LEARNER MANUAL

OCCUPATIONAL HEALTH AND SAFETY

APPLICATIONS
MODULE #: 226302001-KM-03
NQF LEVEL: 4
CREDITS: 17
NOTIONAL HOURS: 170
Table of Contents
HOW TO USE THIS GUIDE_____________________________________________________________5
ICONS_____________________________________________________________________________5
PROGRAMME OVERVIEW_____________________________________________________________6
PURPOSE__________________________________________________________________________6
LEARNING ASSUMPTIONS_____________________________________________________________6
HOW YOU WILL LEARN_______________________________________________________________6
HOW YOU WILL BE ASSESSED__________________________________________________________7
PROVIDER ACCREDITATION REQUIREMENTS FOR THE KNOWLEDGE MODULE___________________7
KM-03-KT01: PRINCIPLES, CONCEPTS AND PROCESSES OF HAZARD IDENTIFICATION, RISK
ASSESSMENT AND CONTROL (INTERMEDIATE)_______________________________________8
KT0101 THE PROCESS OF HAZARD IDENTIFICATION AND RISK ASSESSMENT____________________10
KT0102 EXPLAIN THE DIFFERENCE AND INTERRELATIONSHIP BETWEEN HAZARDS AND RISKS_____41
KT0103 DESCRIBE WHAT IS MEANT BY CONTROLS________________________________________47
KT0104 EXPLAIN THE LEGAL REQUIREMENTS REGARDING HAZARD IDENTIFICATION AND RISK
ASSESSMENT______________________________________________________________________50
KM-03-KT02: TECHNIQUES OF ACCIDENT AND INCIDENT INVESTIGATION_________________56
KT0201 EXPLAIN THE DIFFERENCE BETWEEN ACCIDENTS AND INCIDENTS._____________________57
KT0202 USE EXAMPLES TO EXPLAIN THE INTERRELATIONSHIP OF ACCIDENTS AND INCIDENTS
GIVING THE TYPICAL STATISTICAL MODEL OF HOW INCIDENTS EVENTUALLY LEAD TO ACCIDENTS_60
KT0203 DESCRIBE THE LEGAL REQUIREMENTS REGARDING THE NEED TO INVESTIGATE AND REPORT
ON ALL ACCIDENTS AND INCIDENTS____________________________________________________71
KT0204 DESCRIBE THE TYPICAL PROCESS FOR INVESTIGATING ACCIDENTS AND INCIDENTS_______74
KT0205 DESCRIBE THE CRITERIA FOR EFFECTIVE ACCIDENT AND INCIDENT INVESTIGATION_______77
KM-03-KT03: PRINCIPLES OF OCCUPATIONAL HYGIENE MEASURING INSTRUMENTS AND THE
INTERPRETATION OF THE READINGS IN TERMS OF THE THRESHOLD LIMITS OF SUCH
MEASUREMENTS______________________________________________________________93
KT0301 EXPLAIN THE POTENTIAL OCCUPATIONAL HEALTH HAZARDS AND ROUTES OF ENTRY INTO
THE BODY_________________________________________________________________________94
KT0302 IDENTIFY THE TYPICAL OCCUPATIONAL HYGIENE MEASUREMENTS THAT IS TAKEN WITHIN
INDUSTRY_________________________________________________________________________97
KT0303 IDENTIFY THE INSTRUMENTS THAT ARE USED TO TAKE TYPICAL OCCUPATIONAL HYGIENE
MEASUREMENTS__________________________________________________________________104

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 KT0304 EXPLAIN WHERE THE THRESHOLD LIMITS FOR THE VARIOUS OCCUPATIONAL HYGIENE
MEASUREMENTS CAN BE OBTAINED__________________________________________________111
KM-03-KT04: PRINCIPLES OF SAFE WORKING PRACTICES IN AND AROUND THE PLACE OF
WORK (INTERMEDIATE)_______________________________________________________127
KT0401 IDENTIFY AND EXPLAIN THE SAFETY PRACTICES REQUIRED FOR WORKING ENVIRONMENTS.
________________________________________________________________________________128
KT0402 IDENTIFY AND EXPLAIN THE HEALTH AND SAFETY PRACTICES RELEVANT TO THE
MACHINERY, TOOLS AND EQUIPMENT USED IN WORK ENVIRONMENTS._____________________130
KT0403 IDENTIFY AND EXPLAIN THE SPECIFIC SAFETY PRACTICES REQUIRED FOR THE RANGE OF
WORK ACTIVITIES RELEVANT TO A SPECIFIC WORK AREA._________________________________141
KT0404 IDENTIFY AND EXPLAIN THE EMERGENCY PREPAREDNESS AND RESPONSE RELEVANT TO
WORK AREAS.____________________________________________________________________145
KM-03-KT05: CRITERIA AND STANDARDS FOR EFFECTIVE DOCUMENTATION AND DOCUMENT
CONTROL___________________________________________________________________155
KT0501 EXPLAIN THE DOCUMENT AND RECORD CLASSIFICATION PROCESS FOR OCCUPATIONAL
HEALTH AND STATUTORY DOCUMENTATION AND RECORDS (LONG RETENTION PERIOD________156
KT0502 DESCRIBE THE PRINCIPLES FOR RECORD KEEPING AND ARCHIVING DOCUMENTS._______160
KT0503 DESCRIBE THE PRINCIPLES FOR BACKUP AND RETENTION OF CRITICAL DOCUMENTS AND
RECORDS________________________________________________________________________164
KT0504. EXPLAIN THE PRINCIPLES OF DOCUMENT AND RECORD SECURITY___________________176
KT0505 DESCRIBE THE CRITERIA FOR THE QUALITY OF OCCUPATIONAL HEALTH AND SAFETY
DOCUMENTATION_________________________________________________________________186
KM-03-KT06: CONCEPTS AND PRINCIPLES OF CAUSE AND EFFECT ANALYSIS AND HOW THIS
APPLIES TO OCCUPATIONAL HAZARD IDENTIFICATION AND RISK ASSESSMENT AND INCIDENT
AND ACCIDENT INVESTIGATION_________________________________________________190
KT0601 DEFINE WHAT IS MEANT BY CAUSE AND EFFECT AND GIVE EXAMPLES OF HOW THIS APPLIES
TO HAZARD IDENTIFICATION, RISK ASSESSMENT AND ACCIDENT/INCIDENT INVESTIGATION_____191
KT0602 EXPLAIN HOW A CAUSE AND EFFECT ANALYSIS WORKS AND HOW IT APPLIES TO RISK
ASSESSMENT, HAZARD IDENTIFICATION AND INCIDENT/ACCIDENT INVESTIGATION.___________195
KT0603 EXPLAIN WHAT IS MEANT BY PREVENTATIVE, CORRECTIVE AND CONTINGENCY ACTIONS
AND GIVE EXAMPLES OF HOW THIS IS APPLIED IN HAZARD IDENTIFICATION, RISK ASSESSMENT AND
ACCIDENT/INCIDENT INVESTIGATIONS.________________________________________________200
KM-03-KT07: PRINCIPLES, CONCEPTS AND PROCESSES OF HAZARD IDENTIFICATION, RISK
ASSESSMENT AND CONTROL____________________________________________________214
KM-03-KT08: CONCEPTS, PRINCIPLES AND LEADING PRACTICES ASSOCIATED WITH
CONTINUOUS IMPROVEMENT__________________________________________________215
KT0801 DESCRIBE WHAT IS MEANT BY CONTINUOUS IMPROVEMENT AND HOW IT MANIFESTS IN
THE PLAN, DO, CHECK, ACT CYCLE_____________________________________________________216

