound to comply with certain legal prescriptions.
For the purpose of this article, we will take a closer look at the basic prescriptions
applicable to employees.
It is the duty of every employee at work to take reasonable care for their health and
safety as well as other persons. Every worker is in other words responsible to take care
of his or her own health and safety. The unsafe acts of the worker may not negatively
impact or endanger others. Other persons normally include co-workers, contractors,
visitors and even the public.

The employee is also duty bound to co-operate with the employer where the OHS Act
imposes a duty or requirement to be performed or complied with. Workers are legally
bound to comply with the prescriptions of the OHS Act. Employees should always carry

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 out and obey lawful orders and obey the health and safety rules and procedures laid
down by the employer.
Please note that safety rules and procedures of an employer may be more specific
towards the employer's own work environment and conditions. Sometimes the internal
health and safety policies, rules and procedures of an employer might even be more
specific and better than the ones provided by the OHS Act. In cases like these the
employee needs to adhere to the employer’s prescriptions.
If any unsafe or unhealthy situation is observed by an employee, he or she must report it
to the employer or to the health and safety representative of the workplace. Whenever
an employee is involved in any incident or observe any unsafe or unhealthy situation, it
must be reported to the employer or the health and safety representative.

These incidents need to be reported as soon reasonably practicable, not later than the
end of the particular shift. An employee may also give information to an inspector from
the Department of Labour when required.
Based on Legislation in section 14, of the Occupational Health and Safety Act
• All employees have the right to be informed. The employer should ensure that the
employee clearly understands the health and safety hazards of any work being done,
anything being produced, processed, used, stored, handled or transported, and any
equipment or machinery being used. The employer must then provide information about
precautionary measures against these hazards.
Based on Legislation in section 13, of the Occupational Health and Safety Act
• All employees have the right to be trained - according to prescription the employer must
provide the necessary information, instructions and training to employees.
Based on Legislation in section 8, of the Occupational Health and Safety Act
• No employee may intentionally or recklessly interfere with damage or misuse things
provided for health or safety; this includes safety equipment and personal protective
equipment, firefighting equipment etc.
Based on Legislation in section 15, of the Occupational Health and Safety Act
• Employees have the right not to be victimized by the employer. No employer may
dismiss an employee from his or her service, reduce an employee's salary or alter or
reduce an employee's service position to terms or conditions that is less favourable to
the employee, because:

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 o The employee supplied information which is required from him or her in terms
of the Act to a person that is charged with the administration of the OHS Act
o The employee complied with a lawful notice like a contravention notice or a
prohibition notice
o The employees do something that in terms of the Act, should have been done
o The worker did not perform an action or do something that is prohibited by the
Act
o The worker has given information or evidence before a Labour Court or a
Court of Law on matter regarding Health and Safety
Based on Legislation in section 26, of the Occupational Health and Safety Act

• An employee that contravenes a section of the OHS Act could be prosecuted. They
could receive a fine, penalty and even imprisonment. (Maximum fine of R 50 000 or
imprisonment for a period not exceeding 12 months or both such fine and such
imprisonment)
Based on Legislation in section 42, of the Occupational Health and Safety Act

Employee involvement is just as important as management involvement. Health and safety

involve all level of the workforce, from the top to the bottom. Employee involvement should be
encouraged by management. It is important to establish participation, communication and trust
between the various role players in order to create a positive safety culture

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Rights and powers of health safety representatives

1. A health and safety representative may:

a) Represent employees on all aspects of health and safety, direct any employee to
leave any working place which, with reasonable justification, appears to the
health and safety representative.
b) To pose a serious danger to the health or safety of that employee.
c) Assist any employee who has left a working place in terms of section 23.
(Section 23 empowers an employee to leave any dangerous working place and
requires every employer to follow certain procedures in this regard.)
d) Identify potential hazards and risks to health or safety; make representations or
recommendations to the employer or to health or safety or,
e) To a health and safety committee on any matter affecting the health or safety of
employees.
f) Inspect any relevant document which must be kept in terms of this Act.
g) Request relevant information and reports from an inspector; with the approval of
the employer, be assisted by or consult an advisor or technical expert who may
be either another employee or any other person.
h) Attend any meeting of a health and safety committee, of which that
representative is a member, or which will consider a representation or
recommendation made by that representative.
i) Request an inspector to conduct an investigation in terms of section 60; (Section
60 requires an inspector to investigate serious health and safety contraventions.)
or the Chief Inspector of Mines to conduct an inquiry in terms of section 65.
j) Participate in consultations on health and safety with the employer or person
acting on behalf of the employer or an inspector.
k) Participate in any health and safety inspection by the employers or person acting
on behalf of the employer or an inspector; (inspections are carried out by
inspectors acting under section 50(2)(e).)
l) Inspect working places with regard to the health and safety of employees at
intervals agreed with the employer.
m) Participate in any internal health or safety audit.

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 n) Investigate complaints by any employee relating to health and safety at work;
examine the causes of accidents and other dangerous occurrences in
collaboration with the employer or person acting on behalf of the employer.
o) Visit the site of an accident or dangerous occurrence at any reasonable time.
p) Attend a post-accident inspection.
q) Co-operate with the employer in the conducting of investigations in terms section
11(5).
(x) (Section 11(5) requires every employer working in co-operation with a
health and safety representative health threatening situations.
(y) Section 11(6) provides that this investigation may be conducted jointly
with an inspector.)
r) Participate in an injury held in terms of section 65; and perform the functions-
agreed by the health and safety committee or prescribed.

2. The rights and powers referred to in subsection (1) apply to health and safety
representatives referred to in section 25(1) only in respect of the working places for
which they are responsible.
3. If a health and safety representative requests information or reports under subsection
(1)(g), the inspector must supply the representative with the information or reports in the
possession. (Section 25(1) stipulates that every mine with 20 or more employees
must have a health and safety representative for each shift at each designated
working place.)
4. Employers may not unreasonably withhold the approval required in terms of subsection
(1)(h).
5. A health and safety representative intending to exercise the right to inspect working
places under subsection (1)(m) must -
a) Give the employer reasonable notice of the inspection; and
b) Permit the employer to participate in the inspection.
6. Health and safety representatives are entitled to perform their functions and to receive
training during ordinary working hours.
7. Any time reasonably spent by a health and safety representative for a purpose referred
to in subsection (6) must be considered for all purposes to be time spent carrying out the
employment duties of that representative.

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Appointing Occupational Health and Safety representatives

According to Section 17 of the Occupational Health and Safety Act (Act 85 of 1993), employers
who employ 20 or more workers on premises must appoint representatives to monitor health
and safety conditions. One of the key principals of the OHS Act is that work related hazards,
risks and dangers should be addressed through good communication between management
and employees. Appointed representatives represent workers regarding safety and health
matters to management. Representative's forms part of an important link between management
and the rest of the organisations employees.

The appointment of health and safety representatives is a legal requirement; representatives

need to be designated in writing, for a specified period of time. It is important to note that the
appointment of representatives should be done in accordance with the agreement as
contemplated in the General Administrative Regulations of the Occupational Health and Safety
Act.

General Administrative Regulation 6 stipulates that after commencing business, the employer in
any workplace where there must be a health and safety representative, must meet with the
registered trade unions in order to enter into negotiations to conclude a collective agreement.
Where there is no registered trade union, the employer must enter into consultation with all
employee representatives of the workplace.

During these negotiations the following issues must be discussed in order to reach a collective
agreement:
• Nomination or election of health and safety representatives
• Terms of office, circumstances and matter in which they can be removed
• Manner in which vacancies are to be filled
• Manner in which health and safety representatives must perform their functions in terms of
the act
• Facilities, training and assistance that must be provided to a health and safety
representative

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Number of representatives for the workplace
According to section 17 of the OHS Act, shops and offices must have at least 1 representative
for every 100 workers or part thereof. All other workplaces must have at least 1 representative
for every 50 workers or part thereof.

Who should be to appointed?

The same section stipulates that representatives should be full-time workers who are familiar
with the workplace.

When should representation activities be performed?

According to the Act, representation activities must be performed during ordinary working hours.

Functions of Health and Safety Representatives (Section 18 of the OHS Act)

It is the employer's duty to ensure that representatives are properly empowered to perform their
duties as health and safety representatives. Representatives are entitled to attend incident
investigations and enquiries, inspect documents and participate in internal health and safety
audits.

Representatives may:
• Review effectiveness of health and safety measures
• Identify potential hazards and major incidents
• Examine causes of incidents
• Investigate complaints
• Advise the committee and the employer

Representatives shall be entitled to:

• Visit incidents sites and attend inspections
• Attend any investigation or formal inquiry
• Inspect any document related to health and safety matters
• Accompany an inspector
• Be accompanied by technical advisor if approved by the employer
• Participate in internal audits

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Liability:
A representative shall not incur any civil liability if s/he failed to do any thing which he may do or
is required to do. I trust that the above mentioned information would be helpful.

Disputes
An individual dispute arises from a disagreement between an individual worker and his or her
employer over an aspect of their employment relationship. An individual dispute exemplifies a
“rights dispute”, that is a dispute over the application of the terms of legislation or an existing
agreement, whether a collective bargaining agreement or an individual written or oral contract of
employment. Thus there could be a dispute over the amount of wages paid or their manner of
payment, work schedules, working conditions, entitlement to leave and so forth. In the field of
health and safety an individual dispute may arise in relation to the use of personal protective
equipment, extra payments for carrying out dangerous work (hazard pay – a practice now
frowned upon in favour of eliminating hazards), refusal to perform work that poses an imminent
danger and observance of health and safety rules.

Negotiation and consultation process (before designation of health and safety

representatives)
1. The employer shall, in any workplace where there must be a health and safety
representative in terms of section 17 (1) of the Act and within four months after the
commencement of these regulations or after commencing business, meet with the
registered trade unions of that workplace in order to consult or bargain in good faith and
conclude an agreement concerning the:
a. nomination or election of health and safety representatives.
b. terms of office of health and safety representatives and the circumstances and
the prescribed manner in which they may be removed as health and safety
representatives.
c. manner in which vacancies are to be filled.
d. manner in which health and safety representatives must perform their functions
in terms of the Act.
e. facilities, training and assistance that must be provided to a health and safety
representative in terms of section 18 (3) of the Act: Provided that, where there is
no registered trade union, the employer shall enter into consultation with all

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 employee representatives in that workplace in order to conclude an agreement
with regard to sub-regulation (1).
2. An agreement referred to in sub-regulation (1) may include two or more employers as
parties to the agreement.
3. The conditions applicable to collective agreements in terms of the Labour Relations Act,
read with the changes required by the context, shall apply to agreements concluded in
terms of sub-regulation (1).
4. A dispute shall exist if no agreement in terms of sub-regulation (1) is concluded on the
arrangement and procedures for the nomination and the election of health and safety
representatives at a workplace.
5. If a dispute exists in terms of sub-regulation (4), any party to the dispute may refer the
dispute to the CCMA or Bargaining Council.
6. If a dispute is referred to the CCMA or Bargaining Council under sub-regulation (5), the
CCMA shall attempt to resolve it through conciliation.
7. If a dispute remains unresolved, any party to the dispute may request that it be resolved
through arbitration, in which case the CCMA shall, taking into account the objectives of
the Act and the proposals of the parties, determine the arrangement and procedures for
the nomination or the election of the health and safety representatives.

Designation of the working places

All activities in connection with the designation, functions, and training of health and safety
representatives shall be performed during ordinary working hours, and any time reasonably
spent by any employee in this regard shall be deemed time spent carrying out duties as an
employee.

The workplace manager is to allow a HSR to spend a reasonable amount of time deemed
necessary to carry out their HSR duties. The amount of time allocated for a HSR to perform
their role will vary between workplaces.

The HSR and the work manager are to discuss and agree on the amount of time needed to
perform any anticipated HSR duties. When agreeing on how much time is needed for a HSR to
fulfil, parties should consider:
• the type of work or proposed work in the workplace
• the level of risk involved in the work

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 • the effectiveness of risk controls
• the individual needs of employees in the designated work group (DWG), including:
o employees with language barriers
o employees with disabilities
• attendance at meetings, for example Health and Safety Committee meetings, OHS
working group meetings
• the size and complexity of the DWG
• the size and complexity of the workplace
• the number of HSRs in the workplace and in the DWG

Qualification requirements of representatives

Only those employees:
• employed in a full-time capacity at a specific workplace and
• who are acquainted with conditions and activities at that workplace shall be eligible for
designation as health and safety representatives?

Election and appointment of the representatives (Section 17 OHS Act)

Every employer who has more than 20 employees in his employment at any workplace shall
designate in writing for a specified period health and safety representatives. According to
Section 17 of the Occupational Health and Safety Act (Act 85 of 1993), employers who employ
20 or more workers on premises must appoint representatives to monitor health and safety
conditions. One of the key principals of the OHS Act is that work related hazards, risks and
dangers should be addressed through good communication between management and
employees. Appointed representatives represent workers regarding safety and health matters to
management. Representatives form part of an important link between management and the rest
of the organisation’s employees.

The appointment of health and safety representatives is a legal requirement; representatives

need to be designated in writing, for a specified period of time. It is important to note that the
appointment of representatives should be done in accordance with the agreement as
contemplated in the General Administrative Regulations of the Occupational Health and Safety
Act.
General Administrative Regulation 6 stipulates that after commencing business, the employer in
any workplace where there must be a health and safety representative, must meet with the

17
registered trade unions in order to enter into negotiations to conclude a collective agreement.
Where there is no registered trade union, the employer must enter into consultation with all
employee representatives of the workplace.

During these negotiations the following issues must be discussed in order to reach a collective
agreement:
• Nomination or election of health and safety representatives
• Terms of office, circumstances and matter in which they can be removed
• Manner in which vacancies are to be filled
• Manner in which health and safety representatives must perform their functions in
terms of the act
• Facilities, training and assistance that must be provided to a health and safety
representative

How many representatives should actually be appointed for the workplace?

According to section 17 of the OHS Act, shops and offices must have at least 1 representative
for every 100 workers or part thereof. All other workplaces must have at least 1 representative
for every 50 workers or part thereof.

The newly elected and appointed HSRs will be required to fill and sign in the form below
acknowledging their duties and responsibilities:

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19
Functions of Occupational Health and Safety committees

Structure of the various committees

• A health and safety committee shall consist of such number of members as the
employer may from time to time determine: Provided that-
o if one health and safety committee has been established in respect of a
workplace, all the HSRs for that workplace shall be members of the committee.
o if two or more health and safety committees have been established in respect of
a workplace, each HSR for that workplace shall be a member of at least one of
those committees; and
o the number of persons nominated by an employer on any health and safety
committee established in terms of this section (section19) shall not exceed the
number of HSRs on that committee.
• The persons nominated by an employer on a health and safety committee shall be
designated in writing by the employer for such a period as may be determined by him,
while the HSRs shall be members of the committee for the period of their designation in
terms of section 17(1).
• A health and safety committee may co-opt one or more persons by reason of his or their
particular knowledge of health or safety matters as an advisory member or advisory
members of the committee. An advisory member shall not be entitled to vote on any
matter before the committee.
• If an inspector is of the opinion that the number of health and safety committees
established for any particular workplace is inadequate, he may in writing direct the
employer to establish for such workplace such number of health and safety committees
as the inspector may determine.

Rights and powers of the Occupational Health and Safety committees

Rights and powers of the Occupational Health and Safety encompass duties of HSRs and in
addition:
• A health and safety committee-
o May make recommendations to the employer or, where the recommendations fail to
resolve the matter, to an inspector regarding any matter affecting the health or safety

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 of persons at the workplace or any section thereof of which committee has been
established.
o Shall discuss any incident at the workplace or section thereof in which or in
consequence of which any person was injured, became ill or died, and may in writing
report on the incident to an inspector; and
o Shall perform such other functions as may be prescribed.
• A health and safety committee shall keep record of each recommendation made to an
employer in terms of subsection (1)(a) and of any report made to an inspector in terms of
subsection (1)(b).
• A health and safety committee or a member thereof shall not incur any civil liability by
reason of the fact only that it or he failed to do anything which it or he may or is required
to do in terms of this Act.

Legal obligation to support the work of the committees

An employer’s legal obligation (Section 19 subsection 1 of Occupation Health and Safety Act) –
An employer should be at every meeting of the committee (according to subsection 4 of Section
19) consult with the committee, with a view to initiate develop, promote, maintain ad review
measures to ensure the health and safety of their employees at work.
Every employer has a moral and legal responsibility to maintain a safe and healthy work site. A
health and safety committee serves as a link between workers management. Its purpose is to
promote awareness and interest within the company in health and safety at the worksite. They
observe and experience hazards and risks along with fellow workers on the ground and
because of this, they can point management in the right direction as to how to make
improvements in health and safety for the workforce. By voluntarily establishing a committee
and adhering to their legal obligation to the committee, the employer and the management are
making and showing commitment to improving the health and safety culture of their workplaces.

The Act requires employers to consult with HSRs, with or without the direct involvement of the
workers they represent. The Regulations (Regulation 2.1.5), set out the process for involving
HSRs in consultation. The involvement of HSRs and other workers should lead to better
decisions being made and better health and safety outcomes. Their experience and knowledge
of the job can help to identify hazards, assess risks and develop workable solutions.

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Employers need to consult as far as is reasonably practicable. For consultation this means what
is feasible in the circumstances. Some of the things that should be considered are the:
• size and structure of the business
• type of work
• type and urgency of the situation
• work arrangements (for example shift work and workers in remote locations)
• workers involved (for example the languages they speak, how well they read and write,
or any disabilities they may have).
For example, it would not be reasonably practicable for employers to consult with workers who
are on extended leave, although they should be informed about the consultation process and
any outcomes on their return to work. Employers are expected to take a sensible and proactive
approach to consultation. In almost all circumstances it will be reasonably practicable for
employers to consult.

Who must be consulted?

Employers must consult with workers who are, or are likely to be, ‘directly affected’. This means
the OHS matter must be having, or is likely to have, an impact on the health and safety of the
worker or an impact on their work. As the workers’ representative, HSRs have an important part
to play in consultation, and employers must involve them in any OHS consultations (whether or
not workers are consulted directly). If independent contractors and their workers are performing
work for an employer, they also need to be consulted.

How must HSRs be consulted?

There are a number of things that employers must do when consulting. They must:
• provide you with the information about the health and safety matter a reasonable time
before providing it to workers
• give you a reasonable opportunity to ask questions and have your say by inviting you to
meet or agreeing to your request to meet
• take your views into account.
This should happen before a final decision is made.

What must HSRs be consulted on?

Employers must consult HSRs when members of their DWG are, or are likely to be directly
affected by a range of OHS matters.

22
OHS matters you must be consulted on Some examples
Identifying or assessing hazards or risks Includes things such as monitoring noise levels or
the development of Safe Work Method Statements.
Deciding about how to control risks Includes, but is not limited to, discussions and
reviewing advice from technical experts such as
engineers, hygienists or ergonomists.

Deciding about the adequacy of facilities These include decisions to ensure that there are
for the welfare of employees enough toilets or that first aid facilities are
adequate.
Deciding about the procedures for: Consultation about whether to develop an agreed
• resolving OHS issues procedure or use the Issue Resolution Procedure
• consulting with employees in the Regulations as the way to resolve OHS
• monitoring the health of issues. Although an agreed procedure is not
employees and the conditions at mandatory, as the procedure prescribed in the
the workplace Regulations 2007 can be used.
• providing information and training
to employees
Determining the membership of any Involving HSRs in discussions to decide who
health and safety committee should be on the committee when it is being
established.
Proposing changes, that may affect the Examples of changes include introducing new
health and safety of employees, to the equipment, or workplace layout, starting to use new
following: chemicals, or changing the way work is performed.
• the workplace
• the plant, substances or other
things
• used at the workplace
• the conduct of the work performed
Any other things prescribed by the Some regulations have specific consultation
Regulations requirements, for example asbestos

23
Resolving health and safety issues

HSRs must be consulted about how consultation will take place at their workplace. A workplace
may already have agreed procedures for OHS consultation. Though the Act doesn’t require a
workplace to have an agreed procedure for consultation; if one exists, it must be followed.
Agreed procedures for consultation must:
• Be consistent with the Act – so that they enable employers to meet their obligation to
consult and do not remove their powers as an HSR or the functions of a HSC.
• be developed through consultation between employers, HSRs and workers
• Be the result of genuine agreement – that is, agreed by a majority of workers.

Agreed procedures for consultation should be in writing and be made available to all workers so
that the process is clear to everyone.
The Act requires HSRs and employers to attempt to resolve an OHS issue according to the
agreed issue resolution procedure at the workplace. If there is no agreed procedure, the
process in the Regulations must be followed.

The importance of compliance with the relevant legislation

Compliance (or adherence) with the Occupational Health & Safety Act (OHSA) and other
relevant legislation and regulations related to health and safety of your employees is an
important and legal requirement. Not being aware of your legal responsibilities and duties is not
a defence for non-compliance.

What the law says

The Occupational Health and Safety Act (OHSA) sets out minimum health and safety standards
for workplaces. Employers are required by law to post a copy of the Act in the workplace. The
OHSA is anchored on the "internal responsibility system", which means employers and
employees share responsibility for keeping the workplace safe and workers healthy.
Supervisors and workers both have roles to play.

How legislative compliance can affect your business?

A safe environment is a productive workplace. Health and safety is not simply a legal obligation:
it is a business opportunity. You can boost your bottom line by improving health and safety

24
performance, which reduces the costs associated with avoidable losses and lost time injuries
and leads to high productivity.
The Ministry of Labour (MOL) is responsible for enforcing the OHSA and its regulations. MOL
inspectors visit workplaces in response to complaints, injuries, and fatalities, or as part of
proactive inspections.
The OHSA gives MOL inspectors a number of enforcement tools to obtain compliance with
health and safety requirements. Inspectors can issue compliance orders, which describe actions
the employer is obliged to take to become compliant with specific legal requirements. If there is
immediate risk of injury to a worker, MOL inspectors have the power to issue a "stop work"
order to prevent work from continuing until compliance is achieved. Inspectors can also issue
tickets or initiate prosecution for non-compliance.

What can you do?

• Become familiar with the legislation applicable to your work and learn about your rights
and responsibilities
• Get help - contact your health and safety association for information on what training you
can receive to ensure compliance before the inspector comes knocking
• Provide employees with hazard information, proper safety equipment, training and
competent supervision
• Have worker representation for health and safety
• Follow proper procedures if an injury occurs
• Keep a safe and well-maintained workplace.

Non-compliance with the law can have serious consequences for both employers and
employees.

Consequences of non-compliance for employers

• If an employer fails to comply with health and safety legislation, they can be prosecuted.
• Prosecutions may be heard in a Magistrate’s Court depending on the seriousness of the
offence.
• If found guilty of an offence employer can be fined, imprisoned and disqualified from
holding a position as a director, depending on the particular case.
Consequences of non-compliance for employees
• If employees fail to follow instructions and training provided by the employer in relation to
• health and safety, or knowingly break the law, this could result in:

25
 • Injury, ill health or the death of the employee, their colleagues or members of the public
• Damage to the workplace, work equipment, work data or the wider environment
• Economic damage to the business through lost production and claims for damages
• Economic damage to wider society resulting from the cost of treatment for ill health and
injury, and working days lost through sickness.
• Failure to comply with health and safety laws could therefore result in:
• Disciplinary action
• Compulsory transfer
• Dismissal
• Legal action including fines or imprisonment.

Do the online quiz for Chapter 1 on your student portal.

26
CHAPTER 2: OHS Legislative requirements

Outcomes

On completion of this chapter, you will be able to understand legislative requirements

related to Occupational health and safety.
.
1. Explain the purpose and structure of the relevant legislation applicable to a specific
workplace.
➢ Identify sections of the act and the regulations relevant to the learners place of
work
➢ Explain the objectives of the act.

2. Explain the difference between the various legislative instruments:

➢ Act
➢ Regulation
➢ Code of Practice
➢ Policy
➢ Procedure
➢ Standards

27
Purpose and structure of workplace legislation

The main occupational health and safety law in South Africa is the:
 Occupational Health and Safety Act of 1993.

This Act requires the employer to bring about and maintain, as far as reasonably
practicable, a work environment that is safe and without risk to the health of the workers.

Other laws supporting health, safety and environmental issues include:

 Environment Conservation Act of 1989.
 Hazardous Substances Act of 1973.
 National Environmental Management Act of 1998.
 Tourism Act of 1993.
 Water Act 1956 (Act No: 54 of 1956)
 National Water Act 1998 (Act No: 36 of 1998)
 Water Services Act 1997 (Act No: 108 of 1997)
 Forestry Act 1998 (Act No: 84 of 1998)
 Atmospheric Pollution Prevention Act 1965 (Act No: 45 of 1965)
 Compensation for Occupational Injuries and Diseases Act (Act no: 103 of 1993)
 Explosives Act 1956 (Act No: 26 of 1956)

28
OVERVIEW OF OCCUPATIONAL HEALTH AND SAFETY
Occupational safety and health is a cross-disciplinary area concerned with protecting the safety,
health and welfare of people engaged in work or employment. A secondary goal is to protect co-
workers, family members, employers, customers, suppliers, nearby communities, and other
members of the public who are impacted by the workplace environment. In general, it can be
stated that OHS focuses on:
 the promotion and maintenance of the highest degree of physical, mental and
social well-being of workers in all occupations,

 the prevention, amongst workers, of departures from health (i.e. sickness /

diseases) caused by their working conditions,

 the protection of workers in their employment from risks resulting from factors
adverse to health,

 the placing and maintenance of the worker in an occupational environment

adapted to his physiological and psychological capabilities, and

 The adaptation of work to man and of each man to his job.

OHS may involve interactions among many subject areas, including occupational medicine,
occupational hygiene, public health, safety engineering, chemistry, health-physics, ergonomics,
toxicology, epidemiology, environmental health, industrial relations, public policy, sociology, and
occupational health psychology.

OHS includes the following areas of knowledge:

 First Aid.

 Fire safety.

 Communicable diseases.

 Personal Protective Equipment.

 Safety equipment.

 Safety Representatives.

 Safety committees.

 Environmental impact.

 Proactive safety management systems in the workplace.

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OBJECTIVE OF THE OHSA
The objective of the OHS Act is to provide for the health and safety of persons at work and for
the health and safety of persons in connection with the use of plant and machinery; the
protection of persons other than persons at work against hazards to health and safety arising
out of or in connection with the activities of persons at work; to establish an advisory council for
occupational health and safety; and to provide for matters connected therewith.

OVERVIEW OF ENVIRONMENTAL ISSUES

The environment refers to the physical or natural environment. This

environment consists of all the good things that nature has provided for
humans, plants and animals to thrive. It includes such things as the quality of
the air, the soil, water and even includes issues such as peace and quiet. Taking care of
the natural environment means that the natural state of the earth should, as far as
possible, remain the same.

Environment issues that are relevant to this discussion include overall considerations for the
preserving of the physical environment in such a way that human commercial, industrial and
infrastructural activities do not degrade the physical environment so as to make it unpleasant or
dangerous.