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 KT0802 GIVE EXAMPLES OF CONTINUOUS IMPROVEMENT PROCESSES IN VARIOUS WORK PLACES.
________________________________________________________________________________229
KT0803 DESCRIBE THE ADVANTAGES AND IMPLICATIONS OF THE EFFECTIVE USE OF CONTINUOUS
IMPROVEMENT PROCESSES._________________________________________________________236
KT0804 EXPLAIN THE TYPICAL PRACTICES ASSOCIATED WITH CONTINUOUS IMPROVEMENT
PROCESSES_______________________________________________________________________242
KT0805 EXPLAIN THE IMPORTANCE OF STANDARDS AND SPECIFICATIONS IN ENSURING
CONTINUOUS IMPROVEMENT._______________________________________________________256
KM-03-KT09: CONCEPTS AND PRINCIPLES OF CHANGE MANAGEMENT AND HOW TO APPLY
THESE PRINCIPLES WHEN IMPLEMENTING NEW SYSTEMS____________________________257
KT0901DEFINE CHANGE AND GIVE REASONS WHY THE IMPLEMENTATION OF CHANGES IN AN
ORGANISATION MUST BE MANAGED__________________________________________________258
KT0902 EXPLAIN THE TYPICAL RESPONSES OF PEOPLE TO CHANGE AND HOW THEY IMPACT ON THE
EFFECTIVENESS OF IMPLEMENTING CHANGES IN ORGANISATIONS._________________________263
KT0903 DESCRIBE A TYPICAL CHANGE MANAGEMENT PROCESS AND GIVE EXAMPLES OF WHAT
MUST BE DONE TO HELP PEOPLE UNDERSTAND AND ACCEPT CHANGE.______________________269
KT0904 GIVE EXAMPLES OF THE USE OF CHANGE MANAGEMENT IN RELATION TO OCCUPATIONAL
HEALTH AND SAFETY ISSUES.________________________________________________________271

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© COPYRIGHT

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or
Transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or
otherwise, without the prior written permission of:

This manual was compiled by SM Support o9n behalf of the training provider.

4
HOW TO USE THIS GUIDE

This workbook belongs to you. It is designed to serve as a guide for the duration of your
training 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. Follow along in the guide as the facilitator takes you through the material, and feel
free to make notes and diagrams that will help you to clarify or retain information. Jot down
things that work well or ideas that come from the group. Also, note any points you would like
to explore further. Participate actively in the skill practice activities, as they will give you an
opportunity to gain insights from other people’s experiences and to practice the skills. Do not
forget to share your own experiences so that others can learn from you too.

ICONS
Learner Manual

PROGRAMME OVERVIEW

PURPOSE

The main focus of the learning in this knowledge module is to build an understanding of the
9key theories, concepts and principles required to process the required data and provide
Occupational Health and Industrial Hygiene services in the capacity as a Safety and Health
Officer
LEARNING ASSUMPTIONS

The learning will enable learners to demonstrate an understanding of:

HOW YOU WILL LEARN

 KM-03-KT01: PRINCIPLES, CONCEPTS AND PROCESSES OF HAZARD IDENTIFICATION, RISK

ASSESSMENT AND CONTROL (INTERMEDIATE) (10%)
 KM-03-KT02: TECHNIQUES OF ACCIDENT AND INCIDENT INVESTIGATION (10%)
 KM-03-KT03: PRINCIPLES OF OCCUPATIONAL HYGIENE MEASURING INSTRUMENTS AND THE
INTERPRETATION OF THE READINGS IN TERMS OF THE THRESHOLD LIMITS OF SUCH

MEASUREMENTS (BASIC) (10%)

 KM-03-KT04: PRINCIPLES OF SAFE WORKING PRACTICES IN AND AROUND THE PLACE OF
WORK (INTERMEDIATE) (10%)
 KM-03-KT05: CRITERIA AND STANDARDS FOR EFFECTIVE DOCUMENTATION AND
DOCUMENT CONTROL (ADVANCED) (20%)
 KM-03-KT06: CONCEPTS AND PRINCIPLES OF CAUSE AND EFFECT ANALYSIS AND HOW THIS
APPLIES TO OCCUPATIONAL HAZARD IDENTIFICATION AND RISK ASSESSMENT. AND INCIDENT

AND ACCIDENT INVESTIGATION. (ADVANCED) (10%)

 KM-03-KT07: PRINCIPLES, CONCEPTS AND PROCESSES OF HAZARD IDENTIFICATION, RISK
ASSESSMENT AND CONTROL(INTERMEDIATE) (10%)

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 KM-03-KT08: CONCEPTS, PRINCIPLES AND LEADING PRACTICES ASSOCIATED WITH
CONTINUOUS IMPROVEMENT (INTERMEDIATE) (10%)
 KM-03-KT09: CONCEPTS AND PRINCIPLES OF CHANGE MANAGEMENT AND HOW TO APPLY
THESE PRINCIPLES WHEN IMPLEMENTING NEW SYSTEMS. (INTERMEDIATE) (10%)

The programme methodology includes facilitator presentations, readings, individual activities,

group discussions, and skill application exercises.
HOW YOU WILL BE ASSESSED

This programme has been aligned to registered unit standards. You will be assessed against
the outcomes of the unit standards by completing a knowledge assignment that covers the
essential embedded knowledge stipulated in the unit standards. When you are assessed as
competent against the unit standards, you will receive a certificate of competence and be
awarded 17 credits towards a National Qualification.

PROVIDER ACCREDITATION REQUIREMENTS FOR THE KNOWLEDGE MODULE

1. Physical Requirements:
Training venue/classroom, chairs, desks and tables
Training material and resources

2. Human Resource Requirements:

The trainer must have an NQF Level 4 or higher Early Childhood Development
Qualification or equivalent
Registered Assessor with ETDP SETA is a recommendation
The trainer with facilitation skills is a recommendation
Trainer to learner ratio: 1:30 (Maximum)

3. Legal Requirements

Legal Entity
Accredited skills development provider with ETDP SETA
Compliant with Occupational Health and Safety legislation and requirements

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KM-03-KT01: PRINCIPLES, CONCEPTS AND PROCESSES

OF HAZARD IDENTIFICATION, RISK ASSESSMENT AND
CONTROL (INTERMEDIATE)

On completion of this section you will be able to understand the principles, concepts and
processes of hazard identification, risk assessment and control

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1. KT0101 Describe the process of hazard identification and risk assessment

giving practical examples of how it is done in different work environments; a.
Steps for identifying hazards; b. Different processes of classifying hazards; c.
Typical process for identifying the related risks; d. Methods of classifying and
describing significant risks; e. Scope (stakeholders, techniques and area); f.
Various process steps for conducting the assessment g. Implementation
steps; h. Monitoring and reporting process. (NQF Level: 4)

2. KT0102 Explain the difference and interrelationship between hazards and

risks: a. Definition of a Hazard; b. Definition of a Risk; c. The cause and
effect relationship between hazards and risks; (NQF Level: 4)

3. KT0103 Describe what is meant by controls and give examples of controls to

prevent hazards from causing incidents as well as controls to mitigate the
consequences when a hazard does cause an accident/incident. Explain the
hierarchy of control of hazards and risks: a. Description as per the Health
and safety regulations. (NQF Level: 4)

4. KT0104 Explain the legal requirements regarding hazard identification and

risk assessment. Describe the various sources of hazards: a. Different types
of hazards; b. The impact of the various hazards; c. The sources of the
different types of hazards; d. Energy as a source of hazard (what this is and
how it works) (NQF Level: 4)

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KT0101 THE PROCESS OF HAZARD IDENTIFICATION AND RISK ASSESSMENT

The most important legal duty imposed on employers by the Occupational Health and Safety
Act, 1993 and incorporated Regulations is the one requiring of employers to conduct Risk
Assessments (HIRA – Hazard Identification and Risk Assessment). Based on the outcome of
the Risk Assessments decisions should be taken as to preventative measures to be
implemented as to ensure a safe workplace is provided to employees, contractors and
visitors to the workplace

WHAT IS A HAZARD IDENTIFICATION AND RISK ASSESSMENT?

Hazard identification and Risk Assessment is a formal process involving the study of work
activities, carried out as to:

a. Identifying hazards, which are the potential causes of

harm. A hazard is defined as “means a source of or
exposure to danger”. When assessing all hazards
employers would be required to assess all tasks
performed or machines / equipment used;

b. Assessing the risks for each task evaluated. Risk is

defined as “means the probability that injury or damage
will occur”. When assessing the risk associated with the
task performed the Risk Rating Sheet as attached and
marked Annexure A could be used;

c. Deciding on suitable measures to eliminate or control

measures to be implemented. The Occupational Health
and Safety Act, 1993 and incorporated Regulations
regard the issuing of personal protective equipment as
the last resort. Employers should therefore first attempt
to mitigate the hazards identified;

d. Recording the information. Without any record of HIRA’s

conducted the employer would not be able to prove
compliance. The format of the Risk assessment report is
not prescribed, but the format as attached and marked
Annexure B could be used; and

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e. Implementing control measures as to ensure that the
workplace is as safe as what would be reasonable
practicable. Reasonably Practicable is defined as”
means practicable having regard to:
i. The severity and scope of the hazard or risk concerned;
ii. The state of knowledge reasonably available concerning that hazard or
risk and of any means of removing or mitigating that hazard or risk;
iii. The availability and suitability of means to remove or mitigate that
hazard or risk; and iv. The cost of removing or mitigating that hazard or
risk in relation to the benefits deriving therefrom

TYPES OF RISK ASSESSMENTS

Risk assessments to be conducted could be divided into the following three types;

a. Baseline Risk Assessments

A Baseline Risk Assessment would be conducted if no previous Risk Assessment has
been conducted. This Risk Assessment report should reflect information on:
i. All workplaces;
ii. All activities or tasks performed; and iii. All machinery or tools
used.

The frequency at which these Risk Assessment reports should be reviewed is not prescribed.
It is however common that annual reviews are required;

b. Issue Based Risk Assessments

These are Risk Assessments are typically conducted

i. After a new machine was purchased. The purpose of this assessment is to determine
if the machine is safe and in compliance with legal and other requirements;

ii. After an incident - During the incident investigation process weaknesses with internal
policies or procedures could have been identified. The incident investigation may also
show additional precautionary measures are required as to prevent a re-occurrence;
and or

iii. When new legislation was promulgated – New legislation may prescribe requirements
which are currently not being complied with. Assessing the contents of the legislation
will show these non-conformances and will allow employers to ensure compliance;
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c. Continues Based Risk Assessments

Regular inspections conducted on equipment or machinery such as daily inspection
of mobile plant could be regarded as continues based risk assessments

Steps for identifying hazards

A step-by-step process
A safe and healthy workplace does not happen by chance or guesswork. You have to think
about what could go wrong at your workplace and what the consequences could be. Then
you must do whatever you can (whatever is ‘reasonably practicable’) to eliminate or minimise
health and safety risks arising from your business or undertaking.

This process is known as risk management and involves four steps:

 Identify hazards – find out what could cause harm
 Assess risks – understand the nature of the harm that could be caused by the
hazard, how serious the harm could be and the likelihood of it happening
 Control risks – implement the most effective control measure that is
reasonably practicable in the circumstances
Review control measures to ensure they are working as planned

Risk management is a proactive process that helps respond to change and facilitate
continuous improvement. It will be planned, systematic and cover all reasonably foreseeable
hazards and associated risks
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STEP 1 – HOW TO IDENTIFY HAZARDS

Identifying hazards in the workplace involves finding things and situations that could
potentially cause harm to people. Hazards generally arise from the following aspects of work
and their interaction:
• physical work environment
• equipment, materials and substances used
• work tasks and how they are performed
• work design and management
Some hazards are part of the work process, such as mechanical hazards, noise or toxic
properties of substances. Other hazards result from equipment or machine failures and
misuse, chemical spills and structural failures.