The above can be summed up in technical language by the objective of the National
Environmental Management Act, 1998 (107 of 1998), i.e.:

OBJECTIVE OF NATIONAL ENVIRONMENTAL MANAGEMENT ACT, 1998

To provide for co-operative environmental governance by establishing principles for decision-
making on matters affecting the environment, institutions that will promote co-operative
governance and procedures for co-ordinating environmental functions exercised by organs of
state; to provide for certain aspects of the administration and enforcement of other
environmental management laws; and to provide for matters connected therewith.

30
ENVIRONMENTAL LEGISLATIONS

The quality of our environment affects all of us no matter where we live. When people abuse the
environment, this affects us all. If water is polluted, if the air is full of smoke and chemicals, if
food contains poisons, people (and plants and animals) are harmed. Many of the natural
resources that we use or consume every day, such as water, wood, minerals and fish, will soon
run out if we do not limit the rate at which we use them. All people have a responsibility to
protect and use the environment so as to ensure that it will be protected for us as well as future
generations.

Many people believe that human needs are more important than the environment and believe
that our major aim should be promoting economic growth and creating jobs while the green
(environmental) agenda should take second place. Because the earth has been so badly
exploited and not protected, this has created changes in weather patterns - there are more
droughts and more floods, good farmland is turning into desert, temperatures are rising and
most importantly, the ozone layer that should protect us from the dangerous rays of the sun has
been damaged and is not functioning as effectively as it did before. All of this impacts on how
people live and is the reason why the concept of sustainable development is becoming more
and more important.

NATIONAL ENVIRONMENTAL MANAGEMENT ACT (NO 107 OF 1998) (NEMA)

NEMA is relevant to the regulation of all three of the environmental areas referred to, namely
land-use planning and development, natural resources and pollution control and waste
management.
The object of NEMA is to provide a framework for co-operative environmental governance
(making sure that the government authorities co-ordinate their efforts to manage the
environment) and aims to achieve this by establishing:
• procedures for state decision-making and functions which impact on the environment,
and
• State institutions which co-ordinate these decisions and functions.

NEMA principles

NEMA sets out a range of national environmental management principles, some of which are
set out below. The actions of all state institutions that ‘may significantly affect the environment’
must comply with these principles. These state institutions would include national, provincial and

31
local government as well as state institutions like Eskom. The importance of these principles
has been recognised by South African courts and includes:
• environmental management must put people and their needs first

• development must be socially, environmentally and economically sustainable

• there should be equal access to environmental resources, benefits and services to meet
basic human needs
• government should promote public participation when making decisions about the
environment
• communities must be given environmental education
• workers have the right to refuse to do work that is harmful to their health or to the
environment
• decisions must be taken in an open and transparent manner and there must be access
to information
• the costs of remedying pollution, environmental degradation and negative impacts on
health must be paid for by those responsible for such pollution, degradation and health
impacts (the ‘polluter pays’ principle)
• the role of youth and women in environmental management must be recognised
• the environment is held in trust by the state for the benefit of all South Africans
• the utmost caution should be used when permission for new developments is granted

HOW DOES NEMA PROTECT THE ENVIRONMENT?

NEMA provides a range of tools aimed specifically at protecting the environment. These include
the following:

• Integrated environmental management - NEMA regulates the system of environmental

impact assessments (EIA). The Government has passed a number of EIA regulations in
terms of NEMA which set out the EIA processes and requirements. These require that
the potential impact on the environment of certain listed activities must be considered,
assessed and reported on to the relevant authorities. There are two lists of activities.
One list sets out activities for which a full environmental impact assessment is required
before such activities can be carried out; while the other list sets out activities for which
only a basic environmental assessment is required before the activities may be carried
out.

32
• Duty of care to protect the environment - people whose activities cause significant
pollution or degradation (spoiling) of the environment must take reasonable steps to
prevent the pollution or degradation from happening, or to prevent such pollution or
degradation from continuing. If the activity is authorised by law or cannot reasonably be
avoided or stopped, NEMA requires that the responsible person take steps to minimise
(lessen) and remedy the pollution or degradation.
• Worker protection - workers can refuse to do environmentally hazardous work.
• Emergency situations - NEMA sets out detailed procedures that must be followed by
people in the case of an emergency incident occurring which will impact on the
environment.
• Protection of whistle blowers - people who disclose information of an environmental risk
(whistle blowers) are protected.
• Private prosecution - people can prosecute others if it is in the public interest or in the
interests of protecting the environment where the state fails to do so.
• Controlling the use of vehicles in the coastal zone - the Off-Road Vehicle Regulations
(ORV Regulations) regulate the use of vehicles on the shoreline and the establishment
of boat launching facilities.

33
EXAMPLE

An explosion releases a cloud of poisonous gas. Residents are warned on the radio to go
indoors and shut their windows, and asthmatics are told to seek urgent medical treatment.
People are told what kind of gas it is. The health department and municipal emergency services
are told how to treat people who get sick from the gas.
NEMA requires the company that caused this incident to:

• minimise (reduce) the risk and to clean up the mess

• find out how the incident has affected public health
• send a report to government within 14 days of the accident which deals with:
• the nature and causes of the incident
• substances released and how they could affect human health and the
environment
• what was done to prevent this from happening again

If the company does not take these steps, action can be taken to protect the environment and
public health.

NATIONAL WATER ACT (NO 36 OF 1998)

The National Water Act recognises that water is a natural resource that belongs to all people
and appoints the State as public trustee of South Africa’s water resources. The National Water
Act regulates the way in which people obtain the right to use water and provides for just and
equitable use of water resources. The main purpose of the Act is to protect, conserve and
manage water resources in a sustainable and equitable way so as to take account of various
factors, including:

• the basic human needs of present and future generations,

• the need to protect water resources,
• the need to share some water resources with other countries, and
• the need to promote social and economic development through the use of water.

National government, acting through the Minister and Department of Water and Environmental
Affairs, is responsible for achieving this main purpose. The Minister has the final responsibility of
fulfilling certain obligations relating to the use, allocation and protection of water resources.

34
It is not possible to deal in detail with all of the sectoral laws. Therefore, all relevant sectoral
legislation has been listed according to the three over-arching categories in the checklist at the
end of this chapter. The checklist can be used to help you find out the laws that will apply in a
particular situation. Once it has been established which laws apply, you can then follow the
steps set out in the section on Ways to resolve environmental disputes.

NATIONAL ENVIRONMENTAL MANAGEMENT: AIR QUALITY ACT (NO 39 OF 2004)

The Air Quality Act (AQA) came into effect on 11 September 2005. However, certain important
sections have not yet come into operation. The object of the Act is to improve air quality and
prevent air pollution through a number of measures, including setting standards for monitoring,
managing and controlling air quality, and establishing fines and penalties for people who do not
comply with the Act.

The AQA requires the establishment of a national framework for achieving the object of the Act
and the adoption of national, provincial and local standards for ambient air quality. Ambient air
refers to outdoor air and so excludes indoor air. Importantly, the AQA makes the management
of air quality the responsibility of local government through air quality management plans,
pollution prevention plans, by-laws and other policies.

The AQA aims to regulate air through providing for:

• the establishment of a national framework for air quality,

• the monitoring of ambient air quality and emissions at the national, provincial and local
levels,
• the collection and management of air quality data,
• provincial environmental implementation or management plans,
• local air quality management plans and by-laws,
• the control of certain polluting fuels,
• the control of certain fuel-burning appliances,
• the control of dust, noise and offensive odours; and
• a licensing system for certain fuels, appliances and activities.

35
Types of air pollutants that are regulated by the AQA
Air pollutants include gases and particles that pollute the air. The AQA requires that limits and
standards be set for the concentrations of these gases and particles. The following are some of
the most important air pollutants:
• Carbon monoxide - its main source is burning fuel from motor vehicles as well as from
burning wood and industrial processes.
• Sulphur dioxide - coal-fired power stations and diesel engines are the main sources of
this gas.
• Lead - lead is found in non-lead-free fuels, paints, batteries and pipes; when it is heated
it becomes a liquid and appears in the air as fine particles.
• Particulate matter - Particulates are the tiny particles in the air, such as soot, dust,
smoke, pollen, ash, aerosols and droplets of liquid. This can be seen as a white or
brown haze. Very small particulates can be inhaled and cause problems to health. The
sources of particulates include fuels, diesel engines, wood burning, industrial
smokestacks and chimneys.
The Minister has set national standards for these pollutants. While carbon dioxide is the most
important greenhouse gas, contributing to global warming and climate change, it is not
regulated by the AQA.
(Source: City of Cape Town - Air Quality)

36
 LIABILITY FOR ENVIRONMENTAL DEGRADATION

Directors and managers of corporate entities (including companies, partnerships and close
corporations) need to be particularly aware of the risk of personal liability for the firm’s
environmental acts or omissions.

Usually, the law regards a corporate entity as a legal person distinct from its shareholders or
executives, and this ‘corporate veil’ shields individuals from the unlawful acts or omissions of the
firm. But NEMA provides that if a firm is convicted of an environmental offence listed in
Schedule 3, then the firm and its managers, employees and agents could be convicted of the
offence.

There are two main instances in which an individual might be held personally liable under
NEMA. Firstly, if the firm commits a Schedule 3 offence, a manager, agent or employee may be
held liable if they failed to act, or refrained from acting, after they were instructed to do so. (If
this occurred as a result of an employer failing to take reasonable measures to prevent the
commission of the offence, then the employer is also liable.) Secondly, any director (including
members of the Board and members of the managing body) may be convicted, and sentenced
for an offence committed by the firm, if the offence was committed because that director failed
to take all reasonable steps to prevent the offence

In either situation, both the firm and the individual are potentially liable to pay:
• Any criminal fine or imprisonment provided for,
• An additional fine equivalent to the monetary value gained, or likely to be gained, as a
result of the offence,
• Compensation for loss or damage suffered (including the costs incurred by an organ of
state in rehabilitating the environment or preventing damage to the environment),
• Reasonable costs incurred in investigating or prosecuting the offence

37
Legislative instruments

Act
Definition 1: A legal document codifying the result of deliberations of a committee or society or
legislative body
Definition 2: A bill which has passed through the various legislative steps required for it and
which has become law.
Definition 3: Legislation enacted into law. A bill that has passed both houses of the legislature,
been enrolled, ratified, signed by the governor or passed over the governor's office, and printed.
It is a permanent measure, having the force of law until repealed.
• Local act -- Legislation enacted into law that has limited application.
• Private act -- Legislation enacted into law that has limited application.
• Public act -- Legislation enacted into law that applies to the public at large.

Regulation
Definition 1: Rule based on and meant to carry out a specific piece of legislation (such as for the
protection of environment). Regulations are enforced usually by a regulatory agency formed or
mandated to carry out the purpose or provisions of a legislation. Also called regulatory
requirement.
Definition 2: A “regulation” is any standard, statement (which may include a policy statement), or
procedure of general applicability adopted by the chancellor or chancellor’s delegee that
addresses any of the following matters:
• Compliance with fiscal, academic, research, human relations, or other management
standards and requirements imposed by federal or state laws or implementing
regulations,
• Procedures and reporting requirements related to implementation or compliance with
policies of the Board of Governors or Board of Trustees, or regulations of the Office of
the President,
• Matters not specifically addressed in Board of Governors or Board of Trustees policies
or regulations of the Office of the President that are within the general nature of the
chancellor’s delegated responsibilities to administer the institution.

38
Code of practice
1. A code of practice is a set of written rules which explains how people working in a
particular profession should behave.
Example: The auctioneers are violating a code of practice by dealing in stolen goods.
2. Written guidelines of ethical standards given by an official body or a professional
association to its members to help them comply with these standards.

Policy
Definition 1: The general principles by which a government is guided in its management of
public affairs, or the legislature in its measures. A general term used to describe all contracts of
insurance.
Definition 2: A “policy” is any standard, statement, or procedure of general applicability adopted
by the Board of Trustees pursuant to authority delegated by law or the Board of Governors.
The word "policy" is not a tightly defined concept but a highly flexible one, used in different ways
on different occasions. Webster's dictionary has a number of closely related definitions. They
are:
• A definite course or method of action selected (by government, institution, group or
individual) from among alternatives and in the light of given conditions to guide and,
usually, to determine present and future decisions.
• A specific decision or set of decisions designed to carry out such a course of action.
Such a specific decision or set of decisions together with the related actions designed to
implement them.
• A projected programme consisting of desired objectives and the means to achieve
them.

In English usage, policies are "made" and "implemented" in the same way that decisions are
made and implemented. Yet it is possible to have policies that are not or cannot be
implemented, so that, conceptually, actions that implement policies need not necessarily be part
of policy itself.
Although a policy is like a decision, it is not just a "vie-off", independent decision. A policy is a
set of coherent decisions with a common long-term purpose(s). When decisions are one-off,
incoherent or opportunistic, complaints are made that a government or minister "does not have
a policy". Government policies are often supported by special legislation.

39
The terms "policy", "plan", "programme" and "project" are progressively more specific in time
and place. Policies are usually national policies (not district or provincial) and are not normally
limited in time: one does not usually speak in terms of "2-year policies" as one does of "2-year
programmes" or "5-year plans".

Procedure
Definition 1: A fixed, step-by-step sequence of activities or course of action (with definite start
and end points) that must be followed in the same order to correctly perform a task. Repetitive
procedures are called routines.
Definition 2: The methods and mechanics of the legal process. These include filing complaints,
answers and demurrers, serving documents on the opposition, setting hearings, depositions,
motions, petitions, interrogatories, preparing orders, giving notice to the other parties, conduct of
trials, and all the rules and laws governing that process. Every state has a set of procedural
statutes (often called the Codes of Civil Procedure and Criminal Procedure), courts have so-
called "local rules," which govern times for filing documents, conduct of the courts and other
technicalities. Law practice before the federal courts operates under the Federal Rules of Civil
Procedure and the Federal Rules of Criminal Procedure). Procedural law is distinguished from
"substantive" law, which involves the statutes and legal precedents upon which cases are tried
and judgments made.

Standards
Standards are used by a diverse range of organisation’s to enhance their products and services,
improve safety and quality, meet industry best practice, and support trade into existing and new
markets.

By referencing standards in legislation, regulators draw on existing best practice developed by

expert committees using a consensus-based and transparent process. Incorporating standards
also allows regulators to provide detailed requirements without encumbering the regulation or
guidance with technical detail.

Standards can be:

• Referenced in Acts or regulations as legally mandatory

40
referenced in Acts or regulations as ‘acceptable solutions’ or ‘means of compliance’ – this
ensures compliance with legislation but does not prevent the use of an alternative method,
provided it meets the specified legislative criteria used by a government agency to detail a
required condition of contract with an external supplier incorporated into non-regulatory material
as examples of best practice or guidance for industry employed as a means of compliance with
industry regulation, for example, specifying requirements for audit certification promoted as a
means of dealing with legal liability issues, for example, compliance with various risk
management.

Standards may be cited in court as proof that all reasonable steps were taken. A standard is
not, of itself, mandatory or legally required. A standard has to be incorporated by reference in an
Act or delegated legislation in order to be mandatory. Once referenced, it becomes part of the
technical regulation framework.

What is the difference between a regulation and an act?

An ACT is legislation passed by the Parliament. Acts, (not including Schedules to Acts) can only
be amended by another Act of Parliament. ... REGULATIONS, RULES, CODES etc. are
commonly known as "subsidiary legislation" and require publishing in the Government Gazette
to become legal.

What is the difference between legislation and regulations?

Legislation is passed by the legislative body of a country and establishes the general framework
of principles within which the government is expected to act and within which regulations are
issued.

41
What Is the difference between an Act, Regulation and Code of Practice?

An occupational health and safety Act is a formal description of health and safety law passed in
a state or territory. It is intended to spell out the duties for each group that has a role in health
and safety in the workplace. When an Act is passed by Parliament in a jurisdiction, it becomes
legally binding.
OHS regulations are a more detailed set of requirements created to support the duties
established in the OHS/WHS Act. Regulations also need to be enacted or passed by Parliament
in each jurisdiction to be legally binding.
OHS Codes of practice are a practical guide on how to achieve the accepted standards of
workplace health, safety and welfare required in the OHS/WHS Act and Regulations. To be
legally binding, a code of practice has to be approved for that jurisdiction. You can contact a
work health and safety regulator in your jurisdiction to find out which codes of practice have
been approved.

Do the online quiz for Chapter 2 on your student portal.

42
CHAPTER 3: Difference between occupational health,
occupational safety and environmental management

Outcomes

On completion of this chapter, you will be able to understand definitions of and difference
between Occupational Health, Occupational Safety and Environmental management.

1. Define and describe occupational health, safety and environmental control:

➢ Objectives of each of the functions
➢ Key roles and responsibilities of the various disciplines.

2. Explain what the different roles and responsibilities are of all the sub disciplines
related to Occupational Health, Safety and Environment. (Including Occupational
Hygiene, Medicine etc.)

43
What does Health, Safety and Environment (HSE) mean?

The health, safety and environment (HSE) department in a company is responsible to observe
and protect occupational health and safety rules and regulations along with environmental
protection. Health, safety and environment (HSE) is also often referred to as environmental
health and safety (EHS) or safety, health and environment (SHE).

Health, safety and environment departments are generally responsible for two objectives:

• Prevention of all incidents and accidents that can result from abnormal operating
conditions.
• Reduction of adverse effects that may result from normal operating conditions.

Dealing with fire, explosions, and harmful substances in the work environment is an example of
the first objective. Reducing a company's carbon footprint and its impact on the environment is
an example of the second objective. In both objectives, incorporating regulatory requirements
inside a company's written policies play an important role in developing measures that serve the
company's needs while conforming to government regulations.

Environmental health relates to how air, water, food and our physical environment can affect
our health. It is concerned with all aspects of the natural and built environments that affect
the health of individuals and the population in general.

What is Occupational Safety and Health (OSH)?

Occupational safety and health involves three major fields:
• Occupational Safety,
• Occupational Health and
• Industrial Hygiene.

1. Occupational safety
Occupational safety focuses mainly on preventing injuries to personnel that can result from
incidents associated with the job they perform in the workplace.
It deals with understanding the causes of accidents at work and ways to prevent unsafe act and
unsafe conditions in any workplace. This includes concepts such as good housekeeping, proper
materials handling and storage, machine safety, electrical safety, fire prevention and control,
safety inspection, and accident investigation.

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2. Occupational health
Occupational health is all about keeping people healthy at work.
It is a broad concept which explains how the different hazards and risks at work may cause an
illness and emphasises that health programs are essential in controlling work-related and/or
occupational diseases.
Occupational health deals with all aspects of health and safety in the workplace and has a
strong focus on primary prevention of hazards. The main focus in occupational health is on
three different objectives:
• The maintenance and promotion of workers’ health and working capacity,
• The improvement of working environment and work to become conducive to safety and
health and
• Development of work organisations and working cultures in a direction which supports
health and safety at work and in doing so also promotes a positive social climate and
smooth operation and may enhance productivity of the undertakings.

Health can be defined as "a state of complete physical, mental and social well-being” and not
merely the absence of disease or infirmity. Occupational health is a multidisciplinary field
of healthcare concerned with enabling an individual to undertake their occupation in the way
that causes least harm to their health. Health contrasts with the promotion of health and safety
at work, which is concerned with preventing harm from any incidental hazards, arising in the
workplace.
Those in the field of occupational health come from a wide range of disciplines and professions
including medicine, psychology, epidemiology, physiotherapy and rehabilitation, occupational
therapy, occupational medicine, human factors and ergonomics, and many others.
Professionals advise on a broad range of occupational health matters. These include how to
avoid particular pre-existing conditions causing a problem in the occupation, correct posture for
the work, frequency of rest breaks, preventative action that can be undertaken, and so forth.

2.1. Functions of Occupational Health Services

As stated earlier, the function of occupational health services is mainly to prevent certain
incidents and/or accidents from occurring in the workplace.
These functions include:
• Identification and assessment of the risks from health hazards in the workplace. This
involves surveillance of the factors in the working environment and working practices

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 which may affect workers' health. It also requires a systematic approach to the analysis
of occupational "accidents", and occupational diseases.
• Advising on planning and organisation of work and working practices, including the
design of workplaces, and on the evaluation, choice and maintenance of equipment and
on substances used at work. In so doing, the adaptation of work to the worker is
promoted.

• Providing advice, information, training and education, on occupational health, safety and
hygiene and on ergonomics and protective equipment.
• Surveillance of workers' health in relation to work.
• Contributing to occupational rehabilitation and maintaining in employment people of
working age or assisting in the return to employment of those who are unemployed for
reasons of ill health or disability.
• Organising first aid and emergency treatment.

2.2. Occupational physicians and medicine

Doctors in occupational medicine diagnose, manage and prevent disease that has been caused
or exacerbated by workplace factors. They are concerned with all aspects of the effects of work
on health and health on work.

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Nature of the work

Occupational physicians visit workplaces and assess a range of work-related health issues.
Helping people to stay at work or to return to work following accident or illness is a key part of
their role. The work is varied, combining clinical medical practice with the need to influence and
shape the behaviour of both individuals and organisations.

Preventing illness and injuries that can occur as a result of work are an important aspect of
occupational medicine, as well as rehabilitation following illness or injury.

Occupational physicians may be employed by the NHS or by a large organisation, such as the
Emergency Services, the Armed Forces or transport organisations including rail companies.
Manufacturing companies often have their own in-house occupational health services offering
further employment opportunities for occupational physicians. Occupational physicians are also
employed by independent occupational health providers who provide services for a number of
employers.

Psychological factors are important in occupational medicine. For example, in the armed forces,
alcohol issues, depression and adjustment factors often predominate, along with (to a lesser
degree) post-traumatic stress disorder.

Examples of some of the more challenging issues facing occupational physicians include
alcohol misuse in safety critical roles, weight control for individuals in transportation industries
and managing healthcare staff returning to work following a period treating patients abroad from
an Ebola risk area.

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Occupational physicians also need to combine their clinical knowledge with a detailed
understanding of employment and anti-discrimination legislation as well as environmental and
health and safety law.

As the importance of employment to health and wellbeing become more widely understood,
occupational medicine is moving up the political agenda and is likely to play a larger role in
future government policy.

Occupational physicians typically deal with issues including:

• work-related stress
• diseases caused by asbestos
• noise-induced hearing loss
• work-related back pain
• problems caused by exposure to chemicals and vibration
Related subspecialties include:
• aviation medicine
• disability assessment medicine
• diving medicine
• occupational dermatology
• radiation medicine
• respiratory medicine
• sports and exercise medicine
• travel medicine

2.3. Occupational therapy

OT is the use of assessment and intervention to develop, recover, or maintain the meaningful
activities, or occupations, of individuals, groups, or communities. Occupational therapists often
work with people with mental health problems, disabilities, injuries, or impairments. An
occupational therapist is someone who "helps people across the lifespan participate in the
things they want and need to do through the therapeutic use of everyday activities (occupations)

Work and industry

Occupational therapists work with clients who have had an injury and are returning to work.
They perform assessments to simulate work tasks to determine best matches for work,

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accommodations needed at work, or the level of disability. Work conditioning and work
hardening are interventions used to restore job skills that may have changed due to an illness or
injury. Occupational therapists can also prevent work related injuries through ergonomics and
on-site work evaluations.

2.3.1. Human factors and ergonomics (commonly referred to as Human Factors)

It is the application of psychological and physiological principles to the (engineering and) design
of products, processes, and systems. The goal of human factors is to reduce human error,
increase productivity, enhance safety and comfort with a specific focus on the interaction
between the human and the thing of interest.

In research, human factors employ the scientific method to study human behaviour so that the
resultant data may be applied to the four primary goals. In essence, it is the study of designing
equipment, devices and processes that fit the human body and its cognitive abilities. The two
terms "human factors" and "ergonomics" are essentially synonymous.
• Human Factors is employed to fulfill the goals of occupational health and safety
and productivity. It is relevant in the design of such things as safe furniture and easy-to-
use interfaces to machines and equipment.
• Proper ergonomic design is necessary to prevent repetitive strain injuries and
other musculoskeletal disorders, which can develop over time and can lead to long-term
disability.
• Human factors and ergonomics are concerned with the "fit" between the user,
equipment, and environment. It accounts for the user's capabilities and limitations in
seeking to ensure those tasks, functions, information, and the environment suit that user.
• To assess the fit between a person and the used technology, human factors specialists
or ergonomists consider the job (activity) being done and the demands on the user; the
equipment used (its size, shape, and how appropriate it is for the task), and the
information used (how it is presented, accessed, and changed).

2.3.2. Physical ergonomics

Certain jobs or work conditions cause a higher rate of worker complaints of undue strain,
localized fatigue, discomfort, or pain that does not go away after overnight rest. These types of
jobs are often those involving activities such as repetitive and forceful exertions; frequent,
heavy, or overhead lifts; awkward work positions; or use of vibrating equipment. The

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Occupational Safety and Health Administration (OSHA) has found substantial evidence that
ergonomics programs can cut workers' compensation costs, increase productivity and decrease
employee turnover. Therefore, it is important to gather data to identify jobs or work conditions
that are most problematic, using sources such as injury and illness logs, medical records, and
job analyses. This causes one of the most prevalent types of work-related injuries,
musculoskeletal disorder. Work-related musculoskeletal disorders (WRMDs) result in persistent
pain, loss of functional capacity and work disability, but their initial diagnosis is difficult because
they are mainly based on complaints of pain and other symptoms.

Physical ergonomics: the science of designing user interaction with equipment and workplaces
to fit the user.
Cognitive ergonomics is concerned with mental processes, such as perception, memory,
reasoning, and motor response, as they affect interactions among humans and other elements
of a system. (Relevant topics include mental workload, decision-making, skilled performance,
human reliability, work stress and training as these may relate to human-system and Human-
Computer Interaction design.)

2.3.3. Physical therapy (PT)

Physical therapy also known as physiotherapy, is one of the allied health professions that, by
using mechanical force and movements, manual therapy, exercise therapy and electrotherapy,
remediates impairments and promotes mobility and function. Physical therapy is used to
improve a patient's quality of life through examination, diagnosis, prognosis and physical
intervention. It is performed by physical therapists (known as physiotherapists in many

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countries). Physical therapy services may be provided as primary care treatment or alongside,
or in conjunction with, other medical services.

Military physical therapists working with patients on balance problems, orthopaedic, amputee,
Examining patient's strength, flexibility, joint range of motion balance and gait.

3. Industrial hygiene
Industrial Hygiene is about the identification, evaluation, and control of physical, chemical,
biologic and ergonomic hazards.

3.1. Occupational hygiene

Occupational hygiene is the anticipation, recognition, evaluation, control and prevention of
hazards from work that may result in injury, illness, or affect the wellbeing of workers. These
hazards or stressors are typically divided into the categories: biological, chemical, physical,
ergonomic and psychological.