A piece of plant, substance or a work process may have many different hazards. Each of
these hazards needs to be identified. For example, a production line may have dangerous
moving parts, noise, hazards associated with manual tasks and psychological hazards due to
the pace of work.

Table 1 below lists some common types of workplace hazards.

Table 1 Examples of common hazards

Hazard Potential harm

Manual tasks Overexertion or repetitive movement can
cause muscular strain.
Gravity Falling objects, falls, slips and trips of
people can cause fractures, bruises,
lacerations, dislocations, concussion,
permanent injuries or death.
Electricity Potential ignition source. Exposure to live
electrical wires can cause shock, burns or
death from electrocution
Machinery and equipment Being hit by moving vehicles, or being
caught by moving parts of machinery can
cause fractures, bruises, lacerations,
dislocations, permanent injuries or death.
Hazardous chemicals Chemicals (such as acids, hydrocarbons,
heavy metals) and dusts (such as asbestos
and silica) can cause respiratory illnesses,
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cancers or dermatitis
Extreme temperatures Heat can cause burns, heat stroke or
fatigue. Cold can cause hypothermia or frost
bite
Noise Exposure to loud noise can cause
permanent hearing damage
Radiation Ultra violet, welding arc flashes, micro
waves and lasers can cause burns, cancer
or blindness
Biological Micro-organisms can cause hepatitis,
legionnaires’ disease, Q fever, HIV/AIDS or
allergies
Psychological hazards Effects of work-related stress, bullying,
violence and work-related fatigue

STEP 2 – HOW TO FIND HAZARDS

Inspect the workplace Look at how you actually work, how plant and equipment is used, what
chemicals are around and what they are used for, what safe or unsafe work practices exist as
well as the general state of housekeeping.

Things to look out for include the following:

 Does the work environment enable workers to carry out work without risks to health
and safety? (E.g. space for unobstructed movement, adequate ventilation and
lighting)
 How suitable are the tools and equipment for the task and how well are they
maintained?
 Have any changes occurred in the workplace which may affect health and safety?

Hazards are not always obvious. Some hazards can affect health over a long period of time
or may result in stress (such as bullying) or fatigue (such as long working hours). Also think
about hazards that we may bring into your workplace as such as new, used or hired goods.

As you walk around, you may spot straightforward problems and action should be taken on
these immediately, for example cleaning up a spill, putting away items into their correct place.
If you find a situation where there is immediate or significant danger to people, move those
persons to a safer location first and attend to the hazard urgently.

Make a list of all the hazards you can find, including the ones you know are already being
dealt with, to ensure that nothing is missed.
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Consult workers Ask other workers about any health and safety problems they have
encountered in doing their work and any near misses or incidents that have not been
reported.

Worker surveys may also be undertaken to obtain information about matters such as
workplace bullying, as well as muscular aches and pains that can signal potential hazards.

Processes of classifying Different hazards

What is a hazard class?

Hazard classes are a way of grouping together products that have similar properties

List of Hazard Classes

Physical Hazards

 Flammable gases
 Flammable aerosols
 Oxidizing gases
 Gases under pressure
 Flammable liquids
 Flammable solids
 Self-reactive substances and mixtures
 Pyrophoric liquids
 Pyrophoric solids
 Self-heating substances and mixtures
 Substances and mixtures which, in contact with water, emit flammable gases
 Oxidizing liquids
 Oxidizing solids
 Organic peroxides
 Corrosive to metals
 Combustible dusts
 Simple asphyxiants
 Pyrophoric gases
 Physical hazards not otherwise classified

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Health Hazards

 Acute toxicity
 Skin corrosion/irritation
 Serious eye damage/eye irritation
 Respiratory or skin sensitization
 Germ cell mutagenicity
 Carcinogenicity
 Reproductive toxicity
 Specific target organ toxicity – single exposure
 Specific target organ toxicity – repeated exposure
 Aspiration hazard
 Biohazardous infectious materials
 Health hazards not otherwise classified

What is a hazard category?

Each hazard class contains at least one category. The hazard categories are assigned a
number (e.g., 1, 2, etc.) Categories may also be called "types". Types are assigned an
alphabetical letter (e.g., A, B, etc.). In a few cases, sub-categories are also specified.
Subcategories are identified with a number and a letter (e.g., 1A and 1B).

Some hazard classes have only one category (e.g., corrosive to metals), others may have
two categories (e.g., carcinogenicity (cancer)) or three categories (e.g., oxidizing liquids).
There are a few hazard classes with five or more categories (e.g., organic peroxides).

The category tells you about how hazardous the product is (that is, the severity of hazard).

 Category 1 is always the greatest level of hazard (that is, it is the most hazardous
within that class). If Category 1 is further divided, Category 1A within the same hazard
class is a greater hazard than category 1B.
 Category 2 within the same hazard class is more hazardous than category 3, and so
on.

There are a few exceptions to this rule. For example, for the Gases under pressure hazard
class, the hazard categories are "Compressed gas", "Liquefied gas", "Refrigerated liquefied
gas" and "Dissolved gas". These classes relate to the physical state of the gas when
packaged and do not describe the degree of hazard.
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In addition, the Reproductive Toxicity hazard class has a separate category called "Effects on
or via lactation". "Effects on or via lactation" was not assigned a specific numbered category.
Reproductive toxicity also has Categories 1 and 2 which relate to effects on fertility and/or the
unborn child. Effects on or via lactation is considered a different, but related hazard within the
Reproductive toxicity class

What are the main concerns of each physical hazard?