Health risks relate directly to hazard exposure. Where chemicals are present, the hazard relates
to the dose response profile most often based on toxicological models. Occupational hygienists
work closely with toxicologists to better understand chemical hazards, physicists for physical
hazards, and physicians and microbiologists for biological hazards. Environmental and
occupational hygienists are considered experts in exposure science and exposure risk
management. Depending on an individual's type of job, a hygienist will apply their exposure

51
science expertise for the protection of workers, consumers and/or communities.

Occupational hygiene is both an aspect of preventative medicine and in particular occupational

medicine, in that its goal is to prevent industrial disease, using the science of risk
management, exposure assessment and industrial safety. Ultimately professionals seek to
implement "safe" systems, procedures or methods to be applied in the workplace or to the
environment.

3.2. Occupational Hygienist

The occupational hygienist may be involved with the assessment and control
of physical, chemical, biological or environmental hazards in the workplace or community that
could cause injury or disease. Physical hazards may include noise, temperature
extremes, illumination extremes, ionizing or non-ionizing radiation, and ergonomics. Chemical
hazards related to dangerous goods or hazardous substances are frequently investigated by
occupational hygienists. Other related areas including indoor air quality (IAQ) and safety may
also receive the attention of the occupational hygienist. Biological hazards may stem from the
potential for legionella exposure at work or the investigation of biological injury or effects at
work, such as dermatitis may be investigated.

Workplace assessment
Hygienists reduce the risks of health effects by implementing the "Hierarchy of Hazard
Controls". (more about the hierarchy later on in this chapter).Several methods can be applied
in assessing the workplace or environment for exposure to a known or suspected hazard.
A traditional method applied by occupational hygienists to initially survey a workplace or
environment is used to determine both the types and possible exposures from hazards (e.g.
noise, chemicals, radiation). The walk-through survey can be targeted or limited to particular
hazards such as silica dust, or noise, to focus attention on control of all hazards to workers. A
full walk-through survey is frequently used to provide information on establishing a framework
for future investigations, prioritizing hazards, determining the requirements for measurement
and establishing some immediate control of potential exposures. The Health Hazard Evaluation
Program from the National Institute for Occupational Safety and Health is an example of an
industrial hygiene walk-through survey. Other sources of basic characterization information
include worker interviews, observing exposure tasks, material safety data sheets, workforce
scheduling, production data, equipment and maintenance schedules to identify potential
exposure agents and people possibly exposed.

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 • Dust sampling
• Chemical sampling

4. Environmental Management

Source: [Link]

Environmental management is “a purposeful activity with the goal to maintain and improve the
state of an environmental resource affected by human activities.

Definition of Environmental Management:

Environmental Management can be defined as “the management of the interaction and impact
of human activities on the natural environment”.

Environmental management further aims to ensure that ecosystem services and biodiversity are
protected and maintained for equitable use by future human generations, and also, maintain
ecosystem integrity as an end in itself by taking into consideration ethical, economic, and
scientific (ecological) variables. Environmental management tries to identify the factors that
have a stake in the conflicts that may rise between meeting the needs but protecting the
environment.

• Identification: Via complaints/concerns from the community we identify a certain

environmental problem
• Evaluation: Inspections with relevant Government Departments (Provincial and National)
we determine the extent of the problem
• Control: The problem is brought to the attention of the transgressor/polluter and the
person/company who is informed to stop the illegal activity and address the problem or
concerns which include the rehabilitation of the area(s).

Environmental Management Officials have a statutory obligation to protect the environment for
the present and the future generations as enshrined in the Constitution’s Bill of Rights

In particular, the Bill of Rights stipulates that:

“Everyone has the right –

(a) to an environment that is not harmful to their health or well-being; and

53
(b) to have the environment protected, for the benefit of present and future generations, through
reasonable legislative and other measures that –
(i) prevent pollution and ecological degradation;
(ii) promote conservation; and
(iii) secure ecologically sustainable development and use of natural resources while promoting
justifiable economic and social development”.

Sustainable Development is defined as Development that meets the needs of the present
generation without compromising the ability of future generations to meet their own needs”

Section 152 of the Constitution, together with Schedules 4 and 5, outline the objectives, powers
and functions of national, provincial and local government. The objectives for local government
are to:

• Provide democratic and accountable government for local communities;

• Ensure the provision of services to communities in a sustainable manner;
• Promote social and economic development;
• Promote a safe and healthy environment; and
• Encourage the involvement of communities and community organisations in the matters
of local government.

Schedules 4B and 5B contain a total of 38 ‘local government matters’ which, under the
subsections above, are the responsibility of local government. The following are of particular
relevance to the management of the environment:

• Air pollution
• Fire-fighting services
• Local tourism
• Municipal planning
• Municipal health services
• Storm water management in built up areas
• Water and sanitation services (limited to potable water supply systems and domestic
waste-water and sewerage disposal systems)
• Beaches
• Cleansing
• Local amenities

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 • Municipal parks and recreation
• Noise pollution
• Public places
• Refuse removal, refuse dumps and solid waste removal

5. Control Measures

Control measures are the procedures you put in place to reduce risk and prevent harm. A
successful risk assessment should check existing controls, and consider if you need to do more.
Occupational health, safety and environmental control provides the workforce with the skills
and knowledge they need to develop and implement a variety of occupational health, safety and
environmental control programs at the workplace. This knowledge is necessary to ensure the
safety and protection of all personnel.

When we look at control measures we often refer to the hierarchy of control measures:
• Eliminate the hazard.
• Substitute the hazard with a lesser risk.
• Isolate the hazard.
• Use engineering controls.
• Use administrative controls.
• Use personal protective equipment. (PPE)

Control measures may include one or a mixture of:

• Removal
• Rules
• Procedures
• Equipment
• Exclusions
• Training
• Supervision
• Limitations
• Preventions
• Methods
• Arrangements

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There are many control measures available, examples of which are:
• Telling your team to carry out a task wearing goggles to protect their eyes;
• Sending staff on a training course to understand how to do something safely;
• Providing an item of equipment that makes the task safer, that's also a control measure.

Elimination is the best control measure you can use to eliminate the risk from the task entirely.
No risk, no danger, no chance of harm!
Unfortunately though you cannot use this control for every risk and be the safest business in the
world. While in theory it may be possible to eliminate every risk, in practice this would mean you
and your team sitting in a padded room, away from any tools or equipment and not getting any
work done. Great for safety, but not so great for business.
What elimination is actually about is eliminating those risks that are unnecessary. For example,
working at height creates a high level of risk, so if instead you can do the work from ground level
(e.g. using extendable poles or raising and lowering equipment) then you have eliminated the
risk of working at height.

What about when you can't eliminate a risk? If the work has to get done at roof height there is
no getting around it and this risk cannot be eliminated. It can however be controlled, and to
assist with controlling risk we use the hierarchy of control measures.

The Hierarchy of Control is simply a list of the best control measures, in order of priority. Item
number 1 in the list is the best and should be considered first before moving to item number 2.

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i) Elimination
Elimination should always be the first control measure you consider. Ask yourself, can this risk
be removed entirely from this activity?
Examples of elimination:
• Use extendable tools to eliminate work at height.
• Materials delivered cut to size to remove the use of blades.
• Cordless equipment to get rid of trailing cables.

ii) Substitution
Substitution is the second-best control measure you could use. Maybe the risk cannot be
removed entirely (as is often the case), but could it be reduced by replacing the material,
substance or process with something less dangerous?
Examples of substitution:

57
 • Replacing ladders with tower scaffolds.
• Substituting a hazardous chemical with a safer alternative.
• Changing high-level vibrating equipment with newer equipment with less vibration
exposure.

iii) Engineering controls

The third option is engineering controls - usually fixed temporary or permanent controls.
Engineering controls could be collective (protecting all workers e.g. edge protection for work at
height) or individual (protecting a single user e.g. anchor points for connecting via lanyard). Give
priority to measures which protect collectively over individual measures.
Examples of engineering controls:
• Extraction machines to remove hazardous dust or fumes from the air.
• Enclosing dangerous items of machinery or moving parts.
• Installing guard rails to fall hazards.

iv) Administrative controls

While this type of control is lower down in priority, it will often be an essential part of your control
measures. These are the rules and systems you put in place to carry out the work safely. What
are the procedures you need to do with work without anyone getting hurt?
Examples of administrative controls:
• Limiting the use of vibrating equipment below exposure action values.
• Banning work at height and lifting operations in bad weather.
• Enforcing a one-way traffic system on site.

v) Personal protective clothing and equipment

Last, but not least on our list, is personal protective clothing and equipment (PPE). PPE is the
last line of defence against a hazard, so while it shouldn't be your first choice when controlling
risks, it can give the wearer added protection for any remaining level of risk, or if other controls
fail.
Examples of PPE:
• Use of ear defenders when using noisy equipment.
• Harnesses and lanyards where you can't eliminate the risk of falls completely.
• Hard hats where there may be falls of tools or materials overhead.

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5.1. Health Risk Control
Reducing the risk of negative health effects at the workplace is also based on the Hierarch of
Control measures. The control measures to reduce risks can be categorized in terms of
administrative and engineering controls, and/or in terms of control location, i.e. source, path and
receiver.
The best way to achieve control is by addressing the source of the hazard/contamination, and
consequently this is placed on top of the control measure hierarchy. Substitution of currently-
used materials with less hazardous materials is one of the most effective ways for eliminating or
reducing exposure to materials that are toxic or pose other hazards.
If control by source cannot be achieved or does not resolve the problem then an attempt should
be made to control the risk by interrupting the path of exposure between the hazardous
material and the worker/receiver. In terms of “path”, engineering controls are preferrable to
administrative/procedural controls: This is not necessarily due to a question of effectiveness but
more to the potential longevity of the measure. While an engineering control requires a physical
change to the workplace, administrative controls require the workers or employers to do
something.
Personal protective equipment is considered to be the least effective measure and is placed
at the bottom of the control hierarchy. Personal Protective Equipment (PPE) requires the
workers to wear something and should be the last resort for reducing exposures. It is only if
none of the measures in the upper part of the control hierarchy can be achieved, should one
resort to a situation where the primary control measures are based around the workers
themselves.
In summary, when deciding on what controls can be used, start at the top and work down the
list considering each measure in turn, and try to use measures that are higher up in the
hierarchy. This means that although PPE can often be used, it should not be the first choice
when controlling exposure to a hazard.

Following the Hierarchy of Control, measures that can be applied at the source of the
contamination include:

• Eliminate the source, – examples; o use electric instead of diesel powered forklift
trucks o use automatic instead of manual machines for hazardous work such as cutting
and skinning

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 • Substitution – using a less hazardous chemical or process; o asbestos has been
banned in many countries, and is substituted by synthetic mineral fibres for insulation o
lead in paint has been substituted by e.g. zinc and titanium dioxides
• Isolation / containment / enclosure; o enclose sources or the employee, or the source
and some employees together rather than all employees o place the source in a
separate location from the employees
• Modification of the source or process o replace dry sweeping with broom with
vacuum cleaning or wet methods o use pellets instead of powders o use pre-mixed or
diluted chemicals instead of manually mixing or diluting chemicals at the workplace
• Automation – use robotics, remote or computer aided products
• Local exhaust ventilation – using ventilation to capture the contaminant at the
source, to prevent it dispersing

Control along the path

When the contaminant is dispersing, it is more difficult and fewer options are available. They
include;

• General ventilation – which dilutes the contaminant concentration

• Increasing the distance between the source and the workers (i.e.: increasing the
length of the pathway so that there is more dispersion and dilution)
• Use of screens and partial barriers

Worker based (receiver) controls include:

• Administrative controls – rotating workers, limiting the length of time they work in a
location
• Personal protective equipment (PPE) – wearing something that decreases or limits
the effects of the contaminant (Note: the contaminant has already reached the worker).
PPE includes;
Head Protection, Eye and Face protection, Hearing protection, Respiratory protection, hands,
foot, body protection, protection against falling.

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6. Responsible Parties
In South Africa the Department of Labour is responsible for occupational health and safety
inspection and enforcement in commerce and industry apart from mining and energy
production, where the Department of Mineral Resources is responsible.
The main statutory legislation on Health and Safety in the jurisdiction of the Department of
Labour is Act No. 85 of 1993: Occupational Health and Safety Act as amended by Occupational
Health and Safety Amendment Act, No. 181 of 1993.
Regulations to the OHS Act include:
• General Administrative Regulations, 2003
• Certificate of Competency Regulations, 1990
• Construction Regulations, 2014
• Diving Regulations 2009
• Driven Machinery Regulations, 1988
• Environmental Regulations for Workplaces, 1987
• General Machinery regulations, 1988
• General Safety Regulations, 1986
• Noise induced hearing loss regulations, 2003
• Pressure Equipment Regulations, 2004

Do the online quiz for Chapter 3 on your student portal.

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CHAPTER 4: Behavioural safety management

Outcomes

On completion of this chapter, you will be able to understand behavioural safety

management.

1. Explain what is meant by behaviour and how the behaviour of people influences
their health and safety.

2. Describe the factors that influence the behaviour of people and give examples of
this in a work environment.

3. Identify and explain the role of behavioural modification in influencing the overall
health and safety of employees.

4. Explain what contribution leadership can make towards creating a culture where
unacceptable behaviour regarding health and safety issues are not tolerated.

5. Given at least three different safety behaviour scenarios be able to

➢ Identify the correct safety behaviours.
➢ Identify incorrect safety behaviours.
➢ Describe what must be done to improve the safety behaviours.

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Behaviour and the influence on health and safety

Employees need to behave sensibly at the workplace, not only to gain appreciation and respect
from others but also to maintain a healthy work culture. One needs to adhere to the rules and
regulations of workplace. Do not forget that you are not the only one working; there are other
people around as well.

Behaviour
Definition 1: the way in which one acts or conducts oneself, especially towards others or the
way in which a person behaves in response to a particular situation or stimulus.
Definition 2: The term employee behaviour refers to the way in which employees respond to
specific circumstances or situations in the workplace.

Factors affecting the health and safety behaviour of industrial workers

Occupational health and safety literature suggests that effective worker participation depends
on a number of variables. Management cooperation and commitment, the presence of
government in ensuring the organisational compliance with workers' rights and legal protections,
training, and access to information offered by unions are the factors identified by Ochsner and
Greenberg (1998); for workers’ active role in health and safety.

1. Personal factors
a) Demographic factors: Age of workers, level of education, type of employment, and
gender were some of the commonly concerned demographic factors (Parker, 2007;
Seixas, 2008; Carpenter, 2002).
b) Knowledge and Awareness: Safety experts, Fleming, and Lardner (1999) have
discovered the personal factors contribute to 80 – 90% of all industrial accidents. The
main reason found was incorrect procedures in conducting jobs.
c) Work related Stress: The main causes for work related stress are work tasks, work roles,
career concerns, management style, interpersonal relationships, environmental
conditions, and homework interface (Koh et al., 2005).
d) Worker’s Attitude: Accidents are caused by human element and human error (Atherley,
2002). These two can be reduced by changing workers’ attitude and behaviour.

It is not always what we do, but how we do it, which causes accidents

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 Health and safety advice is relevant to all types of workplaces - manufacturing plants,
schools, banks and building sites. These all have one thing in common - people are
involved. Even in organisations where systems are highly automated, people will play
some role. People use the machinery, set in train the machinations of the system, keep
it going and monitor systems of work and check and re-check methods used. We have
learnt much about how machines function and malfunction from the investigation of
accidents; we have also learnt about human failure in terms of behaviour and about the
misfit, at times, between the human and the machine which results in near misses or
accidents.

2. Influence of the Co-workers, Management and Organisation’s focus

Watson (2005) observes that co-workers’ safety norms have a significant influence on
the at-risk behaviour of an individual. Shannon et al. (2001) found the fellow workers’
perception on health and safety affects an individual’s level of compliance towards
safety.
Management’s commitment to safety is an important factor in influencing the workers’
attitude to follow safety practices. In a study in industrial plants, workers who perceived
their management having a higher commitment to safety, had low accident rates (Smith
et al., 1978 In Yule et al., 2007). Rundmo (1994) In Yule et al. (2007), found two
important determinants of workforce satisfaction with safety viz; Management
commitment to safety, and Organisational support provided by the management

3. Influence of the Supervisors and Working environment

Supervisor as the immediate hierarchical position for the worker, play a pivotal role in
company health and safety practices. Majority of safety procedures, monitoring means
which come from the senior management are implemented by supervisors. In a study
conducted on employee attitudes towards safety, Cheyne, et al. (2002) found the
physical working environment as a key factor contributing to safety activities of
organisations.

4. Demands of the Job

Certain jobs require long hours due to the labour shortage and purposeful layoffs etc.
Onset of fatigue is the result of working for long hours. It directly affects the safety
behaviour. Studies have shown that health effects arise with over 50 work hours a week.
Numerous problems associated with stress such as gastrointestinal disorders,

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 musculoskeletal disorders, etc., may also be associated with long working hours
(Spurgeon et al., 1997).

5. Conceptual Framework
Factory workers’ contribution towards workplace health and safety.

Example: Construction site

The key factors that may contribute to accidents and unsafe behaviour on construction
sites were extracted:

New conceptual framework for factors influencing unsafe behaviour and accidents on
construction sites

Quality rating of studies conducted showed that one of the most important factors influencing
unsafe behaviour and accidents was individual characteristics (shown below).

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Strength of evidence of factors influencing unsafe behaviour and accidents on construction sites

Different studies introduced different variables. Seven themes were extracted from content
analysis, i.e., attitude and motivation, age and experience, drug abuse, unintended acts,
intended acts, competency and ability, and psychological distress. Among all the investigated
individual characteristics, safety attitude and motivation, and age and experience showed
moderate evidence of positive association with unsafe behaviour and accidents. There are
many studies that identified inappropriate action (e.g., unsafe acts, improper use or no use at all
of the provided personal protection equipment [PPE], and taking shortcuts) as the immediate
cause of construction accidents. For example, Suraji, Duff, and Peckitt identified inappropriate
operative action as a proximal factor rather than a distal factor. The proximal factors, e.g.,
shortcoming in workmanship, may be the outcome of a violation rather than a cause. Therefore,
there is a clear relationship between individual characteristics and other distal factors
influencing unsafe behaviour and accident on construction sites.

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Factors that influence behaviour in the workplace

There are several internal as well as external factors affecting employee behaviour (influential
forces)
Companies rely on employees to produce and deliver high-quality products and services.
Employee behaviour is impacted by a variety of forces, both internal and external, as they
attempt to perform their job duties. Employers who are aware of these forces, and who are
prepared to leverage or counteract them, can have a positive impact on the employee's
behaviour. Below are a few of the forces that influence employee behaviour. Let us go through
them in detail:

Leadership

Managers and leaders play an important role in influencing the behaviour of individuals at
workplace. It is the responsibility of leaders to set a direction for team members. In majority of
the cases, it has been observed that employees do not feel like going to work when they have
strict bosses. You need to stand by your team always. Guide them and help them in their day-
to-day operations and help them acquire new skills and upgrade their knowledge. Make them
feel important. As a leader, you need to be a strong source of inspiration for your subordinates.
If you do not reach office on time, how can you expect your team members to adhere to the
rules and regulations of organisation?

Work Culture

Employees need to feel comfortable at workplace for them to stay positive and happy. Rules
and regulations should be same for everyone. Employees ought to be encouraged to respect
their reporting bosses and follow the code of ethics. There should not be complicated reporting
systems. Transparency at all levels is essential. You must know what your team member is up
to and vice-a-versa. Job security is one of the most crucial factors affecting employee
behaviour. Employers should stand by their team at times of crisis and not throw them out
during bad times.

Job Responsibilities

Employees should be asked to do what best they can perform. Do not overburden employees.
Encourage them to upgrade their skills from time to time.

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Effective Communication

Managers need to communicate effectively with team members. The moment, employees feel
left out, they lose interest in work. They need to have a say in organisation’s major decisions.
Let them express their views and come out with their problems. Grievances need to be
addressed immediately.

Family and Personal Life

If there is a row with your family members or relatives in the morning, you feel restless the
whole day. It has been observed that individuals with a troubled background or problematic
family life tend to behave irrationally at workplace. Employees who have strained relationships
with family members like to sit till late at work and spoil the entire work culture. Individuals from
very poor families also have a habit of stealing office stationery and taking things to home.
Conflicts in personal life lead to stress and irrational behaviour. Also, individuals should try not
to bring their personal problems to work. Try to keep your personal and professional life
separate.

Relationship at Work

It is necessary to have friends at the workplace. You need people around to talk to, discuss and
share experiences. It is really not possible to work in isolation. Not allowing employees to
interact with fellow workers leads to frustration and stress at workplace. Avoid arguing with team
members.

While many elements determine an individual's behaviour in the workplace, employees are
shaped by their culture and by the organisation's culture. Personal and corporate culture affect
the way employees communicate and interact with one another and with management.
Additionally, an employee's beliefs affect his or her ethics and sense of ethical responsibility.

Positive environment

A critical, internal force that influences employee behaviour is the actions of colleagues.
Companies that can effectively build an internal culture that is based on mutual respect,
teamwork, and support will attract and retain employees with good behaviour.

Technology

Technology is a significant factor that can have both positive and disruptive influences on
employee behaviour. While technology can often help streamline processes and make work

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easier for employees, learning how to use new technology while remaining productive can be
stressful. Factor in the rapid advent of technology, in general, and employers seem to be faced
with an almost ongoing need for new training, process improvement, and documentation.

Customer demands

Customer demands can be an external force that exerts pressure on organisations to

continually stay ahead of the competitive curve. Employees must adapt to the changing needs
of customers, the growing shrewdness of customers, and the heightened expectations that
customers put on employee behaviour.

There is a certain way individual behave in a particular situation. No two individuals behave in
similar ways. There are individuals who find it difficult to handle stress whereas there are certain
individuals who have the ability to face unforeseen circumstances with a smile.

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Behavioural modification and the overall health and safety of
employees

In the Health and Safety sector, the concept of behaviour changes stems from the principle that
no one should suffer injury during the course of their work. It is achieved by effective
communication between all the people involved in carrying out an organisation’s business, with
an emphasis on reporting ‘near-misses’ in order to prevent more severe incidents and
accidents.
Behaviour change is vitally important, so it is appropriate that everyone within an organisation
should do all they can to improve health and safety performance.

The role of a health and safety practitioner in improving health and safety performance
A health and safety practitioner in an organisation does not just carry out procedures; they are
responsible for devising and implementing them. With their knowledge and experience, they are
ideally placed to take the lead in promoting a safety culture to influence behaviour change.
Everyone else will follow the example, so it’s crucial that to get it right. Below are the main
aspects of health and safety that are necessary to understand when influencing behaviour
change:

Legal duties
The Health and Safety at Work Act 1974 underpins everything, providing a standard and a
framework for behaviour and best practices. Employers must ensure their employees’ health
and safety by providing a safe working environment with the appropriate systems and
procedures, training and supervision, and equipment necessary for them to carry out their tasks.

Employees also have a duty to ensure their own, and others’, health and safety. This is
achieved by using equipment safely (when trained to do so), wearing appropriate protective
clothing, and reporting any problems to their employer. A health and safety practitioner should
be fully aware of all the legal duties of employers and employees. They should also ensure that
everyone else knows their duties.

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Hazard, risk and control

• The health and safety practitioner possesses considerable knowledge of hazards and
risks. Electricity, working at heights, and excessive noise are just three examples of
hazards that might be encountered in the workplace.
• Risk can be controlled. In a noisy working environment, for example, hearing protection
should be worn.
• Electrical equipment should be safe and suitable for the task, and an RCD (residual
current device) can reduce the possibility of injury.
• Not all hazards cause accidents or incidents, though. Near-misses may also occur.
These are unplanned events that do not cause injury but could do so. For example, a
pallet might drop from a forklift truck and not cause any harm, but if someone had been
close to it, they might have been injured.
• Near-misses need to be reported because action can then be taken to remedy them and
avoid accidents or more serious incidents, where the consequences could be medical
treatment, time off work, or even death.

Causes of accidents
• Accidents often occur because of unsafe acts, which lead to unsafe conditions. For
example, when using a stepladder, it is an unsafe act to stand on the top step; doing so
creates the unsafe condition of a dangerous working platform.
• At the root of unsafe acts are human factors.
o A worker may lack training, experience, or appropriate supervision.
o They may be experiencing stress, whether because of pressure from colleagues
or management, or anxiety from something in their personal life.
o They could also be simply careless, or even engaging in risky behaviour for
some excitement.
Knowing about the causes of accidents enables you, as a health and safety practitioner, to
combat the relevant behaviour and thereby reduce unsafe acts and conditions.

Attitude and behaviour

An organisation may have policies and procedures in place, but health and safety performance
will not be acceptable if people are engaging in unsafe behaviour.
How, then, do you motivate people to practise safe behaviour?

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It is necessary to involve employees in every aspect of health and safety, and provide them with
the appropriate training, working environment, and welfare facilities.

When employees are motivated, a positive attitude towards safe behaviour is fostered. Whereas
starting off with an unsafe attitude will have a negative effect, beginning with a safe attitude
means that a worker will stop and think before they begin their task and will assess what needs
to be done. The task will then be carried out safely, resulting in a positive effect on the worker
and their colleagues.

Key to motivation is effective communication. Information needs to be clear and given at the
right time. Workers need to know that taking short cuts is unacceptable and that the
consequences can be disastrous, but they also need to know that their managers will listen to
what they have to say about their work and will not ignore any safety problems that they have
identified. Employees will also respond well to praise, as well as advice that is delivered in a
polite manner.
To keep employees motivated and focused on their safety, people should use tools such as
STAARR and TASK cards:
• STAARR stands for “Stop, Think, Assess, Act, Report, Review”
• TASK stands for “Think first, Act safe, Stop if hazardous, Keep safe”.
These tools prompt workers to assess risks before they begin a task. Instead of starting without
regard for their safety, they are reminded to consider their environment and what they are about
to do.

Getting it right
When employers and employees collaborate in carrying out work safely, accidents and incidents
are reduced. This means that there is less chance of a company’s directors being severely
punished or having to pay compensation (and potentially a greater insurance premium) because
of negligence. In short, safety is good for business.
As a health and safety professional, you can use your own experience to promote the right
attitude and behaviour within your organisation.
Continuing professional development is essential to your practice, so why not expand your
knowledge by taking a course on behaviour change? Such courses are offered by health and
safety training providers, and although the content varies, all share core principles.

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Through participating in discussions and role plays, you will be able to draw on your own
experience, learn new techniques, and share information with your peers. Most importantly, you
will achieve a greater understanding of the psychology of risk-taking, and of the strategies used
to motivate people to engage in safer behaviour.

According to Professor James Reason, author of Managing the Risks of Organisational

Accidents, promoting safe and healthy behaviour at work is a critical part of any occupational
safety and health (OSH) management system because it is behaviour that turns systems and
procedures into reality. Good systems on their own do not ensure successful health and safety
management; the level of success is determined by how organisations "live" their systems.

A 2002 research report for the Health and Safety Executive (HSE) found that behaviour-
modification techniques can promote critical OSH behaviours, if they are implemented
effectively.

Behaviour-modification programmes have become popular because of growing evidence that a

high proportion of injuries at work are primarily caused by unsafe activities/behaviour. As far
back as the 1930s, HW Heinrich argued that 88% of injury accidents were primarily caused by
unsafe activities and only 10% by unsafe conditions, based on his studies of workplace injury
reports.

A focus on changing the unsafe behaviours/activities that promote accidents into safe ones is
vital, alongside management of the environmental and work-specific hazards that contribute to
injury and ill health. But the HSE report stresses that to focus solely on changing individual
behaviour without considering necessary changes to how people are managed, organised,
motivated and rewarded (through the OSH management system) is only treating the symptoms
and not the root causes of unsafe behaviours. So any behaviour modification programme must
extend to the supervisors, managers and directors who control the implementation and
operation of OSH management systems.

Only human

The human factors theory that underpins behaviour-modification systems is a mix of three
academic disciplines: occupational psychology, sociology and anthropology. It recognises that
various factors, both physical and mental, work together to affect human behaviour. The
physical ones include gender, body size, capability/strength and health.

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The mental ones are as follows.
• Attitude: behavioural tendencies.
• Motivation: the factors which help direct or drive the way an individual or group acts.
These factors include encouragement, incentives (financial or otherwise); involvement in
decision-making; visible demonstrations of commitment, such as "managing by
wandering about"; targeted communications; and disciplinary action.
• Perception: the individual or group's view of their (working) environment and what
happens there. Good OSH behaviour requires a common perception of risks together
with the perception of the organisation's overall commitment to risk control.
• Mental capability: the ability to understand and use information in the correct (and safe)
manner.

Safe and healthy behaviour in the workplace is influenced by a combination of knowledge,

experience, capability, perception and motivation which frame the individual and collective
attitudes to OSH management, and can significantly influence the organisation’s OSH culture.
Positive attitudes help create a strong, sensible culture, while negative attitudes correlate to
poor, weak, fault-finding cultures.

The key theories of human motivation such as A.H. Maslow's "hierarchy of needs" or F
Herzberg's "motivation-hygiene" theory can be used to switch directors and managers on to a
more positive approach to OSH management.

These theories emphasise the fact that positive motivators have a longer lasting impact than
negative motivators and that creating a "feel-good" factor is the most effective way to increase
performance.

Rule of four

The HSE research listed four main categories of critical OSH behaviours:

• leadership and direction

• management actions
• risk-control behaviours
• front-line OSH behaviours.

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By focusing on gaining compliance with site rules or job-specific activities such as correct
manual handling, most OSH behaviour-modification systems ignore the first three of these
factors. But continual improvement in OSH management depends on attention to all four.

Leadership and direction behaviour hinges on the demonstration of visible commitment to OSH
management ("management by walking about" again) and the prioritisation of OSH
management in mission statements, promoting good corporate governance/corporate social
responsibility.

Management actions include investing in new, safer plant and equipment, improving training
and communication programmes and recruiting suitable and sufficiently competent people.

Risk-control behaviours involve undertaking and communicating risk assessments, together with
appropriate workplace precautions. They also involve compliance with agreed operating or
emergency procedures.

These categories account for the majority of OSH behaviours. Returning briefly to the fourth -
front-line employee OSH behaviours - these can be divided into infrequent or regular job-
specific operations, and general behaviours, such as obeying site OSH rules, safe operating
procedures, obtaining permits to work and using personal protective equipment.

Well behaved

According to research into work behaviours by Judy Komaki and colleagues, published in the
International Review of Industrial and Organisational Psychology in 2000, behaviour-
modification programmes have three main elements.

The first involves pinpointing relevant behaviours, specifying carefully the ones that need
changing and directly measuring behaviour. The second is analysing the behaviour and
focusing on the antecedents (influencing factors) and consequences. Perception of possible
consequences has a powerful impact on determining our behaviour; antecedents, such as OSH
policy, management training, individual targets, can also have a very important impact.

The third element is an emphasis on evaluation - checking rigorously whether behaviour has
changed as intended and whether the change was due to the planned intervention or to other
factors.

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Interventions aimed at changing behaviour (especially at directorial or managerial levels) will
vary depending on the organisational setting, the target population and behaviours that need
altering. The HSE report suggests that the three main elements outlined above lend themselves
to a six-step intervention process.

1. Establishing the desired result or output of the activity or the individuals under
examination.
2. Specifying those critical behaviours that influence performance in the area(s) to be
improved.
3. Ensuring the individuals are capable of behaving in the desired way.
4. Conducting an ABC analysis (antecedents, behaviours, consequences) of the current
and desired behaviours, changing antecedents where necessary.
5. Altering the consequences immediately following the desired behaviours.
6. Evaluating the impact of altering the consequences on the behaviour and on the desired
result.

This process can be used to promote and analyse any critical health and safety behaviour at
director/manager level. To maximise the positive effect of any behaviour-modification process, it
has to be fully integrated into the OSH management system, as managers must see it as a vital
part of the management system. This is especially true as one of the main outputs of an OSH
management system is that employees at all levels in the organisation adhere to agreed
procedures.

The effectiveness of any OSH management system relies almost entirely on the behaviours of
all employees plus any contractors and visitors. Promoting critical OSH behaviour should be
seen as a core objective of the OSH management system and as one of the risk-control
systems (RCSs).

The purpose of any RCS is to make sure that appropriate workplace precautions are in place.
Behaviour-modification interventions help this process by increasing the frequency of critical
behaviours needed to minimise risk, and by reducing those that increase risk.

Critical point

Critical behaviours include those required to control risk (such as permit systems), risky
activities (such as manual handling), and actions that support the OSH management system
(displaying visible management commitment, for instance).

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As with other elements of the OSH management system, critical behaviours can be enshrined in
the OSH system using a POPIMAR framework (policy, organisation, planning, implementing,
monitoring/measuring, auditing and review).

The outputs from the behaviour-modification process - the interventions that will help promote
safe behaviour - may be used as part of the audit process, for example to indicate the general
level of compliance by managers and supervisors with the agreed systems and procedures
associated with the list of critical behaviours.

Identifying the activities that involve critical behaviours involves looking closely at all the
elements of the OSH management system, from the policy to the review procedure. Consulting
directors, managers, supervisors and external personnel, such as insurance assessors, and
reviewing accident investigation reports for immediate and root behavioural causes of incidents
will also provide valuable leads. Feedback from employees on their perceptions of management
commitment, safety versus production priorities, competency and level of supervision, degrees
of trust, and quality of communications is another important source of data.

Highlighting critical behaviours and setting up the right conditions to promote them enables the
behaviour-modification process to be part of, and support, the OSH management system at all
levels.

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Leadership and Unacceptable behaviour

A robust safety culture is the combination of attitudes and behaviours that best manages the
inevitable dangers created when humans, who are inherently fallible, work in extraordinarily
complex environments. The combination, epitomised by healthcare, is a lethal brew. Great
leaders know how to wield attitudinal and behavioural norms to best protect against these risks.
These include:
1. psychological safety that ensures speaking up is not associated with being perceived as
ignorant, incompetent, critical or disruptive (leaders must create an environment where
no one is hesitant to voice a concern and caregivers know that they will be treated with
respect when they do),
2. organisational fairness, where caregivers know that they are accountable for being
capable, conscientious and not engaging in unsafe behaviour, but are not held
accountable for system failures; and
3. a learning system where engaged leaders hear patients and front-line caregivers’
concerns regarding defects that interfere with the delivery of safe care and promote
improvement to increase safety and reduce waste. Leaders are the keepers and
guardians of these attitudinal norms and the learning system.

Safety leadership

Safety leadership is not that different from any other kind of leadership. It is about setting the
example, clarifying expectations, monitoring performance, and holding everyone to account.
Employers’ duties under the Act Employers have a legal duty to protect the health and safety of
employees and others by providing:

Risk assessments Personal protective Safe procedures in the

equipment (PPE) free of event of fire or other
charge emergencies

Training in safe ways of Adequate welfare and first Safe equipment

working aid facilities

Reporting and monitoring of dangerous occurrences and certain work-related illnesses

and diseases

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Recommendations for improving OSH leadership
In short, leaders should:

• take seriously their responsibility for safety and health

• lead by example
• seek to introduce a safety culture
• secure the commitment of the board and senior management
• ensure the visible involvement of senior management
• ensure that policies are applied consistently
• provide sufficient resources for OSH
• learn from the good practice of others
• implement measures which are appropriate to the specific circumstances
• ensure regular risk assessments are carried out
• ensure worker participation
• ensure continual, open communication about OSH
• promote collaboration
• provide adequate training
• ensure access to the expertise and skills the company requires
• implement regular monitoring, analysis and review
• incentivise, recognise and reward safe behaviour.

Workers have work health and safety obligations to themselves and their workmates. A worker
must:
• comply with instructions given for work health and safety
• use personal protective equipment if the employer provides it and if they are properly
trained to use it
• not wilfully or recklessly interfere with or misuse anything provided for work health and
safety at the workplace
• not wilfully place others at risk
• not wilfully injure themselves.

However, with all of these measures put in place, there are some workers who simply will not
adhere to the safety and health regulations. Do you have procedures in place to respond to non-
compliance with your safety rules in the workplace?

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Workers need to know how serious the management team is about health and safety in the
workplace – and they need to know that breaching the company policies on health and safety
will come with consequences. But what will the consequences be and how do you know how far
to take disciplinary action?

Consequences of non-compliance for employees

If employees fail to follow instructions and training provided by the employer in relation to health
and safety, or knowingly break the law, this could result in:

• Injury, ill health or the death of the employee, their colleagues or members of the public
• Damage to the workplace, work equipment, work data or the wider environment
• Economic damage to the business through lost production and claims for damages
• Economic damage to wider society resulting from the cost of treatment for ill health and
injury, and working days lost through sickness.
• Failure to comply with health and safety laws could therefore result in:
• Disciplinary action
• Compulsory transfer
• Dismissal
• Legal action including fines or imprisonment.

Dismissing an employee for safety breaches

What do you do when you are faced with an employee who has breached your safety rules? Are
you able to dismiss them or do you need to go through a process of weighing up the impact the
dismissal will have on the employee? When one of your workers breaches your safety rules,
you as an employer are faced with two duties that, at times, are at odds with each other.

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On one hand, you must comply with your health and safety statutory obligations to keep your
workplaces safe. On the other, if you are considering dismissing the worker on safety grounds,
you must take great care that the dismissal is fair. This will involve:
• presenting a compelling and valid reason for the dismissal,
• following a fair procedure; and
• taking into account the degree of risk and likely consequences caused by the worker’s
contravention of safety rules.

Can a worker be dismissed for OHS reasons?

There is nothing in OHS legislation that covers the dismissal of an employee. Warnings and
dismissals are covered under the Fair Work Act and these are also usually covered in the award
or Enterprise Bargaining Agreement.

The OHS Act places a clear duty on employees (section 25), but this is very much dependent
on the employer having complied with his/her duties (section 21) - most importantly to provide
such information, training and supervision.

If someone breaches their duties under the Act then, depending on the severity, WorkSafe may
prosecute. It's not often that workers are prosecuted, mainly because often there's a breach on
the employer side.

However, if an employee were to intentionally not comply with an OHS requirement, then the
employer can take the matter up through the agreed or legislated (industrial) procedures - that
is, a series of warnings (with a final written warning) which can then lead to dismissal if the
matter is not remediated by the employee. Employees have a duty under employment law to
follow any legal and reasonable request of the employer. So it is the same situation as, for
example, an employee who is always late - he/she cannot or should not be dismissed
immediately, but must be given the chance to remedy the problem. If this does not happen, then
the employer has the right, after having followed the correct procedure, to dismiss him/her.

The exception is when an employee does something very serious, and it is intentional: basically,
this is gross misconduct (e.g. fighting, stealing, sabotage). If the gross misconduct is related to
an OHS matter, then the same rules apply - the worker can be dismissed immediately (but like
any other dismissal, the employee has the right to take the matter up as an 'unfair' dismissal if
he/she believes there was any unfairness).

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In cases where there may be such a situation, then WorkSafe may, in fact, also prosecute - but
it would most likely be under a different section of the Act - Section 32, which places a duty (on
ANYONE) to not 'grossly endanger' the health or safety of anyone at the workplace.

On the spot fines

An on-the-spot fine also known as an infringement notice is an alternative to prosecuting alleged
offenders directly through court. Proponents believe employee fines help spread workplace
safety responsibility, while opponents suggest it could lead to the hiding of injuries. This
introduces a system where, in the case of the employee solely responsible for their
recklessness, rebellion or gross negligence, solely faces repercussions and the company is not
involved where it is not liable.

On-the-spot fines may be issued for work health and safety offences prescribed. Examples of
offences which can be issued with a fine include (not limited to):

• failure to record a notifiable incident (for example a work-caused serious injury or illness)
• allowing persons to carry out high risk work without seeing written evidence that the
worker has the relevant high risk work licence
• failure to allow health and safety representative to exercise his/her powers or functions
• failure to use/wear personal protective equipment (PPE) provided in accordance with
information, training or reasonable instruction given (fine issued to worker)
• failure to test electrical work and ensure electrical equipment was de-energized before
carrying out electrical work.

The fine may be paid in full at any Workplace Health and Safety office within 28 days or
arrangements can be made to pay the on-the-spot fine in totality or in instalments. The alleged
offender can, however, choose to contest the infringement notice in a Magistrates Court.

Failure to pay
Not paying the fine can lead to further enforcement action including:
• redirection of wages or funds from a bank account
• issuing of a warrant for the seizure and sale of property
• suspension of the debtor's driver's license until the debt is satisfied
• registration of the debt for enforcement interprovince
• issuing an arrest and imprisonment warrant.

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How would you respond to the following scenario?

A worker who was a licensed forklift driver had been caught a couple of times by management
for speeding in the warehouse. He was given a verbal and written warning and then put through
refresher training again on the safe use of a forklift. Part of that training involved clear instruction
not to speed. The worker was allowed back on the forklift and observed performing in
accordance with the rules.

A short time later, when the forklift driver was speeding again, he struck and very seriously
injured a pedestrian worker. The business was prosecuted by the health and safety regulator for
failing to have in place a safe system of keeping forklifts separate from pedestrians.

The question is though, should the business have sacked the forklift driver for breaching the
warehouse speed-limit, or was the process the business followed reasonable? Rather than
facing an unfair dismissal claim though, the business now faces a health and safety
prosecution.

While the trend of unfair dismissal cases in the WorkSafe emphasises the importance of the
duty of the employer to keep workers safe, dismissal will not always be an appropriate
response. In some cases, even though there has been a clear safety breach, WorkSafe can
reinstate a worker or order the employer to pay compensation.

So, how will you determine the appropriate course of action if a worker breaches your safety
rules? And is it worth the risk of a health and safety prosecution with significant fines and
reputational issues, or are you better off dismissing the worker who has breached the safety
rules?

How to determine the right course of action when a worker breaches your safety rules

So, what are some of the key matters to take into account when looking to terminate the
employment of a worker for a safety breach?
Listed below are some factors that have previously been taken into account:
• The significance of the breach, and the real risk of significant and immediate harm that it
created. In some cases, where businesses have had ‘golden’ safety rules that were
created in order to avoid potential fatalities or serious injury, any breach will justify the
termination of employment.

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 • For other less critical safety rules, as long as there was consistent and universal
enforcement of the rule, and that workers were aware that their employment would be
terminated for a breach, then it was more likely to uphold the decision to terminate
employment.
• If the business did not take care to ensure that particular systems in place for safety
were made clear, taught to employees and understood by all, then there is a reluctance
to uphold a termination of employment. For example, if it is unclear whose role it is to
respond to particular safety alerts or alarms in the organisation.
• Looking carefully at the personal impact of dismissal on the employee in question such
that it must be proportionate to their length of service and record of employment. An
employee who has only been with a company for just a year will be treated differently to
a worker with more than 15 years of service and an exemplary disciplinary record.
• In all cases, the employer must adopt a fair process when investigating the alleged
breach and also to take into account any mitigating factors (e.g. age of employee, length
of service, explanation for the breach, disciplinary record) before terminating the workers
employment.

Do the online quiz for Chapter 4 on your student portal.

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CHAPTER 5: Emergency preparedness and response

Outcomes

On completion of this chapter, you will understand concepts and principles of emergency
preparedness and response.

1. Explain the definition of an emergency and give examples of typical emergencies

that could occur in the workplace.
2. Explain the difference between preparedness and response and give examples of
typical preparedness and response actions.
3. Describe the roles of the various role players to ensure that an organisation is
adequately prepared for emergencies.
4. Describe the roles of the various role players when an emergency occurs.

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Emergencies and typical emergencies in the workplace

Definition - What does Emergency mean?

An emergency is an unexpected situation that arises which endangers the safety of one or more
individuals.

Although emergencies are unexpected events, it is essential for health and safety practitioners
to identify possible hazards, minimize risks and have emergency planning in place that allows
for a rapid and efficient response in the event of an emergency arising. Emergency plans are
formulated by occupational health and safety practitioners and provide workers with a clear
framework for dealing with emergencies that will minimize the risk to human life and health.

A risk or vulnerability assessment is the first step in devising emergency plans. Practical
methods for alleviating risks should be instituted in order to avoid emergencies arising, but staff
needs to know how to react if attempts at averting an emergency situation should fail. The plan
should address ways to prevent injury and loss of life. Damage to structures, equipment and
materials should be kept to a minimum and the environment and community at large should not
be put at risk. An efficient emergency plan will also address the steps that will need to be taken
after the emergency in order for operations to be resumed. Specific emergency procedures are
formulated, and the staff is trained in their application.

Typical emergencies that can occur in a workplace

A workplace emergency is an unforeseen situation that threatens your employees, customers,
or the public; disrupts or shuts down your operations; or causes physical or environmental
damage. Emergencies may be natural or manmade and include the following:

Natural disasters (includes floods, hurricanes, tornadoes, earthquakes or earth tremors)

Many businesses focus on the importance of safety for their workers as it pertains to everyday
operations, but it is not uncommon for a company to overlook creating and implementing a
comprehensive safety and preparedness plan for emergencies and disasters that may strike.
Some disasters, such as hurricanes or severe storms, can be forecasted, while other
emergency situations can occur with little to no warning, such as earthquakes, fires, tornadoes,
flooding, or a biological attack. A company-wide emergency preparedness plan is one of the
most effective ways to prevent injuries or loss of life in the case of a disaster. For an emergency
preparedness plan to be fully effective, it not only has to be comprehensive and well thought
out, but also has to be something that every employee is familiar with and understands.

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Fires
Businesses and institutions can do a lot to protect against fire, but the best defense is to prevent
a fire from starting the first place. If a fire occurs, it can damage and destroy property, costing
thousands of dollars. Even worse, workplace fires can cause injury or death to employees. With
the right caution and knowledge, these types of accidents or even disasters can be avoided.
The most common causes of fire at the workplace are preventable with the proper training and
precautions.

Most Common Causes of Fire in the Workplace:

Electrical Fires

Over 25% of all fires are linked to a malfunction of either a piece of electrical equipment, wiring,
or both. Electricity is a common source of ignition for major fires. One way to avoid problems
with electrical fires is to establish an electrical safety program.
All employees should be thoroughly familiar with the safety procedures for their particular jobs.
To maximize his or her own safety, an employee should always use tools and equipment
properly. Extension cords must be inspected before use, and those found questionable,
removed from service and properly tagged. Damage or inadequate maintenance can cause
equipment to deteriorate, resulting in unsafe conditions.

Flammable and Combustible Materials

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There are numerous chemicals in use in the modern workplace. One of the most prevalent
dangers of these chemicals is their flammability or combustibility. Improper handling
of flammable materials brings a great risk of fire. When a flammable liquid is spilled, vapours
begin to form immediately. It is the vapours that will ignite, and which pose the greater danger.
Flammable liquid spill clean-up should begin immediately. Vapours will continue to build until the
liquid is removed, and they can be ignited by a variety of sources in the average workplace. The
best way to avoid fire caused by these materials is to follow all OSHA guidelines when dealing
with flammables.

Human Error

The most common reason for a sprinkler system failure is human error. Often times the water
supply was turned off at the time of the fire. The success of fire prevention strategies depends
primarily on pre-planning, preparation, equipment quality, and the readiness of personnel.
Employees and loss prevention practitioners must be knowledgeable about the proper use of
extinguishers. If the wrong extinguisher is used, a fire may become more serious.

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General Negligence

Negligence is another common cause of fire in the workplace. It is slightly different from fires
caused by human error. Negligence occurs when an employee does not follow established
procedures and knowingly undertakes an activity that is a potential fire hazard.
Fire caused by negligence can be the result of:
Hot surfaces too close to heating equipment
Open flame that is not properly located or protected
Not following smoking restrictions or careless disposal of butts, ashes, and matches

Good common sense, self-awareness, and close adherence to policy are great ways to avoid
fires caused by general negligence. Posting fire safety signs in common areas is another way to
keep fire safety at top of mind.

Arson

The motivation behind arson prevention, like other prevention programs, is to address the
opportunity to commit the crime. Arsonists, like other criminals, typically prefer to start fires in
locations that are secluded or hidden. Prevention programs often suggest improving the
surveillance in these areas by lighting the area, removing visual obstructions to
natural observation, and moving the targets such as dumpsters.

Toxic gas release and chemical spills

A chemical emergency occurs when a hazardous chemical has been released, which is capable
of posing an unreasonable risk to humans, the environment and property.

Sources of hazardous chemicals

Many hazardous chemicals are used in industry (for example, chlorine, ammonia and benzene).
Some could be made from everyday items such as household cleaners. Others are found in

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nature (for example, poisonous plants). These types of hazardous chemicals could be
accidentally released in a workplace setting.

There is a wide range of chemicals in the workplace. The safe clean-up of a chemical spill
requires knowledge of the properties and hazards posed by the chemical and any added
dangers posed by the location of the spill. If you believe a spill is beyond your capacity to clean
up, do not attempt to do so, on your own.

In ALL hazardous material emergency situations, the primary concern is the protection of
personnel. The secondary concern is to confine the contamination by those who are specifically
trained to do so. The release or spill of hazardous materials will require a different response
based on a variety of factors, including the amount, type and location of the spill. Each location
should have its own specific cleanup procedure and all personnel handling such material,
should have received instruction on that procedure.

Minor Spill
A minor spill is characterized by all of the following criteria:
• Is inside a laboratory and has not spread outside.
• Did not result in a fire or explosion, nor presents a risk for a fire or explosion.
• Did not result in personnel requiring medical attention.

Major Spill
A major spill is characterized by all of the following criteria:
• Results in a fire or explosions or presents a risk for a fire or explosion.
• Results in personnel requiring medical attention.
• Is not contained within a laboratory.
• Or is characterized a major spill by the emergency coordinator.

A summary of emergencies that can possibly occur in the workplace:

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Radiological accidents

Workplaces like health care facilities, research institutions and various manufacturing industry
operations use radiation sources. If radiation sources are used improperly, or if there are
malfunctions of safety controls, accidents can happen.

How can an occupational accident affect people’s health?

The health effects involving radiation could range from none to very serious based on several
factors:

• The type and amount of radioactive material

• How long people were near the radioactive material or how long the radioactive was in
or on the body
• How close in proximity were the people to the radioactive material
• What parts of the body were exposed?

If you work in an occupation that uses radioactive sources, be familiar with safety precautions
and procedures, and complete required radiation safety trainings.

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Report any occupational accidents involving radiation to safety officials immediately. Stay as far
away from the accident as possible.

If you believe you have been exposed, listen for instructions from safety officials and contact
your doctor.

Explosions

A suspicious-looking box, package, object or container in or near your work area may be a
bomb or explosive material.

Letter and Parcel Bomb Recognition Checklist (What to look for):

• Foreign mail, air mail, and special deliveries.
• Restrictive markings such as “CONFIDENTIAL” or “PERSONAL”.
• Excessive postage.
• Handwritten or poorly typed address.
• Incorrect titles.
• Misspellings of common words.
• Oily stains or discoloration on package.
• Strange odour.
• Strange sounds.
• Excessive weight.
• Rigid, lopsided, or uneven envelopes.
• Excessive tape or string.
• Visual distractions.
• No return address.

Do not handle or touch the object. Move to a safe area and call an emergency number
immediately. Use a telephone in a safe area. Do not operate any power switch and do not
activate the fire alarm.

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Workplace violence resulting in bodily harm and trauma

What is workplace violence?

Workplace violence is violence or the threat of violence against workers. It can range from
threats and verbal abuse to physical assaults and homicide, one of the leading causes of job-
related deaths. However, it manifests itself, workplace violence is a growing concern for
employers and employees nationwide.

Who is vulnerable?
Many workers are victims of workplace violence each year. Workplace violence can strike
anywhere, and no one is immune. Some workers, however, are at increased risk. Among them
are workers who exchange money with the public; deliver passengers, goods, or services; or
work alone or in small groups, during late night or early morning hours, in high-crime areas, or in
community settings and homes where they have extensive contact with the public. This group
includes healthcare and social service workers such as visiting nurses, psychiatric evaluators,
and probation officers; community workers such as gas and water utility employees, phone and
cable TV installers, and letter carriers; retail workers; and taxi drivers.

If you see someone attacking others with a gun or hear gunfire:

• Avoid: Trust your instincts and do not delay. Get away as quickly as possible.
• Deny: If you can’t flee, obstruct or deny the active shooter from accessing your area.
Relocate if needed.
• Defend: If all else fails, and only as a last resort, attack the shooter with whatever
makeshift weapons you can find.

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Preparedness and response

Emergency Preparedness
Definition - What does Emergency Preparedness mean?
Emergency planning is the intended response to an unexpected, serious and dangerous
occurrence. Emergency planning may involve preparation and planning for a natural or man-
made disaster, accidents, breach of security, terrorism, medical emergencies, food or other
essential service chain breakdowns and other disruptive catastrophes.
Emergency Preparedness
Emergency planning aims to reduce the effect of destruction caused by unexpected situations
like accidents, fire, sabotage, spills, explosions, natural disasters, terrorist activities and medical
emergencies. It includes a series of actions to be taken in the case of such emergencies. It
shows the preventive actions, preparation to meet adverse situations, how to mitigate them and
how to have positive controls during that situation to save lives and reduce property damage.
Emergency planning is carried out by governments, organisations, families and individuals. This
planning is best conducted before emergency situations occur.

Emergency Response

Definition 1 - Emergency response is action taken in response to an unexpected and dangerous

occurrence in an attempt to mitigate its impact on people or the environment.
Definition 2 - Emergency response may refer to services provided by emergency and rescue
services agencies, as well as the plans made, and actions taken within an organisation to
respond to emergencies.

Emergency situations can range from natural disasters to hazardous materials problems and
transportation incidents. Emergency response plans are an important component of workplace
safety.

Emergency Response time

Response time is an important component of emergency response. This refers to how long it
takes emergency responders to arrive at the scene of an emergency after the emergency
response system has been activated.
What is the difference between emergency preparedness and emergency response?