Hazard class General Description

Flammable gases These four classes cover products that have
Flammable aerosols the ability to ignite (catch fire) easily and the
Flammable liquids main hazards are fire or explosion
Flammable solids
Oxidizing gases These three classes cover oxidizers, which
Oxidizing liquids may cause or intensify a fire or cause a fire
Oxidizing solids or explosion
Gases under pressure This class includes compressed gases,
liquefied gases, dissolved gases and
refrigerated liquefied gases.
Compressed gases, liquefied gases and
dissolved gases are hazardous because of
the high pressure inside the cylinder or
container. The cylinder or container may
explode if heated. Refrigerated liquefied
gases are very cold and can cause severe
cold (cryogenic) burns or injury. This class
includes compressed gases, liquefied
gases, dissolved gases and refrigerated
liquefied gases.
Compressed gases, liquefied gases and
dissolved gases are hazardous because of
the high pressure inside the cylinder or
container. The cylinder or container may
explode if heated. Refrigerated liquefied
gases are very cold and can cause severe
cold (cryogenic) burns or injury.
Self-reactive substances and mixtures Self-reactive substances and mixtures
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Pyrophoric liquids These products can catch fire very quickly
Pyrophoric solids (spontaneously) if exposed to air.
Pyrophoric gases
Self-heating substances and mixtures These products may catch fire if exposed to
air. These products differ from pyrophoric
liquids or solids in that they will ignite only
after a longer period of time or when in large
amounts
Substances and mixtures which, in contact As the class name suggests, these products
with water, emit flammable gases react with water to release flammable
gases. In some cases, the flammable gases
may ignite very quickly (spontaneously).
Organic peroxides These products may cause a fire or
explosion if heated
Corrosive to metals These products may be corrosive
(chemically damage or destroy) to metals
Combustible dust Combustible dust
Simple asphyxiants These products are gases that may displace
oxygen in air and cause rapid suffocation
Physical hazards not otherwise classified This class is meant to cover any physical
hazards that are not covered in any other
physical hazard class. These hazards must
have the characteristic of occurring by
chemical reaction and result in the serious
injury or death of a person at the time the
reaction occurs. If a product is classified in
this class, the hazard statement on the label
and SDS will describe the nature of the
hazard

What are the main concerns of each health hazard class?

Hazard class General Description

Acute toxicity These products are fatal, toxic or harmful if
inhaled, following skin contact, or if
swallowed.
Acute toxicity refers to effects occurring

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following skin contact or ingestion exposure
to a single dose, or multiple doses given
within 24 hours, or an inhalation exposure of
4 hours.
Acute toxicity could result from exposure to
the product itself, or to a product that, upon
contact with water, releases a gaseous
substance that is able to cause acute
toxicity.
Skin corrosion/irritation This class covers products that cause
severe skin burns (i.e., corrosion) and
products that cause skin irritation.
Serious eye damage/eye irritation This class covers products that cause
serious eye damage (i.e., corrosion) and
products that eye irritation. This class
covers products that cause serious eye
damage (i.e., corrosion) and products that
eye irritation.
Respiratory or skin sensitization A respiratory sensitizer is a product that
may cause allergy or asthma symptoms or
breathing difficulties if inhaled. Skin
sensitizer is a product that may cause an
allergic skin reaction
Germ cell mutagenicity This hazard class includes products that
may cause or are suspected of causing
genetic defects (permanent changes
(mutations) to body cells that can be passed
on to future generations).
Carcinogenicity This hazard class includes products that
may cause or are suspected of causing
cancer.
Reproductive toxicity This hazard class includes products that
may damage or are suspected of damaging
fertility or the unborn child (baby).
Note: There is an additional category which
includes products that may cause harm to
breast-fed children This hazard class
includes products that may damage or are
suspected of damaging fertility or the
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unborn child (baby).
Note: There is an additional category which
includes products that may cause harm to
breast-fed children
Specific target organ toxicity – single This hazard class covers products that
exposure cause or may cause damage to organs
(e.g., liver, kidneys, or blood) following a
single exposure.
This class also includes a category for
products that cause respiratory irritation or
drowsiness or dizziness. This hazard class
covers products that cause or may cause
damage to organs (e.g., liver, kidneys, or
blood) following a single exposure.
This class also includes a category for
products that cause respiratory irritation or
drowsiness or dizziness.
Specific target organ toxicity – repeated This hazard class covers products that
exposure cause or may cause damage to organs
(e.g., liver, kidneys, or blood) following
prolonged or repeated exposure.
Aspiration hazard This hazard class is for products that may
be fatal if they are swallowed and enter the
airways.
Biohazardous infectious materials These materials are microorganisms,
nucleic acids or proteins that cause or is a
probable cause of infection, with or without
toxicity, in humans or animals.
Health hazards not otherwise classified This class covers products that are not
included in any other health hazard class.
These hazards have the characteristic of
occurring following acute or repeated
exposure and have an adverse effect on the
health of a person exposed to it - including
an injury or resulting in the death of that
person. If a product is classified in this
class, the hazard statement will describe the
nature of the hazard.

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How will I know what hazard class or category is assigned to a hazardous product?

Suppliers must evaluate products that are covered by the Hazardous Products Act against
specific criteria as required by the Hazardous Products Regulations. If the product meets any
of the criteria for a hazard class, it is known as a hazardous product. All hazardous products
must be labelled according to the regulations and must have a corresponding Safety Data
Sheet (SDS).

Each hazard class or category must use specific pictograms and other label elements to
indicate the hazard that is present, and what precautionary measures must be taken. Use the
information provided by the label and SDS to be informed and to know how to safely use,
handle, store and dispose of the hazardous product Suppliers must evaluate products that
are covered by the Hazardous Products Act against specific criteria as required by the
Hazardous Products Regulations. If the product meets any of the criteria for a hazard class, it
is known as a hazardous product.

All hazardous products must be labelled according to the regulations and must have a
corresponding Safety Data Sheet (SDS). The hazard class and category will be provided in
Section 2 (Hazard Identification) of the SDS. Each hazard class or category must use specific
pictograms and other label elements to indicate the hazard that is present, and what
precautionary measures must be taken. Use the information provided by the label and SDS to
be informed and to know how to safely use, handle, store and dispose of the hazardous
product

Typical process for identifying the related risks

Risk identification is the first step in the proactive risk management process. It provides the
opportunities, indicators, and information that allows an organization to raise major risks
before they adversely affect operations and hence the business.

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This step is closely related to the Information Technology Infrastructure Library (ITIL) term
"classification"-formally identifying incidents, problems, and known errors by origin,
symptoms, and causes

Risk Statements

Before a risk can be managed, the operations staff must clearly and consistently express it in
the form of a risk statement.

A risk statement is a natural language expression of a causal relationship between a real,

existing state of affairs or attribute, and a potential, unrealized second event, state of affairs,
or attribute. The first part of the risk statement is called the condition and provides the
description of an existing state of affairs or attribute that operations feels may result in a loss
or reduction in gain.

The second part of the risk statement is a second natural language statement called the
consequence and describes the undesirable attribute or state of affairs. The two statements
are linked by a term such as "therefore" or "and as a result" that implies an uncertain (less
than 100 percent) but causal relationship. The two-part formulation process for risk
statements has the advantage of coupling the risk consequences with observable (and
potentially controllable) risk conditions early in the risk identification stage.