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Emergency preparedness refers to actions which can and should be performed prior to an
emergency, such as planning and coordination meetings, procedure writing, team training,
emergency drills and exercises, and prepositioning of emergency equipment. Emergency
response refers to actions taken in response to an actual, ongoing event.

What Is the Difference Between Emergency Response and Pre-Incident Plan?

Emergency situations come in many forms. While some are predictable (such as hurricanes and
severe winter storms), others (such as tornadoes, active shooters, biohazard incidents) happen
with little or no warning. In any of those cases, excellent emergency response is critical to
saving lives and property.

We are often asked, or find ourselves needing to clarify, the difference between an emergency
response plan and a pre-incident plan. An emergency response plan defines the roles,
responsibilities and procedures that need to go into effect during an emergency. It should
include evacuation and lock-down procedures, as well as focus on communications processes
both internally and with external parties. Regularly scheduled drills also are essential for
optimum preparation.

The pre-incident plan (or pre-plan) is a tool that centralizes all critical building and property
information required by first responders so they can act with knowledge. This should include site
plans, floor plans, hazardous material details, locations of utility shut offs and fire hydrants,
geographical maps and other critical building and infrastructure details. Hosted either by
property management or a municipal fire department, an up-to-date plan is essential to reduce
the risk to occupants, responders and the property.

A digital pre-plan makes the information highly shareable between property management, first
responders and mutual aid stations. This is critical if there are occupants with special needs,
such students with cognitive or developmental disabilities. Your pre-plan should supplement and
complement any emergency response plan.

How do you protect yourself, your employees, and your business?

The best way is to prepare to respond to an emergency before it happens. Few people can think
clearly and logically in a crisis, so it is important to do so in advance, when you have time to be
thorough.

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Brainstorm the worst-case scenarios. Ask yourself what you would do if the worst happened.
What if a fire broke out in your boiler room? Or a hurricane hit your building head-on? Or a train
carrying hazardous waste derailed while passing your loading dock? Once you have identified
potential emergencies, consider how they would affect you and your workers and how you
would respond.

What is an emergency action plan?

An emergency action plan covers designated actions employers and employees must take to
ensure employee safety from fire and other emergencies. Not all employers are required to
establish an emergency action plan. See the flowchart on page 11 to determine if you are. Even
if you are not specifically required to do so, compiling an emergency action plan is a good way
to protect yourself, your employees, and your business during an emergency.

Putting together a comprehensive emergency action plan that deals with all types of issues
specific to your worksite is not difficult.

You may find it beneficial to include your management team and employees in the process.
Explain your goal of protecting lives and property in the event of an emergency and ask for their
help in establishing and implementing your emergency action plan. Their commitment and
support are critical to the plan’s success.

What should your emergency action plan include?

When developing your emergency action plan, it’s a good idea to look at a wide variety of
potential emergencies that could occur in your workplace. It should be tailored to your worksite
and include information about all potential sources of emergencies. Developing an emergency
action plan means you should do a hazard assessment to determine what, if any, physical or
chemical hazards in your workplaces could cause an emergency. If you have more than one
worksite, each site should have an emergency action plan.

At a minimum, your emergency action plan must include the following:

▪ A preferred method for reporting fires and other emergencies,

▪ An evacuation policy and procedure,
▪ Emergency escape procedures and route assignments, such as floor plans, workplace
maps, and safe or refuge areas,

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▪ Names, titles, departments, and telephone numbers of individuals both within and outside
your company to contact for additional information or explanation of duties and
responsibilities under the emergency plan,
▪ Procedures for employees who remain to perform or shut down critical plant operations,
operate fire extinguishers, or perform other essential services that cannot be shut down for
every emergency alarm before evacuating, and
▪ Rescue and medical duties for any workers designated to perform them.

You also may want to consider designating an assembly location and procedures to account for
all employees after an evacuation.

In addition, although they are not specifically required by OSHA, you may find it helpful
to include in your plan the following:

▪ The site of an alternative communications centre to be used in the event of a fire or

explosion; and
▪ A secure on- or offsite location to store originals or duplicate copies of accounting records,
legal documents, your employees’ emergency contact lists, and other essential records.

How do you alert employees to an emergency?

Your plan must include a way to alert employees, including disabled workers, to evacuate or
take other action, and how to report emergencies, as required. Among the steps you must take
are the following:

▪ Make sure alarms are distinctive and recognized by all employees as a signal to evacuate
the work area or perform actions identified in your plan,
▪ Make available an emergency communications system such as a public address system,
portable radio unit, or other means to notify employees of the emergency and to contact
local law enforcement, the fire department, and others; and
▪ Stipulate that alarms must be able to be heard, seen, or otherwise perceived by everyone in
the workplace. You might want to consider providing an auxiliary power supply in the event
that electricity is shut off.

Although it is not specifically required by OSHA, you also may want to consider the following:

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▪ Using tactile devices to alert employees who would not otherwise be able to recognize an
audible or visual alarm; and
▪ Providing an updated list of key personnel such as the plant manager or physician, in order
of priority, to notify in the event of an emergency during off-duty hours.

How do you develop an evacuation policy and procedures?

A disorganised evacuation can result in confusion, injury, and property damage. That is why
when developing your emergency action plans it is important to determine the following:

▪ Conditions under which an evacuation would be necessary.

▪ A clear chain of command and designation of the person in your business authorized to
order an evacuation or shutdown. You may want to designate an “evacuation warden” to
assist others in an evacuation and to account for personnel.
▪ Specific evacuation procedures, including routes and exits. Post these procedures where
they are easily accessible to all employees.
▪ Procedures for assisting people with disabilities or who do not speak English.
▪ Designation of what, if any, employees will continue or shut down critical operations during
an evacuation. These people must be capable of recognizing when to abandon the
operation and evacuate themselves; and
▪ A system for accounting for personnel following an evacuation. Consider employees’
transportation needs for community-wide evacuations.

Example of an Emergency Evacuation Plan:

The evacuation plan must clearly indicate the escape route, assembly point and location of
fire extinguishers. There must also be a legend to explain icons, a list of emergency numbers,
and an evacuation procedure. The plan must be posted at a central place where it is most
visible to all and it must show the current position or location of plan in relation to the rest of the
building. (indicated by ‘you are here’ icon)

See example of an Emergency Evacuation plan below:

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*For detailed steps to develop a Fire Evacuation Plan as well as How to perform a Fire
Drill at Work, refer to the end of this chapter: ‘DEVELOP A FIRE EVACUATION PLAN and
HOW TO DO A FIRE DRILL AT WORK’

Under what conditions should you call for an evacuation?

In the event of an emergency, local emergency officials may order you to evacuate your
premises. In some cases, they may instruct you to shut off the water, gas, and electricity. If you
have access to radio, television or internet, listen to newscasts or newsflashes on social media,
new networks or mobile app groups to keep informed and follow whatever official orders you
receive.

In other cases, a designated person within your business should be responsible for making the
decision to evacuate or shut down operations. Protecting the health and safety of everyone in
the facility should be the first priority. In the event of a fire, an immediate evacuation to a
predetermined area away from the facility is the best way to protect employees. On the other
hand, evacuating employees may not be the best response to an emergency such as a toxic
gas release at a facility across town from your business.

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The type of building you work in may be a factor in your decision. Most buildings are vulnerable
to the effects of disasters such as tornadoes, earthquakes, floods, or explosions. The extent of
the damage depends on the type of emergency and the building’s construction. Modern
factories and office buildings, for example, are framed in steel and are structurally sounder than
neighbourhood business premises may be. In a disaster such as a major earthquake or
explosion, however, nearly every type of structure will be affected. Some buildings will collapse,
and others will be left with weakened floors and walls.

Examples of typical preparedness and response actions

Exposure to radiation
Emergency preparedness: If you work in an occupation that uses radiation sources, be familiar
with safety precautions and procedures and complete required radiation safety trainings.
Response action: Report any occupational accidents involving radiation to safety officials
immediately. Stay as far away from the site of the accident as possible. If you believe you have
been exposed, listen for instructions from safety officials and contact your doctor.

Chemical Spill
Minor spills clean up
• Alert the people in the immediate area of the spill
• Put on appropriate PPE (gloves, protective eyewear, lab coat)
• Contain the spill with absorbent spill material
• Completely clean the area where the spill occurred
• Place the absorbed spill material in secondary containment, such as the spill bucket.
Label the container and notify Environmental Health and Safety to request a pickup.
• Dispose of contaminated PPE properly
• Complete the accident/incident form

For a major spill or leak:

• Alert people in the immediate area of the spill
• Remove any injured or contaminated persons, if you can do so safely
• Contact the responsible qualified authorities and standby in a safe location
• Remove all contaminated clothing, shoes etc and/or use an emergency if one is nearby
• Seek immediate medical attention if you have been exposed
• Do not attempt to clean up a major spill. Leave it to the experts!

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 • Complete the accident/incident report form

Mercury spill:
• Alert people in the immediate area of the spill
• Put on the appropriate PPE (gloves, protective eyewear and lab coat)
• Use a pipette or medicine dropper to pick up mercury droplets
• Do not use a commercial or domestic vacuum cleaner as this will contaminate the
vacuum and spread mercury vapour
• Cover the area of the spill with sodium polysulphide solution powdered sulphur or silver
metal compounds
• Place the spill material in secondary containment such as the spill bucket
• Label the container and notify Environmental Health and Safety to request a pick-up
• Dispose of contaminated PPE properly
• Complete the accident/incident report form

Chemical exposure to skin:

• Immediately flush with cool water for at least 15 minutes
• If there are no visible burns, remove all jewellery and soap the area
• Seek medical attention if a reaction occurs or if there are concerns

Chemical exposure to skin - Serious:

• Remove all contaminated clothing
• Immediately soak yourself with cool water for at least 15 minutes
• Have someone contact qualified personnel to assist you.
• Seek medical attention

Chemicals in the eyes:

• Irrigate eyes for at least 15 minutes with tempered water from emergency eyewash
station
• Remove contact lenses if you are wearing them
• Call qualified personnel to assist you.
• Seek immediate medical attention

Smoke and other Airborne Contaminants:

• Anyone overcome by smoke or other airborne contaminants should be relocated to an
area where there is fresh air

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 • Never attempt to enter a location where potentially dangerous air contaminants might
place you at risk. If someone is down, contact emergency personnel
• Seek medical attention

Fires
Emergency preparedness
Prepare before a fire:
• ALWAYS familiarize yourself to “where you are” and be sure to know how to reach the
TWO nearest EXITS.
• Remember that in a fire situation, smoke is blinding and will bank down in the rooms and
hallways. This condition may force you to crouch or crawl to escape to safety. By
ALWAYS being aware of your surroundings, your knowledge of the nearest EXITS and
having a PLAN will greatly increase your ability to deal with sudden emergencies.
• Conduct fire drills

The purpose of the fire drill is to ensure that in the event of fire or other emergency:
o All persons in danger act in a calm and orderly manner.
o All ERT (Emergency Response Team) members carry out their tasks to ensure
safety of all concerned.
o All persons use the evacuation routes according to plan.
o All persons evacuate in a speedy and orderly manner.
o All persons react rationally when confronted with a fire or other emergency.
o All persons are familiar with the sound of fire alarm, the emergency exit routes,
the assembly area, and the building re-enter procedures.
o Check if fire alarm bells are in working order.
o All janitorial service staff is required to participate in the drill.
o Appropriate signage should be put up at the locations used for fire evacuation
exercise.
o Ensure all entrance and exit points should always be unlocked, unhindered by
clutter and easily accessed by all personnel

Response actions
If you are notified of, or discover a fire:
• Move quickly to the nearest accessible exit.
• Notify, and assist others to evacuate along the way.

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 • If the building fire alarm is not yet sounding, manually activate the alarm pull station
located near the exit.
• Exit the building and proceed to the assembly points
• Assembly and exit point information for each building is posted in the lobby.
• From a safe location call to provide details for first responders.

Evacuation procedures for persons with mobility issues:

• In the event of an actual emergency incident, persons with mobility issues or who are
unable to safely self-evacuate should follow this procedure:
o Relocate to an entry to an evacuation stairwell, marked by a red EXIT sign.
o Call to notify a dispatcher of your location, identifying the stairwell number or a
nearby room number.
o Wait NEAR the enclosed exit stairwell if there is NO smoke or other threats to
your safety. Most fire alarm activations are brief, allowing occupants to return
within a few minutes.

• If smoke, fire, or other threat is imminent, move into the stairwell:

o After the stairwell crowd has passed below your floor level, enter the stairwell
with assistant(s) and wait on the stair landing. Make sure that the door is
securely closed.
o Notify dispatchers that you have relocated INTO the stairwell.
o Wait for assistance. First responders will be assigned to assist you if evacuation
is necessary.

Always "know two (2) ways out" from wherever you are; do not use elevators.
• There are many reasons why a sudden evacuation may be necessary.
• Have a plan that includes an alternate escape route in case the primary route is not
accessible.
If you get caught in smoke:
• Stay low, smoke will rise to ceiling level first.
• Drop to hands and knees and crawl towards the nearest exit.

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 • Hold your breath as much as possible; breathe through your nose and use a filter such
as a shirt, towel or handkerchief.
• Be aware of your surroundings, take note of and follow EXIT signs.

When should you use a fire extinguisher?

• Only if you are trained and confident in fire extinguisher use.
• Only if the fire is small in size (no larger than a small trash can).
• If you do fight the fire, use only ONE (1) extinguisher, then evacuate the building.
• As a reminder: you are NOT obligated to fight fires of any size. If you have any doubt, do
not attempt to fight the fire.

TOTAL AND IMMEDIATE EVACUATION IS THE SAFEST.

If trapped in a room due to fire or smoke:

• Call responders to report your location and conditions.
• Close as many doors as possible between you and the fire.
• Wet and place cloth material around or under the door to help prevent smoke from
entering the room.
• If the room has an outside window, be prepared to signal to someone outside.

Clothing on fire (Stop, Drop and Roll):

• Direct or assist a person to roll around on the floor to smother the flames.
• Drench with water if a laboratory safety shower is immediately available.
• Obtain medical attention.
• Report incident to supervisor.

Report ALL fires, no matter how small

Explosions:
If There Is an Explosion:
1. Take cover under sturdy furniture or leave the building if directed to do so by emergency
responders.

2. Stay away from windows.

3. Do not light matches.

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 4. Move well away from the site of the hazard to a safe location.

5. Use stairs only; do not use elevators.

If you receive a bomb threat:

1. Stay calm and try to keep your voice calm.

2. Pay close attention to details. Talk to the caller to obtain as much information as possible.

3. Take notes. Ask questions:

Call the police and follow any instructions the Police give you.

If you are told by emergency responders to evacuate the building, follow the evacuation toped
above with the following additional steps:

1. Check your work area for unfamiliar items. Do not touch suspicious items; report them to
authorities.

2. Take personal belongings when you leave.

3. Leave doors and windows open; do not turn light switches on or off.

4. Use stairs only; do not use elevators.

5. Move well away from the building and follow instructions of emergency responders

Natural disasters
General guidance for natural disasters includes:
• DO NOT use matches or lighters, in case of leaking natural gas pipes or nearby fuel
tanks
• Crouch down and cover your head. Interior stairwells are good places to take shelter.
• DO help direct people with special needs to a safe place.
• Stay indoors do not exit building or use elevators
• Stay away from all windows and avoid being underneath heavy objects that may fall.
• Remain calm and alert; listen for information and instructions from emergency crews
and/local officials.

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Role players in emergency preparedness

Maintenance and Engineering Department

For example, actions taken by maintenance and engineering personnel in the prevention
mission area to assist prevention planning of human-caused incidents might include a
vulnerability analysis of the facility. In the area of security, a vulnerability-assessment team
might identify these potential problems:

• no security man trap or access card control system at central reception, allowing visitors
direct access to the workplace
• no vehicle barriers at a building's main entry, allowing potential vehicle penetration
• unlit exterior emergency evacuation exit areas
• unauthorized staff personnel or vendors with master keys to critical telecommunications,
data, HVAC equipment or electrical rooms
• no mailroom procedures for checking and securing suspicious mail or packages.
In mechanical systems, the team might discover that outside air intakes are located in
vulnerable areas — near dock areas, at or near grade level, near Dumpsters or waste
management devices, near food service exhaust, on the roof near process or restroom
exhausts.

Once threats are identified, planners can estimate costs to mitigate them as part of the
organisation's mitigation efforts following cost-benefit analysis.

HSE specialist – an experienced facilitator does hazard analysis. The technique includes
detailed examination of the process and engineering intention of new or existing facilities to
assess the hazard potential of operation outside the design intention, or malfunction of
individual items of equipment and their consequential effects on the facility as a whole.

Who needs training What training should be provided

All employees • Protective actions for life safety
(evacuation, shelter, shelter-in-place,
lock down)
• Safety, security and loss prevention
programs
Emergency Response Team (evacuation, • Roles and responsibilities as defined in
shelter, shelter-in-place) the plan

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 • Training as required to comply with
regulations or maintain certifications (if
employees administer first aid, CPR or
AED or use fire extinguishers or clean
up spills of hazardous chemicals)
• Additional training of leaders including
incident management
Business Continuity • Roles and responsibilities as defined in
the plan
• Additional training for leaders including
incident management
Crisis Communications Team • Roles and responsibilities as defined in
the plan
• Additional training for leaders including
incident management
• Training for spokespersons

What type of training do your employees need?

Educate your employees about the types of emergencies that may occur and train them in the
proper course of action. The size of your workplace and workforce, processes used, materials
handled, and the availability of onsite or outside resources will determine your training
requirements. Be sure all your employees understand the function and elements of your
emergency action plan, including types of potential emergencies, reporting procedures, alarm
systems, evacuation plans, and shutdown procedures. Discuss any special hazards you may
have onsite such as flammable materials, toxic chemicals, radioactive sources, or water-
reactive substances. Clearly communicate to your employees who will be in charge during an
emergency to minimize confusion.

General training for your employees should address the following:

▪ Individual roles and responsibilities.

▪ Threats, hazards, and protective actions.
▪ Notification, warning, and communications procedures.
▪ Means for locating family members in an emergency.
▪ Emergency response procedures.

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 ▪ Evacuation, shelter, and accountability procedures.
▪ Location and use of common emergency equipment; and
▪ Emergency shutdown procedures.

You also may wish to train your employees in first-aid procedures, including protection against
bloodborne pathogens; respiratory protection, including use of an escape-only respirator; and
methods for preventing unauthorized access to the site.

Security’s role
Emergency preparation and planning is important in any facility. However, the need is
heightened in commercial real estate because of the potential for large numbers of people to be
involved. Fortunately, many commercial properties employ a security team. Whether that team
is comprised of internal resources or contracted externally, security professionals should play a
vital role in emergency preparedness, response and recovery. Your security team’s knowledge
of the building, your safety and security procedures, and familiarity with your tenants, positions
them as a key player.

An emergency preparedness plan can help minimize the loss of property and life and also allow
the building and security staff to provide the best service to tenants and visitors. Here are some
best practices to consider including in your preparations:
• Planning – The unexpected, the unheard of, the “it could never happen here” – all should be
considered in the development of emergency preparedness plans.
• Training – Both classroom and situational training are important to help those responsible
for executing the plan become knowledgeable, confident and prepared.
• Physical Drills – Bring plans to life with physical drills involving all service providers:
security, janitorial, engineering, fire wardens and tenant representatives. A well-trained
security team can help facilitate these drills.
• Education – The integrators who install emergency systems need to actively participate in
educating security and management on the accurate and efficient use of those systems. We
have found that initial and refresher training on utilization of systems has been a key
challenge when considering “preparedness.”
• Technology – Technology can play an integral role in your emergency planning. One
example is developing a training CD or app for tenants and employees that review floor
plans, evacuation routes and other factors such as fire extinguisher locations. This will help

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 consistently communicate emergency plans to employees and tenants. These tools can be
customized to your property.
• Coordination – Building managers need to recognize that tenants might have their own
emergency plans. Those tenants should be applauded for their efforts, but everyone needs
to coordinate plans to ensure safety and eliminate confusion during an emergency. A key
element is to assure that an individual tenant plan does not conflict or interfere with the
buildings.
• Communication – Emergency plans should not only be communicated to tenants but also to
local authorities. Sharing those plans now will mean better execution in an emergency
situation. Your security team should already have relationships with local emergency
services and can serve as a liaison.

Emergency preparedness must be a living and evolving process. Regular reviews and updates
account for changing tenants, situations and threats.

Recovery efforts are equally important. Getting tenants back into buildings safely,
communicating restrictions and bringing in qualified vendors to make repairs will all need to
happen quickly. Consider them part of your preparedness plans and ask your security team for
their expertise as they will often coordinate the recovery efforts and answer tenant questions.
Turn to the resources you already have to help with and support your efforts. Your security team
is there to ensure safety and security and emergency preparedness is an extension of that.

Duties of Emergency Team Members and Fire Drill procedures

Emergency Response Team consists of:
• Emergency Commander (EMC)
• Evacuation Controller (EC)
• Fire Fighting Team (FFT)
• Fire Floor Marshal (FFM)
• Search and Rescue Team (SRT)
• Security Controller (SC)
• First Aid Team (MFT)
• Recorder

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Job responsibility of each of the Emergency Response & Evacuation Team (ERT) committee
members

Emergency Commander (EMC):

• Overall control of incident
• Operates from Fire Control Room / Control Centre
• Assisted by Evacuation / Incident Controller & Security Controller
• Determine location of fire
• Formulate control actions and advise
• Mobilize Fire Fighting team
• Co-ordinate with Fire Floor Marshal (FFM), EC, SC & Fire Fighting Team
• Informs / update management and corporate affairs of incident
• Liaise with Fire and Police Department

Evacuation Controller (EC):

• In-charge of evacuation
• To be present at assembly area
• Co-ordinate with SC
• Roll Call & Verify missing persons
• Co-ordinate with First Aid Team
• Update occupants of incident

Fire Fighting Team (FFT)

• Assemble at the Fire Control Room
• To lead the team to the floor
• Fighting fire
• Report status to Emergency Commander

Fire Floor Marshal (FFM)

• Last person to leave the floor
• To lead occupants to the corridor
• Wait for the announcement / instruction
• Lead the occupants through the staircase to the assembly area

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 • Line them up for the roll call
• Inform the EC of missing persons
• Assist in re-entry process

Search and Rescue Team (SRT)

• To search and rescue occupants / victims
• To lead occupants / victim to the assembly area
• Report status to Emergency Commander

Security Controller (SC)

• In-charge of Building Security
• Control human movements
• Operate from foyer (if any)
• Ensure vehicle movement is stopped
• Deploy security personnel to road junction
• Ensure clear access for emergency services

First Aid Team (MFT)

• Keep team advised of any injury / serious injury or casualty
• Assists in treatment of casualties and render first aid as required
• Make arrangement for ambulance
• Report status to Emergency Commander

GUIDELINES FOR FIRE FLOOR MARSHAL (Fire warden)

The fire warden’s primary responsibility is to manage the evacuation of personnel from his/her
designated area during a fire or other emergency. Fire wardens will carry out the following
responsibilities:
a. Know your area, the people in it, and at least two safe exits.
b. Familiarize yourself with the fire protection equipment in your area and the location of
the pull boxes (if any).
c. During an evacuation, direct all persons to the nearest safe exit - not elevators.
d. Close all doors as you leave.
e. Check washrooms and rest areas and advise occupants of the emergency situation.

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 f. Maintain an orderly and controlled evacuation.
g. Do not use elevators during an evacuation.
h. When all persons are safely evacuated to the assembly area, conduct a head count, and
if anyone is unaccounted for, notify security or fire department personnel.
i. Remain outside the building until informed by EC or security or the fire department that it
is safe to return.

DUTIES OF SUPPORT SERVICES

a. To ensure fire alarm bells are in working order.
b. On the scheduled time, a technician to activate the fire alarm; to investigate and report
the location of fire and its status to EMC; and to reset fire alarm.
c. To inform switch board operator of the fire drill exercise.
d. Switch board operator to divert all calls about fire drill to the Fire Control Room or the
EMC.
e. All janitorial service staff is required to participate in the drill.
f. To secure the road and to exclude all traffic except for fire and other service vehicles to
get through.
g. To secure all entrance to Block „I‟ building and prevent anyone from entering the
building when fire evacuation is activated.
h. To put up appropriate signage at the locations used for fire evacuation exercise.

Once you have reviewed your emergency action plan with your employees and everyone has
had the proper training, it is a good idea to hold practice drills as often as necessary to keep
employees prepared. Include outside resources such as fire and police departments when
possible. After each drill, gather management and employees to evaluate the effectiveness of
the drill. Identify the strengths and weaknesses of your plan and work to improve it.

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Role players when an emergency occurs

What is the role of coordinators and evacuation wardens during an emergency?

When drafting your emergency action plan, you may wish to select a responsible individual to
lead and coordinate your emergency plan and evacuation. It is critical that employees know who
the coordinator is and understand that person has the authority to make decisions during
emergencies.

The coordinator should be responsible for the following:

▪ Assessing the situation to determine whether an emergency exists requiring activation of

your emergency procedures.
▪ Supervising all efforts in the area, including evacuating personnel.
▪ Coordinating outside emergency services, such as medical aid and local fire departments,
and ensuring that they are available and notified when necessary; and
▪ Directing the shutdown of plant operations when required.

You also may find it beneficial to coordinate the action plan with other employers when several
employers share the worksite, although OSHA standards do not specifically require this.

In addition to a coordinator, you may want to designate evacuation wardens to help move
employees from danger to safe areas during an emergency. Generally, one warden for every 20
employees should be adequate, and the appropriate number of wardens should be available at
all times during working hours.

Employees designated to assist in emergency evacuation procedures should be trained in the

complete workplace layout and various alternative escape routes. All employees and those
designated to assist in emergencies should be made aware of employees with special needs
who may require extra assistance, how to use the buddy system, and hazardous areas to avoid
during an emergency evacuation.

Emergency Response Team Roles and Responsibilities

Forming a response team and assigning responsibilities is one of the crucial steps in emergency
response planning. If your emergency response team members are not familiar with their roles
and responsibilities, important response actions may be missed.
The First Person On-Scene

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The first person on-scene will typically serve as the Incident Commander (IC), until relieved by a
more senior person. Responsibilities for the first person on-scene may include:
• Taking appropriate personal protective measures
• Notifying Supervisory Personnel and/or Incident Commander of the incident
• Advising personnel in the area of any potential threat and/or initiate evacuation
procedures
• Eliminate potential ignition sources
Supervisory Personnel responsibilities may include:
• Initiate initial response actions if they are the first person on the scene (see above)
• Restrict access to the incident scene and surrounding area as the situation demands
Take any other steps necessary to minimize any threat to health and safety
• Request medical assistance, if necessary
• Verify substance released and obtain Safety Data Sheets, as necessary
• Identify and isolate source to minimize product loss
• Coordinate further response actions with Incident Commander and local responders

Incident Commanders
Responsibilities may include:

• Activate the Emergency Response team

• Activate additional response contractors and local resources
• Evaluate the Severity, Potential Impact, Safety Concerns, and Response Requirements
based on the initial information provided by the First Person On-Scene
• Confirm safety aspects at site, including need for personal protective equipment,
sources of ignition, and potential need for evacuation
• Communicate and provide incident briefings to company superiors, as appropriate
• Coordinate/complete additional internal and external notifications
• Communicate with Emergency Response Team, as the situation demands
• Direct response an clean-up operations

The number of personnel required to staff the Emergency Response Team will depend on the
size and complexity of the incident. The duties of each position may be performed by the
Incident Commander directly or delegated as the situation demands.

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Priorities
Priorities of an incident commander should include, but are not limited to the following:

Swift evaluation and cyclical incident updates: With early evaluation and continual progress
assessments, the IC can utilize current conditions to establish the necessary responses to
counteract the circumstances. The consideration of responder safety should be incorporated
into every evaluation and response measure.

Effective communications: The ability to receive and transmit information, maintain situational
awareness, and communicate with all components within the incident organisation is essential
to ensure effective supervision, directives, and response controls.

Strategic decisions: The response team’s risk level may be driven by the extent of the incident
and site-specific response strategy.
• A defensive strategy removes members from high-risk activities and interior response
positions. The defensive approach is utilized to minimize incident escalations until
properly trained responders arrive at the scene.
• An offensive strategy places members in interior positions where they are likely to have
direct contact with the incident or hazard. Utilizing an offensive strategy requires
specialized training. While an offensive strategy may result in a timelier response, the IC
must ensure the team’s training level coincides with this type of approach.

Tactical-level management
Tactical response management centers around the tactics used to implement the required
strategy. The IC may utilize tactical-level management from within the facility or from an off-site
command center.

Tactical response team members may include:

• operational
• communications
• safety manager
• liaison officers
• managing supervisors.

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However, the IC is responsible for directing the response activities and should assume
responsibility of all the primary positions until the duties are delegated.

The response team should monitor incident communications and provide the necessary support
per assigned responsibilities. However, it is the responsibility of the IC to ensure tactical
objectives are completed effectively.

The more knowledgeable individuals are of their roles and responsibilities during an emergency
event, the better prepared a team can be to implement a streamlined response.

DEVELOP A FIRE EVACUATION PLAN

Imagine various scenarios

When planning your business fire evacuation plan, start with some basic questions to explore
the primary threats your business may face in the case of a fire.

Where might fires break out?

Research found that cooking equipment, intentional acts or arson, and electrical malfunctions
were the most common causes of workplace fires.

How and why would they start?

Take some time to brainstorm reasons a fire would threaten your business. Do you have a
kitchen in your office? Are people using portable space heaters or personal fridges? Do wildfires
threaten your location(s) each summer? Make sure you understand the threats and how they
might find their way to your business.
Since cooking fires are at the top of the list for office properties, put “house rules” in place about
microwaving and other office kitchen appliances. Forbid hot plates, in-office microwaves, and
other cooking appliances.

What if “X” happens?

Make “X” as business-specific as possible. Consider edge-case scenarios such as:
• “What if authorities evacuate us and we have fifteen refrigerated trucks loaded with our
weekly ice cream deliveries?”
• “What if we have to abandon our headquarters with very little notice?”

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It’s a good idea to have a list of “What if X happens” questions and your answers. Thinking
through different scenarios allows you to create an action plan—helping you move a fire from
something no one imagines into the collective consciousness of your business.

Steps to develop a Fire Evacuation Plan

1. Establish roles and responsibilities

When a fire emerges and your business must evacuate, employees will look to their leaders for
reassurance and guidance. Create a clear chain of command with backups that states who has
the authority to order an evacuation.
Here are the primary roles you should consider creating as part of your fire evacuation plan:
• Chief fire warden – This employee has overall responsibility for a fire event, including
planning and preparation. The chief fire warden will often ensure doors have been closed,
check bathrooms, and perform a backup headcount at the safe location.

• Assistant fire warden – This person should use the mass alert system to alert
employees, call the fire department, and gather reports. If your company is using an
emergency communication system, make sure this person is a system admin.

• Route guides – Route guides play an essential role in ensuring that routes are clear and
evacuation is orderly and calm.

• Fire extinguishers – Some people want to “fight the fire” with a portable fire extinguisher.
You never want to fight a fire that has left its source of origin. If you can’t bring a fire under
control in 30 seconds, then stop, close the door, and escape to safety.

• Floor monitors – The floor monitor is the last person out after making sure the area is
clear. They’ll have an assigned area to cover, ensure all employees evacuate, and report
back to the chief fire warden once safe.

While assigning roles, there are many important considerations to acknowledge. You want to
make sure your fire team is reliable, present, and able to react quickly in the face of an
emergency. Additionally, make sure your organisation’s fire marshals aren’t too heavily
weighted towards one department. For example, sales team members are generally more
outgoing and likely to volunteer, but you will want to spread out responsibilities across multiple
departments and locations.

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 2. Determine escape routes and nearest exits
A good fire evacuation plan for your business will include primary and secondary escape routes.
Clear signs should mark all the exit routes and fire escapes. These exit routes should be kept
clear of furniture or other objects that could impede a direct means of egress for your
employees.
For large offices, make multiple maps of floor plans and diagrams and post them, so
employees know their evacuation routes. Best practice also calls for developing a separate
evacuation plan for individuals with disabilities who may need additional assistance.
Once your people are out of the building, where do they go?
Designate an assembly point for employees to gather. The assistant fire warden should be at
the assembly point collecting a headcount and providing updates.
Finally, confirm that the escape routes and the assembly area can accommodate the expected
number of employees who will be evacuating.

3. Create a communication plan

During a fire drill, designate someone (such as the assistant fire warden) whose primary job is
to call the fire department and emergency responders as well as disseminate information to key
stakeholders, including employees, customers, and the news media. As applicable, assess
whether your crisis communication plan also should include community outreach, suppliers,
transportation partners, and government officials.
Select your communication liaison carefully. To facilitate timely and accurate communication,
this person may need to work out of an alternate office if the primary office is impacted by fire
(or the threat of fire). As a best practice, you should also train a backup in the event your crisis
communication lead is unable to perform their duties.
Once you have identified this critical role, you need to provide them with a robust, multichannel
communication system. Reacting to a fire can be very chaotic. People may not have access
to their regular communication channels, they may forget to check, and networks could fail.
The ability to send notifications through email, phone, text, and mobile app provides you with a
way to reach building occupants at preferred and secondary methods of communication—
ensuring your messages get the broadest distribution possible. This also allows you to reach the
fire department and emergency responders as quickly as possible. In the event that some
employees have evacuated without their personal phones, fire team leaders should also
conduct a manual roll call to ensure that every employee is accounted for.

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Once that tool is in place, your communications team will need to let the appropriate
stakeholders know how the situation impacts the business, what actions they should take, the
next steps, and more.

4. Know your tools and inspect them

Have you inspected those dusty office fire extinguishers in the past year? Also, make sure you
periodically remind your employees about the location of fire extinguishers in the workplace.
Create a schedule for confirming other emergency equipment is up-to-date and operable,
including:

• Fire alarms / alarm systems

• Emergency lighting
• Fire doors (if applicable)
• Escape ladders (if applicable)
• Bullhorn / Megaphone / Traffic Controller Wand for fire marshal
In addition to these crucial fire protection supplies, you should educate your employees about
the utility of everyday office supplies in an emergency scenario. For example, office chairs and
file cabinets can be used to break through windows or knock down doors in the case of an
actual fire.

5. Rehearse fire evacuation procedures

If you have children in school, you know that they practice “fire drills” often, sometimes monthly.
Why?
Because conducting regular rehearsals minimizes confusion and helps kids see how a safe fire
drill should operate, ultimately reducing panic when a real emergency occurs. A safe outcome is
more likely to occur with calm students who know what to do in the event of a fire.
Research shows adults benefit from the same approach to learning through repetition.
Key fire evacuation leaders should meet quarterly and plan for an annual or semi-annual full
rehearsal of the company fire evacuation plan. Consult any local fire codes for your facility to
ensure you meet safety requirements and emergency personnel are aware of your
organisation’s escape plan.
Here is a detailed guide on how to conduct a fire drill at work. For bonus points, make a mini-fire
evacuation drill part of a new employee’s onboarding process.

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 6. Follow-up and reporting
Your company’s leadership needs to be communicating and tracking progress in real-time. Fires
move quickly, and seconds could make a difference.
Surveys are an easy way to get status updates from your employees. The assistant fire marshal
can simply send out a survey asking for a status update and monitor responses in real time to
see who’s safe. Most importantly, the assistant fire marshal can see who hasn’t responded and
direct resources to assist those in need.
The biggest challenge you will face is getting reports from people who aren’t in the office.
There’s inevitably going to be someone out sick or on vacation. These people obviously won’t
be at the rally point, so you may start to wonder whether they made it out of the office safely.
Make sure you include response options such as “I’m not in the office today” in your surveys to
account for this and clarify everyone’s situation.
If you have a large organisation, event pages help keep everyone updated with real-time info.
This will offer employees a web link they can check for real-time updates.
(Refer to Alert Media Fire Checklist included with your study material)

Tips for Employees during a Fire Evacuation

While you likely learned at some point during your childhood to “stop, drop, and roll” if you are
on fire, there are other actions you and your employees should take if a fire begins to spread in
your office.
Stay low to the ground
If you get caught in smoke, get down and crawl while taking short breaths through your nose.
Heat rises, leaving cleaner, cooler air near the floor.
Test door handles
Before opening any doors, feel the doorknob or handle with the back of your hand. If it’s hot,
don’t open the door. If it’s cool, open slightly to check if heat or heavy smoke is present. If so,
close the door and stay in the room. If NOT, make your way to the nearest exit and close the
door behind you.
Go to the nearest exit, stairwell, or fire escape
Always use a stairwell to evacuate from upper floors, never an elevator. Elevator shafts can fill
with smoke, or the power could fail, trapping you inside and putting you in harm’s way. Most
stairwell doors are built to keep the fire and smoke out if they are closed and protect you until
you can get outside.
Other Fire Evacuation Considerations

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Some special situations will vary from business to business, but don’t leave these out of your
fire evacuation plan.
Unique work situations
• Incorporate contractors and temporary workers into your plan. Additionally, remote
workers might not be directly affected by a fire, but they need to know what is going on
with the business and their co-workers.

• Make sure to plan for any special needs, such as disabled workers or other people who
may need assistance to evacuate safely. Even if your company doesn’t have permanently
disabled employees, it’s crucial to plan for anyone who is temporarily on crutches or in a
wheelchair. These individuals may need additional help during all emergencies (not just a
fire). Update your company’s emergency action plan annually to include the number of
people with disabilities who may require special assistance during an evacuation and their
primary work location.

• Develop procedures for employees who remain to perform or shut down critical
equipment, operate fire extinguishers, or perform other essential services that cannot be
shut down for every emergency alarm before evacuating. When developing these
procedures, it is critical that you establish strict guidelines for when to abandon this
equipment to maintain personal safety.

Protection of assets
• Are there valuable assets that you can easily safeguard or evacuate? You should
consider storing critical items that are too heavy in a fire-proof room or safe.

• Your business most likely has redundant storage for sensitive data, but if it does not,
make its protection an immediate priority. Given the relatively low cost of cloud storage,
investing in a redundant, cloud-based data storage solution is prudent for any-sized
business.

Frequently Asked Questions

What action should an employee take first when there is a fire?
Employees should remain calm and immediately default to the emergency evacuation plan.
While proceeding to the nearest designated exit, be sure to use evacuation routes and listen to
any additional instructions from your fire team.

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Where should evacuation plans and maps be posted?
Post signage and evacuation maps in easily visible locations throughout the workplace. Exit
doors and elevators are primary locations to post evacuation plans to remind employees of the
proper route in an emergency scenario. Additionally, ensure evacuation plans and maps are
kept up to date to reflect any recent renovations to the workplace facility.

In case of fire, what should we take with us?

During a fire evacuation, fleeing from the fire and getting to a safe location should be everyone’s
top priority. If a worker’s mobile device is immediately accessible, they should take it with them
to stay informed and reply to status check-ins. Employees should never stay behind to gather
other personal belongings.

How do you prepare for a fire evacuation?

In addition to devising a detailed fire evacuation plan and assigning fire team leaders, you
should conduct fire drills to train your employees.

HOW TO CONDUCT A FIRE DRILL AT WORK

Before sending people scurrying for the exits, make a detailed fire evacuation plan. As part of
this work, you’ll want to consider various scenarios: where might a fire start? Are there areas of
the building more likely to start fires, like kitchen appliances or chemicals in the warehouse? Do
wildfires threaten your business during the summer?
We have looked at how to create a fire evacuation plan for a business, and here are the
highlights:
Your company will want to:
• Establish roles and responsibilities for the fire evacuation team, including that of fire
warden
• Create a communication plan (using a redundant, multi-channel, two-way mass
communication system).
• Plan and map routes
• Know your tools such as fire detectors, fire alarms and fire extinguishers
• Rehearse fire drills at least twice per year
• Make sure to follow-up and report using a modern employee notification system so you
can determine the safety of all employees

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Conducting a Fire Drill

Ensure everyone is on board

Now it’s time to get down to the drill. Once you have your fire evacuation plan in place, you
know the routes. But it’s not as easy as simply pulling the alarm lever. Everyone needs to be on
board when you conduct a fire drill at work. First of all, you must ensure the entire fire team
(from the warden on down) is trained, informed, and ready to make the drill a success. You
need executive buy-in, since the drill will take people away from the factory line, their desks, and
the warehouse. And perhaps most importantly, all employees need to understand the
importance of the fire drill, otherwise they won’t take it (or you) seriously.

Communicate your plan

The key to a successful fire drill at work is communication. Announce the first fire drill in every
place employees will see it, including platforms such as an employee portal, intranet, or website;
Slack channel; newsletter; text message and even social media platforms. Employee
communication software that covers the most common communication channels will make this a
lot easier. Schedule the fire drill on the company Outlook or Google calendar. Include the fire
team and their roles, evacuation maps, and expectations.

Set goals for your fire drill

Your fire team will want to set goals and standards for the drill. If you include these in your first
drill, you can try to improve them in subsequent drills. For instance, if your first drill takes 15
minutes to get everyone safely outside, because you discover people are visiting the restroom
or wrapping up calls, you have work to do.
Some metrics to measure:
• Time to evacuate
• Time to report completion of the drill
• Successful shutdown of equipment (where appropriate)
Rehearse the fire drill
Conduct rehearsals of increasing complexity. For example, your fire team leaders could first
rehearse “on paper” where they describe the plan to the fire warden. Then, the team should
describe their actions during a fire drill and analyze any perceived weaknesses or confusion.
After the fire team leaders understand their roles, they should physically walk through the fire
drill.

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Next, you should conduct a full rehearsal with as many of your employees as possible. Large
companies may favor doing this by building or by section to prevent business disruptions.
Once your employees have mastered a basic fire drill, your fire team should design more
intricate scenarios. Change up variables within the drill to train employees on how to react when
disaster strikes. By adding obstacles such as closed stairwells, broken elevators, and blocked
exits, you can simulate a more realistic environment.

The assembly point

Fire drills are not successful unless every employee is accounted for outside of the building.
This crucial step of the drill occurs at the rally point. The rally point should be a pre-designated
location that is strategically placed outside the building. For large companies, multiple rally
points should be created for maximum efficiency with a separate fire team leader at every point.
Companies with a mass emergency notification system can use features to track the status of
employees who have yet to reach the rally point. For those who may have lost their phones
while evacuating, fire team leaders should also utilize old school roll call to ensure that every
employee is accounted for.
If someone is missing, fire team leaders should follow the predetermined reporting protocol and
immediately alert the authorities as well as the entire fire team.

Appoint observers
When you conduct a fire drill at work, you should choose a few people who are not on the fire
evacuation team to act as neutral observers. They should be tasked with looking for the
following:
• Large groups moving slowly or talking with each other
• People on cell phones or using other mobile devices
• Unhelpful behviour such as grabbing coats, purses, and bags
• Difficulties for people with disabilities such as hard-to-open doors or slippery stairs
• Employees who choose a different exit rather than the one closest to their work station

At the conclusion of the fire drill, the observers should conduct a debriefing going over their
observations. The meeting location is a convenient place to conduct this debrief, since
memories of the drill will be fresh. Gather the fire team together to go over what happened and

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what can be improved for next time. Assess all of the steps above and compile notes on what
worked flawlessly and what was sub-par.
Deep-dive into questions such as:
• Did employees close the doors upon exiting rooms?
• Were employees calm and confident?
• Did everyone meet at their assigned meeting spot?
• Was the fire alarm reset and the alarm company notified of the drill? (if applicable)
• Did all employees get the alert from your emergency notification system?
• Did the building facilities (doors, alarms, automated voice commands) work correctly?
Other Considerations
Here are some other things to consider as you plan for your fire drill at work:
• Work in various realistic scenarios for future drills such as “this hallway is on fire” or “this
door won’t open.”
• As new employees are on-boarded, a simple walk-through of their evacuation route
could be handled by their new manager.
• Conduct drills at random times to simulate a real-world scenario.
• Companies with extensive chemicals and equipment should ideally conduct fire drills
every three months. For most everyone else, twice per year is adequate.
• If a key fire team leader leaves the company, make sure to replace them immediately
and then do a leaders-only fire drill walkthrough.

Fire drills are no joke, and your employees will appreciate the thought and planning that went
into making your drills efficient and professional. Everyone should be confident that in the event
of a fire, all colleagues will have the best chance to safely exit the building.

Source: Alert Media Website: [Link]

Do the online quiz for Chapter 5 on your student portal.

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CHAPTER 6: The principles of hazards identification
and risk assessment

Outcomes
On completion of this chapter, you will be able to understand the principles of hazards
identification and risks assessment.

1. Give practical examples to explain what a hazard is and how hazards relate to risks
2. Explain the concept of priority setting and relate it to the process of hazard and risk
rating

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Hazards and Risks
A hazard is something that can cause harm, e.g. electricity, chemicals, working up a ladder,
noise, a keyboard, a bully at work, stress, etc.
A risk is the chance, high or low, that any hazard will actually cause somebody harm.
For example, working alone away from your office can be a hazard. The risk of personal danger
may be high. Electric cabling is a hazard. If it has snagged on a sharp object, the exposed
wiring places it in a 'high-risk' category.

Note: This content is

Practical examples: how hazards relate to risks

There are no fixed rules on how a risk assessment should be carried out, but there are a few
general principles that should be followed.
Five steps to risk assessment can be followed to ensure that your risk assessment is carried out
correctly, these five steps are:
1. Identify the hazards
2. Decide who might be harmed and how
3. Evaluate the risks and decide on control measures
4. Record your findings and implement them
5. Review your assessment and update if necessary

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Avoid blind spots in your workplace safety procedures by taking into consideration these six
main categories of workplace hazards.

Safety Hazards
Safety Hazards are unsafe working conditions that that can cause injury, illness and death.
Safety hazards are the most common workplace hazards. They include:
• Anything that can cause spills or tripping such as cords running across the floor or ice
• Anything that can cause falls such as working from heights, including ladders, scaffolds,
roofs, or any raised work area
• Unguarded machinery and moving machinery parts that a worker can accidentally touch
• Electrical hazards like frayed cords, missing ground pins, improper wiring
• Confined spaces

Biological Hazards
They include exposure to harm or disease associated with working with animals, people, or
infectious plant materials. Workplaces with these kinds of hazards include, but are not limited to,
work in schools, day care facilities, colleges and universities, hospitals, laboratories, emergency
response, nursing homes, or various outdoor occupations.
Types of things you may be exposed to include:
• Blood and other body fluids
• Fungi/mould
• Bacteria and viruses
• Plants
• Insect bites
• Animal and bird droppings

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Physical Hazards
Physical hazards can be any factors within the environment that can harm the body without
necessarily touching it.
They include:
• Radiation: including ionizing, non-ionizing (EMF’s, microwaves, radio waves, etc.)
• High exposure to sunlight / ultraviolet rays
• Temperature extremes – hot and cold
• Constant loud noise

Ergonomic Hazards
Occur when the type of work, body positions and working conditions put a strain on your
body. They are the hardest to spot since you don’t always immediately notice the strain on your
body or the harm that these hazards pose. Short-term exposure may result in “sore muscles”
the next day or in the days following the exposure, but long-term exposure can result in serious
long-term illness.
Ergonomic hazards include:
• Improperly adjusted workstations and chairs
• Frequent lifting
• Poor posture
• Awkward movements, especially if they are repetitive
• Having to use too much force, especially if you have to do it frequently
• Vibration

Chemical Hazards
Potentially occur when a worker is exposed to any chemical preparation in the workplace in any
form (solid, liquid or gas). Some are safer than others, but to some workers who are more
sensitive to chemicals, even common solutions can cause illness, skin irritation, or breathing
problems.

Beware of:

• Liquids like cleaning products, paints, acids and solvents – ESPECIALLY if chemicals
are in an unlabelled container!
• Vapours and fumes that come from welding or exposure to solvents

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 • Gases like acetylene, propane, carbon monoxide and helium
• Flammable materials like gasoline, solvents, and explosive chemicals
• Pesticides

Work Organisation Hazards

Hazards or stressors that cause stress (short term effects) and strain (long term effects). These
are hazards associated with workplace issues such as workload, lack of control and/or respect,
etc.

Examples include:

• Workload demands
• Workplace violence
• Intensity and/or pace
• Respect (or lack thereof)
• Flexibility
• Control or say about things
• Social support or relations
• Sexual harassment

Remember that these lists are non-exhaustive. When you are completing a workplace hazard
assessment, take into account these six larger categories to think of factors that may affect your
workers in their particular circumstances.

Some common workplace hazards and risks involved

Working at a height
It shouldn’t be a surprise to frequently spot hazards associated with working at height. Labour
statistics data shows that falls to a lower level accounted for 14 percent of all fatalities in 2014,
and OSHA standards related to scaffolding and ladders are regularly among the most frequently
cited violations.
Danker, George and Harrington, NSC senior consultants, said hazards associated with working
at height can originate from a lack of understanding. Employers may not know they have to
provide fall protection, or the fall protection gear may not be worn properly or not hooked up to
anything. Some employers don’t even have a written fall protection procedure or process.

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Employers need to identify all locations where fall protection is necessary – as well as where the
engineered anchor points are – and train employees and regularly audit the fall protection
program, she said.
Some of those locations may be surprising. Dankert recently visited a manufacturing facility that
was expanding and had added to its roof a new 12-foot-tall chiller next to three existing ones.
But something was missing. The old equipment had proper fall protection, including swing gates
and a railing for when maintenance work is needed, but the new chiller didn’t.
“The fall hazard was not about doing work and falling off the roof – it was the equipment on top
of that roof,” Dankert said. “These are hidden places you don’t go to very often, and you just
don’t think about it.”
Dankert cites this case as an example of the need for safety professionals to have a seat at the
table when decisions on design or purchases are made. Their input, she said, can save
employers time and money.
More advice: Buy the correct-sized gear for workers, and keep in mind that although some work
environments may have anchor points readily available, other locations may need an engineer
to install them. Remind employees to hook to the anchor point when working at height and keep
a close eye on how well personal protective equipment is holding up. Environments with sharp
edges, chemicals or welding, for example, can weaken a harness. Regularly inspect gear and
remove damaged PPE from service.
“Fall protection is like other PPE – it’s not good forever and ever,” Dankert said.
In some situations, it may be beneficial to forgo using personal fall protection equipment and
instead build a platform with standard railings and a swing gate in front of a fixed ladder.
Although such a platform costs money, Dankert said, it may be less costly than creating a fall
protection plan, buying the PPE, and training and re-training employees.
Poor housekeeping
Clutter blocking fire exits, aisles and emergency exits is a housekeeping problem that is often
seen in the workplace.
Another common hazard? Over-stacking loads on racks in a warehouse that bring them too
close to a sprinkler head, which can limit the sprinkler’s efficiency in an emergency. Clutter,
leaks or standing water also can contribute to slips, trips and falls.
Workers shouldn’t wait for housekeeping or sanitation crews to take care of these issues,
Dankert said. Instead, they should clean as they go. “Just because it’s a dirty process doesn’t
mean you shouldn’t clean up spills,” she said.

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If the clutter or spill requires specialized training to clean up, then employees need to alert their
supervisor, who can send in the appropriate staff. Additionally, Dankert recommends setting
aside a few minutes at the end of each shift, or on a Friday afternoon, to clean up before leaving
for the day.
When it comes to storage, employers need to make sure appropriate areas are made available,
notes Harrington, an NSC senior consultant based in Illinois. Harrington said she often sees
electrical rooms used inappropriately for storage, with supplies blocking electrical installations.
Even if clearance between the stored supplies and the circuit breakers is appropriate,
Harrington pointed out, employers need to consider situations that could arise in which
someone would need easy access to that room.
“Think about an emergency where lights are out, something has gone wrong, and it’s full of
chairs,” she said. “I wouldn’t recommend storing anything in an electrical room beyond what’s in
the use of that room. I wouldn’t recommend it at all.”
Electrical – Extension cords
Blocked breakers aren’t the only electrical hazard NSC consultants frequently see. Many
electrical hazards spotted are related to inappropriate use of extension cords.
Dankert often witnesses “daisy-chaining” – using multiple extension cords or power strips for a
device. At one manufacturing facility Dankert visited, she saw as many as five extension cords
chained together.
“It was almost like Christmas tree lights,” she said. “All you really saw were all these electrical
cords everywhere.”
Because the employer is a developer of prototype equipment, the layout of the manufacturing
floor was regularly being changed. And in most other aspects, the employer was conscientious
about safety – the extension cords being used were new and heavy-gauge, and the facility was
very clean.
“They were trying to do the right thing, but it also made me think it’s not really temporary,”
Dankert said.
And that’s the point: Although extension cords can be useful for temporarily supplying power for
certain operations, the key word is “temporarily.” When a cord is used for several weeks or
months, Dankert said, OSHA doesn’t consider the use temporary. This opens the door for a
violation.
Beyond that, extension cords lying on the ground for extended periods of time are a trip hazard.
They also can be subject to traffic abuse if run over by forklifts or feet, which can wear down

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insulation and create shock hazards. When cords are daisy-chained, they can easily overdraw
electricity from the circuits, causing the wires to heat up and potentially result in a fire.
Employers should assess whether extension cords are truly being used for temporary measures
– perhaps to power a fan on an especially hot day. In such an event, Dankert said, the cord
should be gathered up at the end of the shift and stored. She recommends establishing a
system to periodically inspect extension cords, and training employees on that system to ensure
the cords stay in good working condition and worn-out cords are placed out of service.
Workers need to ensure they’re using the right extension cord for the job. Typically, a more
expensive cord has a heavier gauge, which allows it to take more power without getting hot. The
same applies for using a single power strip to plug in several different devices – the power strip
may not be rated for the combined wattage needed for all the high-draw appliances being
plugged in.
If the extension cords are not being used for a temporary fix, employers should consider
bringing in an electrician to drop in a line and outlet.
Forklifts
What’s a leading cause of forklift-related hazards in the workplace? In George’s experience, it’s
when workers feel compelled to work quickly.
“What dictates their activity is production,” he said. “They’re all under pressure, and when you’re
under pressure, they start taking shortcuts.”
Shortcuts include driving with too large of a load or driving distracted. The end result may be
hitting a rack, damaging a wall or product, or even injuring a co-worker.
How employers react to these occurrences is critical, but their responses often miss the mark,
NSC consultants say. George said a common attitude after an incident is to blame the individual
and instill discipline. The forklift driver is re-trained, re-tested and then put back into the system.
But employers fail to identify the root cause, which often is not enough staff or trucks to manage
the current workload.
Compounding these problems is a lack of maintenance and daily checks of trucks, and failing to
segregate vehicles from pedestrians, George said. Trucks should be regularly inspected to
ensure they are in proper working order, and employers should create designated walkways.