Root Cause

When formulating a risk statement, the operations staff should consider the root cause or
originating source, of the risk condition. Understanding root causes can help to identify
additional, related risks. There are four main sources of risk in IT operations:

 People - Even if a group's processes and technology are flawless, human actions
(whether accidental or deliberate) can put the business at risk.
 Process - Flawed or badly documented processes can put the business at risk even if
they are followed perfectly.
 Technology - The IT staff may precisely follow a perfectly designed process yet fail to
meet business goals because of problems with the hardware, software, and so on.
 Environment - Some factors are beyond the IT group's control but can still affect the
infrastructure in a way that harms the business. Natural events such as earthquakes
and floods fall into this category, as do externally generated, man-made problems,
such as civil unrest or changes to government regulations

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These are broad categories, and they can easily overlap. For example, if a newly hired
operator undergoes training on the backup software and a week later makes a mistake that
causes the backup to fail, is the source of risk "people" or "process?" There are many ways to
decide which category a risk fits in, but it is more important to define one way and stick to it,
rather than spend time seeking the "perfect" way.

Downstream Effect

The risk identification process results in the identification of the outcome, or downstream
effect, of the risk. Understanding downstream effects (total loss or opportunity cost) can help
in correctly evaluating the impact that the consequence will have on an organization. There
are four main ways in which operational risk consequences can affect the business:

 Cost - The infrastructure can work properly, but at too high a cost, causing too little
return on investment (ROI).
 Performance - The infrastructure can fail to meet users' expectations, either because
the expectations were unrealistic, or because the infrastructure performs incorrectly.
The reliability of a system can also affect the users' perceptions of the service's
performance.
 Capability - The infrastructure can fail to provide the platform or the components
needed for end-to-end services to function properly or even function at all. For
example, consider an enterprise e-mail system that relies upon mail servers, storage
servers, gateways or message transfer agents (MTAs), network components, and
desktop components. A failure in any one of these components would affect the e-
mail service and hence impact the business' capability to communicate effectively.
 Security - The infrastructure can harm the business by not providing enough
protection for data and resources, or by enforcing so much security that legitimate
users cannot access data and resources.

Understanding the characteristics of downstream effect is critical later in the risk identification
process when ranking risks to ensure that the most important ones get the attention they
deserve since a risk may have a high operational consequence but a low downstream effect,
or vice versa.

The following figure schematically depicts the risk identification process along with an
example

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Risks List

The minimum output from risk identification activities is a clear, unambiguous, consensus
statement of the risks being faced by the IT operations staff, which is recorded as a risks list.
The risk identification step frequently generates a large amount of other useful information,
including the identification of root causes and downstream effects, affected service, owner,
and so forth.

An example of a risks list produced during the identification step is depicted in the following
table. The risks list in tabular form is the main input for the next stage (analysis) of the risk
management process and will become the master risks list used during the subsequent
management process steps.

Table: Example Risks List

Root cause condition consequence Downstream effect

Inadequate staffing The service desk The SLA will not be Reduced customer
cannot handle the met and customers satisfaction.
number of calls it is will have to wait
receiving. longer for support.
Technology change CRM software Existing CRM Reduced sales force
vendor plans to system will be capabilities because
withdraw support for unsupported. IT cannot develop
the current version the requested
of the product. enhancements or
make any system
changes.
New regulatory All e-mails and Current backup and May result in trading
requirement attachments need to archiving software restrictions being
be stored for eleven cannot imposed and
years. accommodate this negatively affect the
need. organization's

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position and image
in the market.

Best Practices

These best practices will be beneficial during the risk identification step.

Review Risk Lists and Lessons Learned

A great deal can be learned from reviewing risk databases from similar tasks, talking to
process owners about risk management activities in their areas, and reading case studies
that identify risks to services or processes. An optimized and mature risk management
discipline involves capturing knowledge and best practices from operational activities through
the application of such basic knowledge management techniques as consistent taxonomy,
risk classification, document management, and advanced search capabilities.

Continual Identification

When a group adopts risk management, the first step is often a brainstorming session to
identify risks. Identification does not end with this meeting. Identification happens as often as
changes are able to affect the IT infrastructure-which is to say, identification happens every
day.

Discussions

Identification discussions are very important. A key to their success is to represent all relevant
viewpoints, including stakeholders as well as different segments of the operations staff. This
is a powerful way to expose assumptions and differing viewpoints. The ultimate goal of the
identification discussion is to improve the organization's risk management capability.

Cause-Effect Matrix

The set of all possible conditions is nearly infinite, and the sheer volume can make it difficult
for the operations staff to focus on one at a time, especially during brainstorming. An effective
solution, and one that has benefits later in the process, is to subdivide all of the possible
conditions into a table with one row for each of the four causes of risk and one column for
each of the four types of downstream effect

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Cost Downstream Effect

Capability Performance Security
Root cause People
Process
Technology
environment

It is now much easier to focus on one cell of the table at a time. For example, IT operations
staff might ask themselves, "How might people in the operations group make mistakes that
would cause us to do the right work at too high a cost?" Or they might ask, "How could our
technology fail to meet customers' performance expectations?" Or more specifically, "How
might hardware problems cause the sales group's order entry system to bog down?"

Risk Statement Form

A helpful way to present the information gathered during this step is through a risk statement
form, which may add information that will be valuable later during the risk tracking step. In
addition to the four parts of the risk statement (root cause, condition, consequence, and
downstream effect), a statement form including the following can be very useful:

 Role or function - The service management function (SMF) most directly involved with
the risk situation.
 Related service - Service most affected by the risk.
 Context - A paragraph containing additional background information that helps to
clarify the risk situation.
 Related risks and dependencies among risks - Identify where the consequences of a
risk may also be the root cause of or have a direct impact on other risks

Methods of classifying and describing significant risks

The purpose of the classification of risks is to show the risks identified in a structured manner,
for example, in relation to their origin, as set out in the following graph

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SECTOR:
A risk that external factors independent from the entrepreneur’s management could directly
or indirectly influence the achievement of his or her objectives and strategies to a significant
extent.

Examples:
 Strong exposure to regulatory changes
 Business fragmentation
 Appearance of new markets

OPERATIONAL:
The operational risks are associated with the entrepreneur’s ability to convert the strategy
chosen into specific plans, by means of an effective allocation of resources. Examples: Need
for making an advertising effort High staffing costs Lack of operational and financial planning
Tendency toward subcontracting. Tendency towards concentration

TECHNOLOGY:
This measures the entrepreneur’s exposure to the technological risks derived from the need
to undertake heavy investment in order to ensure the feasibility of his or her business project
within a specific period of time or the need for training the company’s employees in the use of
the technology.