Lockout/tagout
Proper lockout/tagout procedures can help prevent serious injuries, but only if those procedures
are followed.

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A lot of organisations have got the best procedures in place, but it is the implementation of the
procedures that fails.
Some examples:
• One employee may go home for the day with his lock on, and the next worker on duty
cuts the lock.
• Workers may simply use a label on older equipment for which secure lockout is more
difficult.
• Instead of installing a chain to lock a valve in place, a wire that can easily be cut may be
used.
Even if all lockout/tagout steps are followed, faulty equipment can still lead to failures. George
recalled a case in which an electrician doing rewiring work was shocked. The equipment was
locked out, but the instruments he was using to check the system were tampered with and failed
to read that the system was live and not isolated. The worker touched a live cable, causing a
third-degree burn.
Violation of lockout/tagout procedures often boils down to three reasons:
1. Complacency
2. A rush to finish the work
3. Being unfamiliar with the equipment
Employers need to train employees on lockout/tagout and ensure they’re qualified to carry out
the procedures.
Chemicals
Chemicals can be expensive, and workers in some industries may never know when they’ll
need to use a certain chemical again in the future. But according to Harrington, this kind of
thinking can lead to serious hazards. Before you know it, you have all these chemicals no one
wants or needs. Although it may be easy to overlook a small, 5-gram bottle, those 5 grams can
become unstable over time. For example, after a year or so, ether can degrade into explosive
peroxide.
When an organisation purchases and uses chemicals, it needs to have a control system. It
needs to know what the chemicals are for and why they were ordered.
OSHA’s Hazard Communication Standard requires facilities to keep an inventory of all products.
Mark down the chemical’s expiration date and use the chemical by that date or dispose of it
properly. This is more than just a safety issue, stockpiling a huge cache of unwanted chemicals
can be illegal. It also can be very expensive to dispose of large quantities of expired chemicals.

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Another potential hazard is transferring chemicals from one container to another. Even if
employees feel comfortable around the chemicals and have worked with them for years, the
containers must be labelled as required under the hazcom standard.
Confined spaces
Confined spaces can present a number of hazards. Many tragedies involving confined spaces
have occurred because an employer didn’t issue a permit or failed to carry out a risk
assessment.
In one scenario encountered, a confined space’s hazardous atmosphere was not assessed
properly because the equipment being used was out of date. A fire broke out.
Example: When people go inside drains without a permit, and do not even know it is a confined
space. Someone goes inside to pick up something and they collapse because the standby
person was distracted.
If the risk assessment and permit process are done correctly, and all steps are followed,
employers won’t have a problem. Everything has to be planned, if not planned it correctly, it is a
plan for a disaster.”

Priority setting in hazard and risk rating

OSHA intends to address the issues emerging from its Priority Planning Process through a
combination of rulemaking and other intervention tools. Only a small number of the new
priorities listed below have been chosen for rulemaking at this time. In so far as these new
priorities enter OSHA's rulemaking calendar, they fit into a five-point regulatory strategy
intended to develop standards that make sense to reasonable people:
▪ identify clear and sensible priorities
▪ focus on key building block rules
▪ eliminate or fix confusing and out-of-date standards
▪ emphasize plain language
▪ rely on cooperative partnerships
OSHA has, for example, initiated rulemaking on a fundamental Safety and Health Programs
rule, which will establish a foundation for all future workplace safety and health efforts. In
addition, at the request of the President, OSHA has conducted a page-by-page review of
existing standards in order to define appropriate action on confusing and out-of-date rules. As a
result, OSHA will be working with business and labour to rewrite many old, industry consensus
standards into plain language so they are more understandable and useable.

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The Priority Planning Process

The OSHA Priority Planning Process has been aimed at identifying the top priority workplace
safety and health hazards in need of either regulatory or non-regulatory action. The resulting set
of priorities is intended to round out the agency's existing programs in order to ensure that the
leading causes of occupational injuries, illnesses, and deaths are being effectively addressed.
The Process was initiated in 1994 and is still proceeded through the following steps to date:

Priority Planning Committee: A Committee with subject matter and functional expertise in
workplace safety and health issues is selected, with members from OSHA, the National Institute
for Occupational Safety and Health (NIOSH), the Environmental Protection Agency (EPA), and
the Labour Department's Office, Office of the Assistant Secretary for Policy, and Mine Safety
and Health Administration (MSHA). The Committee reviews available information on
occupational fatalities, injuries, and illnesses, and hold an unprecedented dialogue with
stakeholders and the public.

Dialogue with stakeholders: The Priority Planning Committee actively solicits input from
stakeholders and the public through these primary avenues: direct mailings and a series of face-
to-face "scoping" meetings. Stakeholders submit written comments to the Committee and nearly
representatives of labour, industry, professional and academic organisations, State plan
designers, voluntary standards organisations, and the public meet during the scoping meetings.
In addition, the Priority Planning Committee meets with and receive recommendations from two
of OSHA's advisory committees: the National Advisory Committee on Occupational Safety and
Health, and the Advisory Committee on Construction Safety and Health.

Review of Data: While the "most important" safety and health problems are not necessarily
those which turn up at the top of any particular statistical listing of injuries and illnesses, it is
necessary to review major statistical compilations as well as the relevant literature in order to
make the most sound decisions. Three particularly useful sources are:

▪ Census of Fatal Occupational Injuries

▪ Survey of Occupational Injuries and Illnesses
▪ NIOSH's surveillance data bases

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Decision Criteria: It is necessary to make decisions in a systematic and rational manner yet a
rigid mathematical approach to ranking hazards could lead to conclusions that are not informed
by all relevant considerations. Therefore, a combined qualitative and quantitative approach can
be adopted. The Committee first applies four major criteria to the various hazards:

• the seriousness of the hazard

• the number of workers exposed or the magnitude of the risk
• the quality of available risk information
• the potential for risk reduction

If there’s an inconclusive outcome, these major criteria are then supplemented with three others
so that the Committee can consider whether rulemaking was appropriate. The additional criteria
are:

• administrative efficiency or feasibility

• legal feasibility
• other public policy considerations (such as intensity of public concern and public
perception of the hazard.

Risk Matrix

Safety Professionals use a risk matrix to assess the various risks of hazards (and incidents),
The three components of the risk matrix are severity, probability, and risk assessment.

1. Severity
Severity is the amount of damage or harm a hazard could create and it is often ranked on a
four point scale as follows:

• Catastrophic - 4 Operating conditions are such that human error, environment, design
deficiencies, element, subsystem or component failure, or procedural deficiencies may
commonly cause death or major system loss, thereby requiring immediate cessation of
the unsafe activity or operation.

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 • Critical - 3 Operating conditions are such that human error, environment, design
deficiencies, element, subsystem or component failure or procedural deficiencies may
commonly cause severe injury or illness or major system damage thereby requiring
immediate corrective action.
• Marginal - 2 Operating conditions may commonly cause minor injury or illness or minor
systems damage such that human error, environment, design deficiencies, subsystem or
component failure or procedural deficiencies can be counteracted or controlled without
severe injury, illness or major system damage.
• Negligible - 1 Operating conditions are such that personnel error, environment, design
deficiencies, subsystem or component failure or procedural deficiencies will result in no,
or less than minor, illness, injury or system damage.

2. Probability
Probability is the likelihood of the hazard occurring and it is often ranked on a five point scale:
Frequent - 5 Likely to occur often in the life of an item
Probable - 4 Will occur several times in the life of an item
Occasional - 3 Likely to occur some time in the life of an item.
Remote - 2 Unlikely but possible to occur in the life of an item.
Improbable - 1 So unlikely, it can be assumed occurrence may not be experienced.

Risk matrices come in many shapes and sizes, but all are based on the same principles and are
used for the same purpose.

How to Use the Risk Assessment

The Risk Assessment Values are determined by multiplying the scores for the Probability and
Severity values together. The higher the risk assessment, the greater the overall risk for the
project. This method helps balance the weight of severity and probability, as you can see in the
following chart that displays the default risk assessment values:

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CHAPTER 7: Principles of safe working practices

Outcomes
On completion of this chapter, you will be able to understand the principles of safe working
practices in and around the place of work.

1. Explain what is meant by a working practice using practical examples

2. Explain the concept of habits and how good and bad habits can be established with
specific reference to occupational health and safety situations

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Practical examples: working practice

Good practice at work. As well as ensuring legal rights and responsibilities are met, there is a
lot more that businesses can do to support their staff, ensure they are motivated and help them
be more productive. Good people management and engaged staff are key to both business
success and job satisfaction. This list provides examples of behaviour for each work practice but
is not limited to the examples provided.
Aim: That all personnel can consistently meet the requirements of each work practice.

Work Practices definitions and examples of behaviour

1. Behaves well and respects others working

Employees contribute to a positive and productive working environment.

Behaviour includes:
• Listening attentively and following supervisor’s instructions.
• Treating fellow employees and employers with respect.
• Demonstrating a positive and productive work attitude.
• Speaking when appropriate.
• Respecting others’ personal values and property.
• Demonstrating a courteous and polite manner towards others
2. Uses work time effectively
Workers are focused on their roles and consistently does the best they can.
Behaviour includes:
• Coming ready to start work.
• Remaining focused on the task at hand.
• Settling down to the work quickly once the task is explained.
• Seeking help or asking clarifying questions when unsure of how to proceed.
• Using time productively when waiting for assistance
3. Improves understanding through listening carefully, asking questions and contributing
to discussions
Working personnel listens carefully and asks questions or participates in discussions in ways
that will improve their learning.
Behaviour includes:

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 • Listening attentively to instructions and to others’ views.
• Participating in group discussions in a productive manner.
• Discussing ideas and work with peers.
• Asking questions when needed to improve their understanding of tasks and skills
4. Works cooperatively
Entire workforce behaves in ways that contribute to a cooperative working atmosphere, working
well with others formally or informally as required.
Behaviour includes:
• Participating in class in a way that contributes to positive learning and interactions.
• Working well in student selected groups and in teacher selected groups.
• Listening to others, respecting other opinions as well as expressing own opinions in an
appropriate manner.
5. Works independently
Everyone should be able to work on their own in a productive and self-regulated manner.
Behaviour includes:
• Using own skills and initiative to attempt a task independently
• Working in a focused way when the working mode involves ‘solo’ activities
• Following instructions/processes to complete tasks independently.
6. Is punctual with deadlines
Workers complete all requirements of the work to the set standard and within the set timeframe.
Behaviour includes:
• Completing classwork within the set time frame.
• Completing and submitting assessment tasks and homework tasks by the due date.
7. Uses correct tools to perform practical tasks and wearing the appropriate PPE at work
PPE can be considered in the following categories, based on the type of protection afforded by
the equipment:

• Respiratory protection - for example, disposable, cartridge, airline, half or full face
• Eye protection – for example, spectacles/goggles, shields, visors
• Hearing protection – for example, earmuffs and plugs
• Hand protection – for example, gloves and barrier creams
• Foot protection – for example, shoes/boots
• Head protection – for example, helmets, caps, hoods, hats
• Working from heights - for example, harness and fall arrest devices

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 • Skin protection – for example, hats, sunburn cream, long sleeved clothes
• Other personal protective equipment: This may include PPE for specific tasks such
disposable clothing for working with chemicals, radiation hazards, welding, painting.
Examples include lead aprons for x-ray protection; sleeve protectors, aprons, coveralls
when using chemicals; leather jackets, trousers and spats for welding; thermal and cold
protective clothing for work near furnaces and cool rooms.
8. Acts on feedback
Personnel improve the quality of their work, and if needed their behaviour, based on feedback
from supervisor.
Behaviour include:
• Listening to oral feedback, reading written feedback, and demonstrating an improvement in
their work based on this feedback.
• Improving organisational skills and/or behaviour in the work environment based on
discussion with the superior.
• Incorporating the improvements suggested by a superior into new work and/or behaviour

An Example of Employee Involvement in the Development of a Five-Year Health and

Safety Plan

The development of a five-year Health and Safety Plan was the fundamental part of a
company’s culture change programme, instigated as a result of management’s determination to
improve safety performance and achieve a world class safety standard.

The aim of the health and safety plan was to encourage employee involvement in health and
safety and to be able to control and predict health and safety spend.
The site had a strong union presence with a workforce who had become cynical towards new
management health and safety initiatives. The company recognized the importance of actively
involving the workforce in the creation and development of the five-year health and safety plan
as a means of ensuring the plan’s success.

Approximately 40 willing employees were involved in designing the five-year plan, representing
just over 10% of the workforce. Four workshops took place, each one chaired by a senior
manager. When the workshops first started, it was apparent that employees were very

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suspicious of the idea, and negative comments were directed towards management during the
seminars.

During the workshops, the employees were divided into groups which had to prioritise and
identify health and safety issues. If the group raised a problem, however small, they also had to
think about how they would solve it, giving time-scales, costs and objectives. These concerns
were then prioritised and potential solutions identified with SMART (specific, measurable,
achievable, realistic, timely) objectives set against them.

All the points and safety issues raised from the workshops were recorded by the health and
safety manager who produced a report. Each objective formed part of the overall health and
safety plan. At the end of every workshop, there was an evaluation questionnaire, from which
the majority of feedback was positive:
‘All sessions were valuable as the people present were from all levels of the workforce and
there is a commitment to improve safety throughout the work force’
‘The cross section of people on the seminar voiced some very good points that need addressing
in the future’
‘I feel that I have made a valuable insight into health and safety and that my views were noted’

Once the ideas from the workshops had been incorporated into the plan, the 40 employees and
management were asked to review it again and agree a final draft. Safety and union
representatives were involved in the process and the local HSE Inspector gave a talk to unions
and employees at the first draft plan review. It was then produced as a booklet and distributed to
all employees.
Every employee on site had their picture displayed on the back page of the first health and
safety plan booklet, to acknowledge their involvement and request their continued support. A
free Health and Safety Plan mug, mouse mat and coaster were made available to every
member of the workforce to promote awareness.
Each objective of the Plan is reviewed annually by an ‘owner’, a member of the management
team. The owner is allocated a member of senior management as a mentor to provide support
and guidance and selects teams to plan actions for the year in line with the objective. These
teams comprise shop floor personnel, engineers, safety representatives and safety
management.

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One of the main initiatives resulting from the plan was changing the format for health and safety
meeting format. The workforce thought the meeting format no longer fulfilling the function for
which it was designed and suggested replacing it by two health and safety development groups
which focused on the two main plant areas of production and finishing. The remit of these
groups was to introduce safety initiatives and develop safety within these two areas. Safety
issues and problems are dealt with daily or highlighted through the use of the hazard/near miss
reporting structure. Other health and safety improvements which have been initiated as a result
of the discussions which formed the plan include:
• a safety notice board placed at the site entrance which displays a monthly ‘safety focus’.

• open learning facilities for all employees; and

• an induction database for contractors.

The main benefit of this process has been a gradual change in culture and a breakdown of the
barriers between the management and the workforce. There is now employee ownership of the
business plan. It has also succeeded in ‘hammering home the message that the site takes
health and safety seriously’ (Safety Manager).

The management hope that there will be a gradual reduction in accidents, with the overall aim
being to make safety the number one priority for both management and the workforce.

‘It was a hearts and minds thing; had to prove to these people that you were serious about it,
because they had heard it all before’ (Safety Manager)
Top Tip from the Safety Manager: ‘Start the process early - it may necessitate an entire culture
change.

An Example of Employee Involvement in Conducting Risk Assessments

A company wanted to improve their risk assessment system and developed a simple flow
system based on the two documents ‘5 Steps to Risk Assessment’3 and ‘Successful Health and
Safety Management (HSG65)’. The new risk assessment model was developed by site
management and the Group Safety, Health and Environment Manager, in consultation with the
local HSE Inspector.

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The company sought an approach which would ensure that the process was easy to manage,
be suited to the type of business, provide a better result and be a useful tool in the management
of health and safety.
The company needed somebody who, given the correct information on risk assessment, could
assess hazards within the workplace and cover all activities throughout the business. On
analysis of their previous risk assessments, it was apparent that they had all been completed by
one person (the health and safety manager) and there was no accountability or ownership of the
risk assessments.
For their new approach, a team of Supervisors, Departmental Managers and representatives
from Technical, Engineering and Night Hygiene teams, were taken away from their day-to-day
tasks for one full week. This team included team leaders, one safety representative and one
other employee. The members were either chosen or volunteered, although management
required members who possessed a good working knowledge of their particular sections.

The teams of twelve were provided with in-depth training at the start of the week, with training
from the Group Health and Safety Manager on general risk assessments and issues relating to
the specific risk assessment model being used. Safety representatives were present in an
advisory capacity, offering health and safety advice. Team members were given support and
advice as they identified hazards in the areas, they were responsible for, assessed the risks and
decided upon the actions required, identifying deadlines and people considered accountable for
various actions.
Poster campaigns around the factory notified all personnel of Risk Assessment Week and team
members. This encouraged all employees to get involved and help the team identify hazards
and provide solutions.
The agenda set for the team during the week ensured that all members spent some time in
every department, including those that they were not familiar with, to ensure all potential risks
and hazards were identified.
The risk assessments generated a plan of action to reduce the hazards within the workplace
and the management team monitored the effectiveness of the measures put in place in reducing
the number of accidents.

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Benefits

The new risk assessment model has been in place since January 2000, and early indications
suggest that there has already been a dramatic decrease in accident rates. There has also been
a knock-on financial benefit in terms of reduced insurance costs due to the fall in accident rates.

Improved communication now exists between management and safety representatives, with
more proactive monthly committee meetings. Previously there had been a ‘shopping list
mentality’ with safety representatives presenting lists of things which needed doing to
management, with little discussion taking place.
There is ownership of the risk assessments by the people who carry out the tasks, as the
solutions to preventing or minimising hazards are put forward by the people who were involved.
The structured assessment of hazards in the workplace allows a committed management to
achieve success in complying with legislation and developing best practice within the group.

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Establishing good habits

Understanding Habit Formation

Habit formation is the process by which new behaviour become automatic. Habits are behaviour
which are performed automatically because they have been performed frequently in the past.
This repetition creates a mental association between the situation (cue) and action (behaviour)
which means that when the cue is encountered the behaviour is performed automatically.
Automaticity has a number of components, one of which is lack of thought.

If you instinctively reach for a cigarette the moment you wake up in the morning, you have a
habit. By the same token, if you feel inclined to lace up your running shoes and hit the streets as
soon as you get home, you've acquired a habit. Old habits are hard to break, and new habits
are hard to form. That's because the behavioural patterns we repeat most often are literally
etched into our neural pathways. The good news is that, through repetition, it's possible to
form—and maintain—new habits.

How good and bad habits can be established

Complacency is often misused when it comes to personal safety. While it is true that some of us
are much more prone to be complacent than others, it doesn't quite explain safety behaviour in
full.
Complacency, in the context of personal safety, usually goes like this: As an individual reaches
a comfort level with the common exposures associated with his work environment, he assumes
he controls them solely by repeating what he has done in the past. After all, nothing serious has
happened so far! The result is a false sense of security which reinforces complacent behaviour.
All of us can fall victim to complacency to some degree.

Many safety professionals write about complacency from a non-psychological perspective as if it

were something that we could eradicate if we just tried a bit harder. More signage, pre-shift
safety talks, training, and so on. Others are confounded by it, unsure where to even begin. All of
this reinforces that we, as safety professionals, must get better at understanding and predicting
human behaviour. In that vein, let’s start with the at-risk safety behaviour – complacency.

If you approach personal safety from an internal perspective like I do, your first question is,
“What are the stable traits we all possess that make a person more susceptible to complacency

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and how do we accurately assess for them?” In full disclosure, I am going to simplify a complex
subject, acknowledging that more than one trait can correlate with complacent behaviour.
Nevertheless, for the purposes of this brief blog I will focus on a single psychological trait,
Control, which will provide insight into the world of complacency.

Definition of Control: Proactively taking measures now to ensure positive future outcomes.

Control in a Safety Context: High Control individuals first seek to understand the precursors to
increased exposures and then work proactively to reduce them. They are rarely caught off
guard.

Example: "I rotate my tires every 7,000 miles to ensure they wear evenly and regularly inspect
them for proper inflation and safe tread depth. When the tread depth hits the level
recommended by the manufacturer for replacements, I replace my tires."
You see, it’s hard to be complacent, forgetful, or unaware of your tires' state when you created
and implemented a meaningful process that monitors their conditions. Notice I said this works
when you own it and you feel an internal need to regularly confirm your tires are safe. This
seemingly small element is missed by most. That is, where does your motivation come from?
Internal or external? From within, or are you merely following a myriad of company safety rules?

Digging a little deeper, you find that these highly responsible individuals feel a need to be in
control of all the variables that impact their wellbeing; otherwise, they naturally experience a
sense of discomfort. That internal discomfort drives their controlling behaviour – the list, the
checking and rechecking, asking for a second opinion, and much more. Once they confirm and
reconfirm everything is as it should be, the internal discomfort subsides. At least for a little bit.
These individuals, not surprisingly, get injured much less than those lower in control. In
summary, the strength of the Control safety trait aligns well with one’s level of complacency.

High Control people have many other positive attributes. Research shows they are healthier,
earn more, exercise more consistently, have stronger personal relationships, and drink less.
You might say these individuals are highly responsible (or, as one client told me, “They’re
responsible alright…but they aren’t much fun!”).
By now, you may be thinking, “Wouldn’t it be nice if I could at least get a high-level read on
someone’s level of control?” With validated tests, individuals can be assessed for this trait.

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These assessments, measuring control and many other safety traits, remain the most effective
path forward to truly understand someone's safety behaviour.

A second option to get a quick read on the person’s control trait occurs through an interview
question. As with all interviewing, I will caution that the question used isn’t nearly as important
as properly interpreting the responses from the question.

Here is a quick technique to assess Control in the interview process:

Question: "We’ve all been late to appointments or meetings. Tell me about the last time this
happened to you. What were the circumstances? How did it turn out?

• Listen for the following indications:

• Blaming others vs. taking responsibility
• “It was out of my control”
• Nothing learned to prevent it from happening again
• A who-could-have-seen-this-coming victim mindset

What it means: Workers who blame a delay on an external factor, such as traffic, daily common
interruptions, or another priority may have Control as their safety blind spot. This heightens their
chance of injury in tasks that require vigilance. Individuals lower in Control tend to be more
complacent, and therefore negative stuff happens to them more often.
By now, I'm sure you understand that a supervisor naively telling an employee low in Control to
be more vigilant is ineffective. The supervisor assumes the employee simply doesn’t know he
should be vigilant, or worse, may not care. If you have ever had a child who felt comfortable
living in a messy bedroom, you know well that merely telling him or her to clean up the room is
not effective. It is much more complicated than that! Most often, a parent's last resort is
demonstrations and/or threats – which are mostly ineffective in changing a child's behaviour.
The same is true in the workplace. So, what can be done to reduce complacency in your
workforce?

Here are 3 steps to reduce complacency:

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Assess: Don’t merely guess – test your workforce for personal safety! This empowers you and
them to confidently know their specific safety levels and to structure coaching and improvement
based on their individual needs.

Develop: Provide meaningful feedback to your employees in a structured way. This supports
your workers' efforts to improve their personal safety behaviour. Both online and classroom-
based training are examples of options that can be used. Regardless of the platform, the key is
self-awareness from which a person's development plan originates.

Sustain: Integrate internal safety into your safety culture and safety systems. You can choose to
design your own systems or rely on the sustainability kits available on the market. Choose ones
that are simple to implement and reinforce personal safety from an internal perspective.

Get to know your employees from a safety standpoint. Asking Control-related questions is a
great starting point to gain insight on a person's natural wiring for safety. In doing so, you will
discover hidden insights to improve personal safety for your workforce.

Do the online quiz for Chapter 7 on your student portal.

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CHAPTER 8: Techniques of accident and incident
investigation

Outcomes
On completion of this chapter, you will be able to understand the techniques of accident
and incident investigation.

1. Explain the difference between an accident and incident.

2. Describe the generally accepted hierarchy of how incidents lead to accidents.
3. Explain the basic process of accident and incident investigation.

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INCIDENT vs ACCIDENT: what’s the difference?

Incident: An unplanned, undesired event that hinders completion of a task and may cause
injury, illness, or property damage or some combination of all three in varying degrees from
minor to catastrophic. Unplanned and undesired do not mean unable to prevent. Unplanned and
undesired also do not mean unable to prepare for Crisis planning is how we prepare for serious
incidents that occur that require response for mitigation.
Accident: Definition is often similar to incident but supports the mindset that it could not have
been prevented. An accident is the opposite of the fundamental intentions of a safety program,
which is to find hazards, fix hazard, and prevent incidents. When we accept that accidents have
no cause, we assume that they will happen again.
Near Miss: A subset of incidents that could have resulted in injury, illness or property damage,
if given a different set of circumstances, but did not. Near misses are also known as 'close calls.'
Perhaps the better term to consider is 'near hit.'

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Hierarchy of how incidents lead to accidents

Ferrell’s Human Factor Theory

• Theory identifies three main causes:

1. Overload
2. Incompatibility
3. Improper activity
These factors are explained in detail below:
Overload
Overload is an imbalance between a person's capacity at any given time and the load being
carried by a person in a given state.

Refer to Figure below to see how work stress can be a human factor in workplace accidents.
The figure illustrates how a worker who is experiencing chronic work stress has a greater
chance to suffer from illnesses such as mental stress which, in turn, may cause an undesirable
incident to occur.

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A person's capacity is the combination of qualities such as their:
• natural ability
• training
• state of mind
• stress
• physical condition

The load that a person is carrying consists of tasks for which s/he is responsible, and other
added burdens resulting from factors such as:
a) Environmental factors (noise, distractions, and so on).
b) Internal factors (personal problems, emotional stress, and worry).
c) Situational factors (level of risk, unclear instructions, and so on) the state in which a
person is acting is the product of his motivational and arousal levels.