Examples:
 Significant investments
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 Low level of implementation
 Low level of technological training

COMPETITORS:
The size, the financial and operational capacity of the agents in a sector determine the
degree of rivalry in that sector and set the rules of the game that any new agent has to
consider in order to operate in the marketplace; this can involve risks for the entrepreneur.

Examples:
 Appearance of new competitors
 Intense competition
 Specialized competition

SUPPLIERS:
The role played by the suppliers in the sector could generate risks for an entrepreneur due to
variations in the price of raw materials, to the availability of a variety in the supply and for a
continuous period of time, as well as the degree of concentration of the suppliers, which will
determine the method of payment traditionally accepted in the sector.

Examples:
 Exposure to changes in the price of goods
 Dispersion in the supply
 Non-determination of the quality of the service provided Increase in power of
negotiation

CUSTOMERS:
The customer can be a crucial focal point of risk for an entrepreneur, since they are the
generators of revenues; the risk can stem from changes in their tastes and needs, from
generating pressures forcing prices down or from lengthening the payment period, among
other factors, in such a way that the entrepreneur’s value proposal must always be customer-
oriented.

Examples:
 Increase in power of negotiation
 Lack of loyalty
 Social and demographic changes
 Seasonality and decline in the demand

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FINANCIAL:
The financial risks refer to the uncertainty associated with effective management and the
control of finances carried out by the entrepreneur, as well as to the effects of external factors
such as the availability of credit, exchange rates, movements in interest rates, etc.

Examples:
 Long-term financial incapacity
 Exposure to interest rate changes
 Lack of knowledge of advantageous sources of financing, subsidies, etc.

Risk Description
Being able to describe and understand risks is of fundamental importance to:
 Assigning risk ownership
 Making risk estimates •Developing effective risk responses
 Structuring risk information e.g. breaking down composite risks or identifying parent-
child relationships
 Reporting and explaining the implications of risks

Technique
There are a number of risk description techniques. The approach recommended on this sheet
has been proven in practice and supports both qualitative and quantitative risk analysis
techniques. The given example is simple. However, the approach is sufficiently flexible to
describe more complex situations.
Recommended approach

Risks can be described in three parts: context, sources of uncertainty and impact

Context: summarise the relevant background facts. These may include prior decisions,
assumptions, dependencies and relevant objectives. Example: “It is assumed that the
subcontractor will have received all drawings by 1st March.”

Source(s) of uncertainty:
summarise or list the factor(s) that may cause the risk to occur and/or influence the extent of
its effect. Example: “Drawings could be delayed by late changes to the specification or a lack
of design resources.” Note – lack of certainty is a common property of all risks.

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Impact:
summarise or list the consequence(s) should the effects of the risk become significant.
Example: “Delay to the delivery of the first two batches of product. A delay of more than one
month would also incur a £10K charge

Risk register tool

Many risk register tools have three fields to record risk descriptions, although they often use
different field titles. You may find that the titles they use are equivalent e.g. using the word
consequence or effects instead of impact. If not, it may help if the field titles can be changed.

Implications of risk modelling

Risk models are based on the same combination of three parts as the recommended risk
description approach. One has to structure a risk model on the basis of what can be assumed
as facts for modelling purposes and then add features such as risk estimates or probabilistic
events to simulate the implications of sources of uncertainty. The model itself simulates the
impact of this combination of inputs. The risk description structure can thus be used to
describe risk models as well as individual risks. Similarly, the risk responses figure below is
applicable to both risk models and risk registers

Risk Responses
Using a sound risk description approach aids the identification of risk responses. The figure
below shows how different risk response strategies target different aspects of the way in
which risk is understood

Scope (stakeholders, techniques and area);

Identifying risks is the first and perhaps the most important step in the risk management
process. It involves generating a comprehensive list of threats and opportunities based on

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events that might enhance, prevent, degrade, accelerate or delay the achievement of your
objectives. If you don’t identify a risk, you can’t manage it.

It’s also important to scan the environment from time to time to identify new and emerging
risks, as the department’s exposure to risk may be constantly changing.

How do I identify risks?

Identifying risks is a key step in a proactive risk management process. As part of this process
you must look at the following sources
Sources Description
Risk registers and risk reports Provide a foundation for evaluating existing
risks and their potential risk to an objective
Issues log Record of issues faced and the actions
taken to resolve them. Any issues that were
formally identified as risks should be
analysed.
Audit reports Independent view of adherence to
regulatory guidelines including a review of
compliance preparations, security policies,
access controls and management of risks.
Business Impact Analysis (BIA) Detailed risk analysis that examines the
nature and extent of disruptions and the
likelihood of the resulting consequences
Internal & external reviews Reviews undertaken to evaluate the
suitability, adequacy and effectiveness of
the department’s systems, and to look for
improvement opportunities

There is no easy scientific method that will guarantee you will identify all risks. Some
additional better practice approaches to and sources for identifying risks include:

Approach /Sources Description

SWOT analysis (Strength, Weakness, Commonly used as a planning tool for
Opportunity Threats) analysing a business, its resources and its
environment by looking at internal strengths
and weaknesses; and opportunities and
threats in the external environment
PESTLE (Political, Economic, Sociological, Commonly used as a planning tool to
Technological, Legal, Environmental) identify and categorise threats in the
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external environment (political, economic,
social, technological, legal, environmental)
Brainstorming Creative technique to gather risks
spontaneously by group members. Group
members verbally identify risks in a ‘no
wrong answer’ environment. This technique
provides the opportunity for group members
to build on each other’s ideas
Scenario analysis Uses possible (often extreme) future events
to anticipate how threats and opportunities
might develop
Surveys/Questionnaires Gather data on risks. Surveys rely on the
questions asked.
One-on-one interviews Discussions with stakeholders to
identify/explore risk areas and detailed or
sensitive information about the risk.
Stakeholder analysis Process of identifying individuals or groups
who have a vested interest in the objectives
and ascertaining how to engage with them
to better understand the objective and its
associated uncertainties
Working groups Useful to surface detailed information about
the risks i.e. source, causes, consequences,
stakeholder impacted, existing controls
Corporate knowledge History of risks provide insight into future
threats or opportunities through:
• Experiential knowledge – collection of
information that a person has obtained
through their experience.
• Documented knowledge – collection of
information or data that has been
documented about a particular subject.
• Lessons learned – knowledge that has
been organised into information that may be
relevant to the different areas within the
organisation.
Process analysis An approach that helps improve the
performance of business activities by

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analysing current processes and making
decisions on new improvements.
Other jurisdictions Issues experienced and risks identified by
other jurisdictions should be identified and
evaluated. If it can happen to them, it can
happen here.