Inappropriate Response/Unsuitable Response

How a person responds in a given situation can cause or prevent an accident.
• If a person detects a hazardous condition but does nothing to rectify it, he has
responded inappropriately.
• For example, workers at a construction site must wear hard hats and observe all other
safety measures laid down by the management.
• If a person removes a safeguard from a machine in an effort to increase output,
he has responded inappropriately.
• Again, if a person disregards an established safety procedure, he has responded
inappropriately.
• Such responses can lead to accidents.
• In addition to inappropriate responses, an unsuitable workplace or work environment can
also contribute to accidents.

The unsuitability of a person's workplace with regard to:

• Physical size of the facilities available
• Force
• Reach
• Feel &

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 • Similar factors
can lead to accidents and injuries.

Inappropriate Activities
Human error can be the result of inappropriate activities.
An example is the undertaking of a task that a person does not know or not familiar with.
Another example is misjudging the degree of risk involved in a given task.
Such inappropriate activities can lead to accidents and injuries

To help you understand this theory, please refer to Figure below:

Petersen’s Accident/Incident Theory

The accident/incident theory is an extension of the human factor’s theory. It was developed by
Dan Petersen and is sometimes referred to as the Petersen accident/incident theory. Petersen
introduced such new elements as ergonomic traps, the decision to err, and systems failures.

• Similar to Ferrell’s Human Factor Model

• Ergonomic traps
• Separates the decision to err from the overload cause

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• Reasons to choose to err
1. logical decision due to the situation
2. an unconscious desire to err
3. perceived low probability of an accident occurring

• In this model, overload, ergonomic traps, or a decision to err may lead to human error. The
decision to err may be conscious and based on logic, or it may be unconscious
• A variety of pressures such as tight deadlines, peer pressure, and budget factors can
lead to unsafe behaviour. Another factor that can influence such a decision is the "It will
not happen to me" syndrome.
• The systems failure component is an important contribution of Petersen's theory. First, it
shows the potential for a causal relationship between management decisions
or management behaviour, and safety.
Second, it establishes management's role in accident prevention aswell as the broader
concepts of safety and health in the workplace.
• Systems failure is normally caused by several acts or approaches which do not fulfill the
requirements of occupational safety and health such as the following:

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a) Management does not establish a comprehensive safety policy,
b) Responsibility and authority with regard to safety are not clearly defined,
c) Safety procedures such as measurement, inspection,
correction, and investigation are ignored or given insufficient attention,
d) Employees do not receive proper orientation,
e) Employees are not given sufficient safety training.

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The basic process of accident and incident investigation

Organisations investigate business upsets because they are required to by law or their own
company standards, or the public or shareholders expect it. But, whatever the motivation, the
goal is to identify why the incident happened and to take action to reduce the risk of future
incidents. Investigations often find that similar scenarios have occurred previously but, for a
variety of reasons, did not result in serious consequences. This is increasingly recognised in
high-risk industries where "near misses" are also investigated as well as incidents which
actually resulted in loss.

A six-step, structured approach to incident investigation (Fig 1) helps to ensure that all the
causes are uncovered and addressed by appropriate actions.

Step 1 - Immediate action

In the event of an incident, immediate action to be taken may include making the area safe,
preserving the scene and notifying relevant parties. The investigation begins even at this early
stage, by collecting perishable evidence, e.g. CCTV tapes, samples.

Step 2 - Plan the investigation

Planning ensures that the investigation is systematic and complete. What resources will be
required? Who will be involved? How long will the investigation take? For severe or complex
incidents, an investigation team will be more effective than a single investigator.
Step 3 - Data collection

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Information about the incident is available from numerous sources, not only people involved or
witnesses to the event, but also from equipment, documents and the scene of the incident.
Step 4 - Data analysis
Typically, an incident is not just a single event, but a chain of events. The sequence of events
needs to be understood before identifying why the incident happened.

When asking why, we need to identify the root and underlying causes, as well as the direct
causes. Failures and mistakes don't just happen by themselves; organisations allow error-
enforcing environments that encourage direct causes to develop and persist. Such
environments, and the basic management failings behind them, are the root causes - the
ultimate source of the incident.
While human error plays a part in the majority of incidents, people are not generally stupid, lazy,
forgetful or willfully negligent. Human errors occur because of influencing factors associated
with the work, the environment, an individual's mental or physical abilities, the organisation and
its management systems. Any investigation which sets out to find someone to blame is
misguided.

Step 5 - Corrective actions

Many investigations make the mistake of raising actions which deal only with the direct causes -
a quick fix, putting last-lines-of- defense back in place. By ignoring the root and underlying
causes, not only do they miss an opportunity to reduce the risk of recurrence of the incident, but
they also leave open the possibility that other, dissimilar incidents may also occur, arising from
the same, common root cause.

Step 6 - Reporting
The investigation is concluded when all outstanding issues have been closed out and the
findings have been communicated so that lessons can be shared. Communication mechanisms
include formal incident investigation reports, alerts, presentations and meeting topics.

Tools to help
Checklists, proformas and posters can be useful when setting terms of reference, collecting and
structuring information, analysing causes, etc. There are also software tools available to help
with the entire incident investigation and analysis process.

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Accident investigation
When an employee has an accident at work, it is imperative that his or her supervisor takes the
time to perform an accident investigation, regardless of whether that employee was injured in
the incident or not. Accident investigations are an opportunity to uncover safety problems and
correct them before they reoccur.
However, these investigations must be performed correctly to be useful. The following steps is
a guide to performing an effective accident investigation. The first two steps in the procedure
help you gather accurate information about the accident.

Step 1: Gather information. Get a brief overview of the situation from witnesses and employees
directly involved in the incident. Your goal is to collect enough information to understand the
basics of what happened.
Step 2: Search for and establish facts. Examine the accident scene, looking for things that will
help you understand what happened. This includes looking for dents, cracks, scrapes, or splits
in equipment; tire tracks or footprints; spills or leaks; scattered or broken parts; and so on. Be
sure to take photographs!
Step 3: Establish essential contributing factors. Contributing factors include environmental
factors, design factors, systems and procedures, and human behaviour. Design factors include
workplace layout, design of tools and equipment, and maintenance. Systems and procedures
factors include lack of systems and procedures, inappropriate systems and procedures,
inadequate training procedures, and housekeeping. Human behaviour is common in accidents
and includes carelessness, rushing, and fatigue, among others.
Step 4: Find root causes. There are almost always multiple causes that contribute to an
accident. Try not to settle on a single cause theory. Try to identify all of the underlying causes
as well as the primary cause. For example, in the case of a fall, look beyond the obvious
causes, such as a trip hazard. You should also consider possible causes such as inadequate
lighting, whether the injured worker was carrying a large object that blocked his or her forward
vision, or if the trip hazard was left by another employee who did not pick up after a task was
completed.

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Step 5: Determine corrective actions. Once you know what happened and why it happened, you
are ready to determine how to fix the problem so that you avoid repeat accidents. Think about,
not only what the most expedient action is but also about which actions are most likely to
permanently solve the problem(s) that led to the accident.
The Hierarchy of Controls (Also discussed in detail in chapter 2)
1. Engineering Controls - Remove or reduce the hazard
• Eliminates or reduces the severity of the hazard itself through initial design and
redesign, enclosure, substitution, replacement and other engineering changes.
• Major strengths: Eliminates the hazard itself. Does not rely solely on human
behaviour for effectiveness.
• Major weakness: May not be feasible if controls present long-term financial hardship.

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 2. Management Controls - Remove or reduce the exposure
• Reduce the duration, frequency, and severity of exposure to hazards primarily
through:
a) changes and work procedures and practices, and
b) Scheduling, job rotation, breaks.

• Major weakness: Relies on

a) appropriate design and implementation of controls and
b) Appropriate employee behaviour.

3. Personal protective equipment (PPE) - Put up a barrier

• Equipment for personal use that presents a barrier between worker and hazard.
• Major weakness: Relies on
a) appropriate design and implementation of controls
b) Appropriate employee behaviour.

Step 6: Implement corrective actions/ Write a report. Put your corrective actions into place and
follow up to make sure that they were sufficient to mitigate the hazard and/or address the
issues. The primary reason accident investigations fail to help eliminate similar accidents is that
some report forms unfortunately address only correcting surface causes. Root causes are often
ignored. Let's take a look at one format for ensuring an effective report:

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What happens to this information after submitting the report?

The report is an open document until all actions are complete!

When the accident investigator completes the report, he or she will give it to someone who must
do something with it. That’s the job of the decision-maker. For accident investigation to be
effective, management must consider the findings and develop an action plan for taking
corrective action and making system improvements. Finally, periodic evaluation of the quality of
accident investigation and report is critical to maintaining an effective program.

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Accident reports are reviewed by your district’s safety committee. It is a regulatory requirement
that an accident report include an accident investigation to ensure that the hazard was
addressed. If the supervisor’s investigation section is left blank or a detailed investigation was
not completed, then the report must be sent back to the supervisor for completion.

Do the online quiz for Chapter 8 on your student portal.

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CHAPTER 9: Roles and responsibilities in a
workplace regarding occupational health and safety

Outcomes

On completion of this chapter, you will be able to understand roles and responsibilities of
the various stakeholders in a workplace regarding Occupational Health and Safety.

1. List the key stakeholders that are involved in the prevention of accidents and
incidents in the workplace
2. Describe the role of each of the key stakeholders in preventing accidents and
incidents
3. Explain the consequences when a stakeholder does not execute their duty in
accident/incident prevention

Key stakeholders in the prevention of accidents and incidents in

the workplace

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• Chief executive officers
• employers,
• developers and designers,
• senior managers
• advisory council for occupational health and safety
• Health and safety advisors
• Magistrates court
• Ministry of Health
o Chief Medical Officer
o The Specialist Medical Officer (Occupational Health)
o The Regional Health Authorities
o Occupational Health Physicians (RHAs)
• a 20- member Council consisting of:
o the chief inspector, ex officio, who shall be the chairman
o one officer serving in the department
o the Compensation Commissioner, or his nominee
o one person nominated by the Minister of Mineral and Energy affairs; six persons
representing the interests of employers from a list of the names of persons
nominated by employers’ organisations or federation of employers’ organisations
o six persons representing the interests of employees from a list of the names of
persons nominated by trade unions or federations of trade unions
o one person who in the opinion of the Minister has knowledge of occupational
safety matters

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 o one person in the opinion of the minister has knowledge of occupational
medicine and who is recommended by the Minister of National Health and
Welfare
o one person who in the opinion of the Minister has knowledge of occupational
hygiene

• Ministry (Department of Labour)

MODEL OF INTEGRATED OHS SYSTEM

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Roles of stakeholders in preventing accidents and incidents

Employers
The ultimate responsibility for providing a safe working environment lies with the employer.
However, many employers are complacent about health and safety. They consider that they
have complied with their legal duties if they have reduced hazards to what they consider to be
an ‘acceptable’ level. Accidents that occur despite these precautions are regarded as
unavoidable.

Employers must provide their employees with the instruction and training necessary to ensure
their safety and health. There are specific training obligations for employees involved in the
safety consultation and safety representation processes. Safety and health training must form
part of the training of all people who work at the workplace. Training helps people acquire the
skills, knowledge and attitudes to make them competent in the safety and health aspects of their
work. It includes formal off-the-job training, instruction to individuals and groups, and on-the-job
coaching and counselling. However, training is not a substitute for proper risk control, for
example to compensate for poorly designed plant or inadequate workstations. The key to
effective training is to understand job requirements and individual abilities.
In order to train staff to ensure they obtain the necessary skills, knowledge and attitudes to
make them competent in the safety and health aspects of their work, it is important to identify
appropriate training objectives and methods by first identifying the training needs. Training
needs may be organisational, job-related or individual based.

Other roles include:

• provision and maintenance of work systems, plant and machinery to make sure they are
reasonably practicable, safe and without risks to health of the employees
• Legislation defines the employer’s duty of care and identify the steps that employers are
required to take to identify, assess and control hazards in the workplace
• taking steps to eliminate or mitigate any hazard or potential hazard to the health and
safety of employees. Also, to provide free PPE for workers to function in a protected and
safe conditions.
• Minimizing exposure to hazard where prevention is not reasonably practicable
• Enforcing necessary measures to ensure requirements of OSH Act are complied with by
every person under their employ.

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Management – The employer is responsible for ensuring the safety and health of workers at the
workplace and is therefore responsible for the policies, procedures and rules on the job. This
also includes enforcing the policies, procedures and rules. Management staff (managers,
supervisors, lead hands, etc.) must always be considered in an incident investigation since they
are responsible for providing direction and supervision.

Senior managers
Responsibilities include:

• preparing safety and health policies and consulting employees, including the safety
committee where it exists, and the safety representative, as appropriate
• devising safety and health strategies for key high risks
• setting safety and health objectives and targets for employees
• devising plans to implement the safety and health policy
• ensuring that appropriate organisational structures are in place
• identifying and allocating resources for safety and health
• ensuring that the safety and health policy is effectively implemented and checking
whether objectives and targets have been met
• reviewing the effectiveness of the safety and health management system
• implementing any necessary improvements derived from carrying out Risk Assessments
• giving all personnel the authority necessary to carry out individual safety and health
responsibilities
• devising appropriate arrangements whereby employees are held accountable for
discharging their responsibilities
• establishing clear and unambiguous reporting relationships
• devising job descriptions that include safety and health responsibilities
• incorporating safety and health performance in the appraisal system where personal
appraisal systems exist
• developing safety and health cultures in project teams and team working situations.

Designer and Developer Managers

For the protection mission area, managers should establish procedures for: fighting fires;
containing material spills; closing or barricading doors and windows; shutting down, covering, or
securing equipment and utilities; moving equipment to a safe location; and identifying sources of
backup utilities, equipment, parts and supplies.

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Besides protecting facilities, protecting vital facility records is essential for the quick restoration
of operations. This process includes engineering drawings, operations and maintenance plans,
equipment specifications, and computerized work and asset management data. Storing
electronic documents in an off-site server might aid in record protection. In the response phase
of emergency management, it is critical for maintenance and engineering departments to
understand the hierarchy of response — life safety, property, environment, and organisation and
mission — and refer to this hierarchy when making quick contingency decisions directly
following an emergency.

Managers should designate and train personnel to authorize, supervise and perform a
component, building, and even campus shutdown when directed by competent authority. An
improper or disorganised shutdown can result in confusion, injury and property damage.

Some facilities require only basic shutdown actions, such as turning off equipment, locking
doors and activating alarms. Others require complex procedures. Written procedures should
identify conditions requiring a shutdown, authorities can order a shutdown, personnel will carry
out procedures, the way a partial shutdown would affect other facility operations, and the length
of time required for shutdown and restarting. Managers need to develop emergency
communications plans, including alternative communication methods and backup systems.

Ministry of Health

A successful occupational health and safety programme requires the collaboration and
participation of both the Ministry of Health and employees in the programme. It involves the
consideration of issues relating to occupational medicine, industrial hygiene, engineering safety,
ergonomics and psychology.

The Ministry of Health is responsible for:

• The overall management of Occupational Safety and Health in the Public Health Sector
• Conducting comprehensive workplace risk assessments to manage risks and hazards
annually and as necessary, without prejudice to Section 13A of the OSH Act, and review
these risk assessments on a regular basis.
• Conducting health surveillance as appropriate, having regard to the risk of employees’
safety and health which are identified by risk assessments.
• Conducting medical examinations and provide treatment and /or appropriate corrective
measures as necessary on workers who work with hazardous materials including those
exposed to ionizing radiation, noise and vibration.

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 • Communicating the OSH management policy and any amendments of the policy to all
employees.
• Developing and improving programmes and procedures to ensure compliance with all
applicable laws and regulations of the OSH Act.
• Ensuring that appropriate engineering and administrative controls are in place, and that
personnel are properly trained and provided with appropriate safety and emergency
equipment, including PPE where applicable.
• Encouraging a culture of workplace safety and health, including personal accountability
and emphasizing compliance with standards and conformance with departmental
policies and best practices during employees’ training and in performance reviews.
• Developing and implementing systems to encourage employees to adopt this policy into
practice and report any safety or health concerns to management.
• Developing security systems for each workplace of the Ministry to ensure the safety of
all employees.
• Ensuring, as far as reasonably practicable, that workplace violence is mitigated.
• Strengthening stakeholder collaborations for the development and implementation of
Occupational Safety and Health Systems.
• Ensuring the provision of adequate resources to meet safety and health requirements.
• Ensuring that this policy is implemented in the Ministry and all Regional Health
Authorities.
• Integrating and including OSH principles in the overall planning and decision-making
process.
• Ensuring the establishment

The Occupational Health Physicians (RHAs) are responsible for:

• Conducting health assessments to determine an individual’s fitness to perform assigned
duties and to ensure that work will not adversely affect the health of the employee,
his/her colleagues or the general public.
• Providing advice on fitness for specific jobs, ill health, retirement, health surveillance
programmes and the rehabilitation of individuals after sickness or injury
• Facilitating the maintenance of the highest degree of physical and mental health of
employees through advice and health promotion initiatives.

The Regional Health Authorities are responsible for:

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 • Integrating and including OSH principles in their overall planning and decision-making
process.
• Ensuring the establishment, maintenance and improvement of safety and health
systems in all facilities.
• Ensuring, where appropriate, responsibilities for safety and health are detailed in job
descriptions.
• Ensuring that all accidents/incidents and near misses are investigated, recorded and
reported and that remedial action is taken to prevent re-occurrences.
• Liaising, where appropriate, with the Ministry of Labour and Small and Micro-Enterprises
Development, Environmental Management Agency, Local Authorities, and the Ministry of
National Security and other advisory sources on matters of Health and Safety.
• Promoting information, education and communication on Occupational Safety and
Health throughout their respective regions.
• Allocating adequate resources to create/promote a safety and health culture through the
use of the appropriate systems, work practices and technologies.
• Planning, developing and implementing systems to ensure that consultations occur on
OSH issues with employees and their representatives.

The Specialist Medical Officer (Occupational Health), Ministry of Health shall:

• Advise the Executive Management of the Ministry of Health on health and safety matters
to ensure that the highest standard of Occupational Health and Safety of workers are
achieved and maintained.

The Chief Medical Officer is responsible for:

• Ensuring compliance with the OSH legislation and the Ministry of Health OSH
Management Policy.
• Advising the Minister of Labour to designate and appoint a Medical Officer as Medical
Inspector.
• Strengthening mechanisms for prevention, control and management of occupational
diseases and medical surveillance.
• Increasing access to preventive, control, treatment and rehabilitation services for
occupational diseases.
• Assessing the status of occupational diseases.

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 • Establishing strong collaboration between Infection Control Committees, Occupational
Safety and Health Committees and Disaster Preparedness Committees in the Health
Sector.
• Ensuring prevention and control of occupational diseases through regular vaccination
and other preventive programmes.
• Ensuring the establishment of rehabilitation programmes for injured workers.
• Ensuring that monitoring and evaluation of the Occupational Safety and Health
programmes are conducted regularly.
• Ensuring the inclusion of safety and health performance standards for all contractors
engaged by the Ministry of Health and the Regional Health Authorities

Advisory council for occupational health and safety

• Advise the Minister of Labour with regard to-
o matters of policy arising out of or in connection with the application of provision of
the Occupation Health and Safety Act
o any matter relating to occupational health and safety
• perform the functions assigned to it this Act or referred to it by the Minister
• May do research and conduct investigations as it may deem necessary, in line with its
functions
• May make rules relating to the calling of meetings of the Council, the determining of a
quorum for and the procedure at such meetings and generally relating to all matters
which may be necessary for the effective performance of the functions of the council or
subject to section 6 of a technical committee
• Advise the department of labour concerning-
o The formulation and publication of standards, specifications or other forms of
guidance for the purpose of assisting employers, employees and users to
maintain appropriate standards of occupational health and safety
o The promotion of education and training in occupational health and safety
o The collection and dissemination of information on occupational health and
safety
• The council may for the purposes of the performance of any of its functions, with the
approval of the Minister, and with the concurrence of the Minister of State Expenditure,
enter into an agreement for the performance of a particular act or work or for the
rendering of a particular service, on such conditions and at such remuneration as may

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 be agreed upon, with anybody who in the opinion of the Council is fit to perform such act
or work or to render such service.
• Subject to the laws governing the Public Service, the Minister shall provide the Council
with such personnel as he may deem necessary for the effective performance of the
functions of the Council, and such persons shall perform their functions subject to the
control and directions of the chief inspector.

Chief inspector
• May direct any employer in writing
• May direct any category of employers by notice in the Gazette, to prepare a written
policy concerning the protection of the health and safety of the employees at work,
including a description of organisation and the arrangements for carrying out and
reviewing that policy.

Chief Executive Officer

• Ensure duties of the employer as contemplated in the Occupation Health and Safety are
properly dicharged
• May assign any duty contemplated above, to any person under his control

The role of the safety and health advisor

Safety and health advisers should have the status and competence to advise management and
employees with authority and independence. By virtue of the definition of ‘competent person’
under the 2005 Act, they must possess sufficient training, experience and knowledge
appropriate to the work to be done. They should be capable of advising on:
• formulating and developing safety and health policies, not just for existing activities but
also with respect to new acquisitions or processes
• promoting a positive safety and health culture in the organisation and securing the
effective implementation of safety and health policy
• planning for safety and health, 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

• reviewing performance and auditing the whole safety and health management system.

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Ministry (Department of Labour)

The State’s obligation to protect the environment (including the working environment) requires it
to take reasonable legislative and other measures to secure sustainable development. This
requires the State, after consulting the social partners to develop, implement and enforce
policies, legislation, regulations, codes of practices and guidelines setting health and safety
standards.
• The functions of the Authority would be to implement the national policy by -
o developing a National Health and Safety Act,
o developing an implementation plan with milestones and timelines for establishing
the integrated national OHS system,
o commissioning and supervising research necessary to provide an empirical and
comparative basis for further decision-making,
o developing a national OHS data base and reporting system,
o co-ordinating relations with agencies and departments with related or overlapping
responsibilities, in accordance with the principles of co-operative governance.
o The Minister of Labour would be empowered, after consultation with the
o other Ministers concerned, to delegate or assign additional powers or functions in
terms of existing OHS laws to the Authority. This would include the responsibility
for directing the activities of the different OHS inspectorates. This would allow for
a progressive implementation of the integrated OHS system.
• to formulate, implement and periodically review a coherent national policy on
occupational safety, occupational health and the working environment. It should be
reviewed at regular intervals to identify major problems and identify effective methods for
prioritising and dealing with these problems.
• Ensure that the process of effective OHS regulation does not lead to political
compromises giving rise to inappropriate standards.
• Funding - The costs of establishing the Authority and its initial operation would be
financed through the budget of the Department of Labour. In addition, the Director-
General: Labour is empowered in terms of section 4(b) of the Compensation for
Occupational Injuries and Diseases Act to fund activities aimed at promoting the health
and safety of employees. This power could be used, for instance, to cover the costs of
particular research projects commissioned by the Authority that meet the criteria of the

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Act. Long-term funding would have to be derived from a range of sources including the
fiscus and employer levies.

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Consequences of non-execution of duty in accident/incident
prevention

Studies demonstrate that the absence of employer health and safety policies and management
systems are the major cause of preventable accidents. Employers who are guilty of sub-
standard OHS performance on employees must bear the cost. This requires the application of
the principle of the ‘polluter pays’ in the arena of OHS. This can only be addressed by an
integrated OHS policy covering prevention, compensation and rehabilitation. This will
significantly increase the incentive on employers to take the steps necessary to prevent
occupational accidents and disease.

An employer is legally responsible for risk assessments, training and all aspects of health and
safety at work.
▪ No workplace is entirely risk free, but it is every employer’s responsibility to make sure that
the potential for accidents at work is eliminated or minimised. You have the right to work in
a safe environment, without unnecessary risk from accidents.
▪ The employer has a duty to protect employees at work.
▪ The employer must report serious accidents to the HSE or local authority.
▪ If you are injured at work, you may have a legal case against your employer.

Consequences of non-compliance for employers

i) If an employer fails to comply with health and safety legislation, they can be prosecuted.
ii) Prosecutions may be heard in a Magistrate’s Court depending on the seriousness of the
offence.
iii) If found guilty of an offence employer can be fined, imprisoned and disqualified from
holding a position as a director, depending on the particular case.

CONTRAVENTION OF LEGISLATION

Breaking the legislation always has its own consequences. The consequences depend on
whether the case is civil or criminal. Civil cases result in civil liability whilst criminal cases result
in criminal liability. Let’s first discuss the difference between civil and criminal cases

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 • Civil Cases: A civil case begins when a person or entity (such as a corporation or the
government), called the plaintiff, claims that another person or entity (the defendant) has
failed to carry out a legal duty owed to the plaintiff. Both the plaintiff and the defendant
are also referred to as "parties" or "litigants."

• Criminal Cases: A person accused of a crime against the society is generally charged
in a formal accusation called an indictment. The government, on behalf of the people of
the South Africa, prosecutes the case through the State Prosecutors Office if the person
is charged with a crime.

CRIMINAL LIABILITY
In criminal matters, it is usually the state prosecuting the defendant before a magistrate, or a
judge and jury in the Court. The basic assumption in criminal liability is that there is both a
mental element and physical element to the offence.
For example, theft involves "dishonestly" which is a question of mental attitude, and
"appropriating" which is a physical act. The burden of proof for criminal offences is that of
"beyond reasonable doubt". It should be realised that various offences in relation to, for
example, road traffic law or environmental law have been so structured that the "mental
element" is in fact not required for a conviction. This has been as a matter of public policy to
make it possible to obtain convictions which otherwise would be very difficult. The penalties for
criminal offences are fines and imprisonment, as well as other non-custodial punishments.

CIVIL LIABILITY
Civil liability gives a person rights to obtain redress from another person e.g. the ability to sue
for damages for personal injury. There is also the right to obtain an injunction. For there to be
an award of damages, the injured party has to have suffered an actual loss, be it personal
injury, damage to property, or financial loss.
The burden of proof is "the balance of probability" which is much lower than for criminal
matters.

If there has been a relevant criminal conviction in a particular matter, then the burden of proof
in any related civil action is reversed, so that the defendant has to prove he is not liable. An
example of this would be a conviction of a company for breach of health and safety legislation,
followed by the injured employee suing the company for damages for personal injury.

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A disincentive to suing is that the losing party pays the winners costs. In fact, this works out as
a substantial proportion of the costs, rather than 100%, so a successful plaintiff has his award
of damages diminished in practical terms. As a matter of public policy, it is not possible to have
an enforceable insurance policy in relation to criminal penalties.

Do the online quiz for Chapter 9 on your student portal.

Then complete Assignment 1 and submit on your student portal.

LEARNING ACTIVITY
(DO NOT SUBMIT – Do this as a self-assessment exercise)
Assume a company that manufactures detergents contaminates water and disposes it in a
nearby dam. As a result of the disposal 200 people die due to poisoning.
I. In your opinion, is this a civil case or a criminal case? Justify.
II. What are the consequences thereof?

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The End

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