What information should we collect during the risk identification step?

Identifying risks involves considering what, when, why, where and how things can happen.
More specifically:
 What are the sources of risk or threat – the things which have the inherent potential to
harm or facilitate harm.
 What could happen – events or incidents that could occur whereby the source of risk
or threat has an impact on the achievement of objectives.
 Where – the physical locations/assets where the event could occur or where the direct
or indirect consequences may be experienced.
 When – specific times or time periods when the event is likely to occur and/or the
consequences realised.
 How – the manner or method in which the risk event or incident could occur.
 Causes – what are the direct and indirect factors that create the source of risk or
threat.
 Business consequences – what would be the impact on objectives if the risk was
realised.
 Business areas/stakeholders affected – what parts of the organisation and what
stakeholders might be involved or impacted?
 Existing controls – a preliminary review of existing controls should be undertaken to
identify
 What controls currently exist to minimise the likelihood and consequences of each
risk?
 What vulnerabilities exist that could undermine the effectiveness of the controls?

Note: a detailed review is completed during the risk analysis process.

Other considerations

Risks relating to multiple objectives

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A risk may be related to more than one of the department’s objectives and/or its potential
impact may vary in relation to different objectives, and the best way of addressing the risk
may be different in relation to different objectives. Risk identification may therefore require
different levels of analysis.

Risk statements
It is important to express the identified risks as specifically as possible in relation to the
objective. Otherwise the ability to assess and manage the risk will be less than effective.
In stating risks, avoid:
• stating impacts which may arise as being the risks themselves • including risks
which do not impact on objectives
• including risks which are simply the converse of the objectives.

To avoid poor expressions of the risk, the risk statement should encompass the uncertain
event (or uncertainty), the cause or event that trigger the risk and its consequence/impact.

Risk ownership
Once risks are identified, they should be assigned a risk owner who has responsibility for
ensuring that the risk is being managed and monitored.

Risk categories
Risks during this initial phase of the process should also be allocated a risk category.

Various process steps for conducting the assessment

Step 1: Identify the hazards

 Walk around your venue and look at what could reasonably be expected to cause
harm.
 Ask your other people what they think. They may have noticed things that are not
immediately obvious to you. them. .
 If you are a member of a trade association, contact them. Many produce very helpful
guidance.
 Check manufacturers’ instructions or data sheets for chemicals and equipment as
they can be very helpful in spelling out the hazards and putting them in their true
perspective.
 Remember to think about long-term hazards to health (eg high levels of noise or
exposure to harmful substances) as well as safety hazards.

Step 2: Decide who might be harmed and how

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For each hazard you need to be clear about who might be harmed; it will help you identify the
best way of managing the risk. That doesn’t mean listing everyone by name, but rather
identifying groups of people (e.g. ‘people working in the storeroom’ or ‘passers-by’).
Remember:
 some workers have particular requirements, e.g. new and young workers, migrant
workers, new or expectant mothers and people with disabilities may be at particular
risk. Extra thought will be needed for some hazards;
 cleaners, visitors, contractors, maintenance workers etc, who may not be in the venue
all the time;
 members of the public, if they could be hurt by your activities;
 ask others if they can think of anyone you may have missed.
 In each case, identify how they might be harmed, i.e. what type of injury or ill health
might occur. For example, ‘shelf stackers may suffer back injury from repeated lifting
of boxes’

Step 3: Evaluate the risks and decide on precautions

Having spotted the hazards, you then have to decide what to do about them. The law
requires you to do everything ‘reasonably practicable’ to protect people from harm. You can
work this out for yourself, but the easiest way is to compare what you are doing with good
practice.

First, look at what you’re already doing, think about what controls you have in place and how
it is organised. Then compare this with the good practice and see if there’s more you should
be doing to bring yourself up to standard. In asking yourself this, consider:
 Can I get rid of the hazard altogether?
 If not, how can I control the risks so that harm is unlikely?

When controlling risks, apply the principles below, if possible in the following order:
 try a less risky option (e.g. switch to using a less hazardous chemical)
 prevent access to the hazard (e.g. by guarding)
 organise work to reduce exposure to the hazard (e.g. put barriers between
pedestrians and traffic)
 issue personal protective equipment (e.g. clothing, footwear, goggles etc.); and
provide welfare facilities (e.g. first aid and washing facilities for removal of
contamination).
Improving health and safety need not cost a lot. For instance, placing a mirror on a
dangerous blind corner to help prevent vehicle accidents is a low-cost precaution considering
the risks. Failure to take simple precautions can cost you a lot more if an accident does
happen.
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Step 4: Record your findings and implement them

Putting the results of your risk assessment into practice will make a difference when looking
after people and your fundraising event.
Writing down the results of your risk assessment, and sharing them, encourages you to do
this.
When writing down your results, keep it simple, for example ‘Tripping over rubbish: bins
provided, staff instructed, weekly housekeeping checks’.
We do not expect a risk assessment to be perfect, but it must be suitable and sufficient. As
illustrated by our example risk assessments, you need to be able to show that

 a proper check was made

 you asked who might be affected
 you dealt with all the obvious significant hazards, taking into account the number of
people who could be involved
 the precautions are reasonable, and the remaining risk is low; and you involved your
staff or their representatives in the process.

Step 5: Review your risk assessment and update if necessary

Things are likely to change between first conducting your risk assessment and your
fundraising event. It makes sense therefore; to review what you are doing on an ongoing
basis.

Look at your risk assessment and think about whether there have been any changes? Are
there improvements you still need to make? Have other people spotted a problem? Have you
learnt anything from accidents or near misses? Make sure your risk assessment stays up to
date.

Implementation steps

In addition to ensuring everyone is competent to carry out their work safely, and that there is
adequate supervision to make sure arrangements are followed, workplace precautions will be
easier to implement if:

 risk control systems and management arrangements have been well designed
 those systems and arrangements recognise existing business practice and human
capabilities and limitations

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The key steps

 Decide on the preventive and protective measures needed and put them in place
 Provide the right tools and equipment to do the job and keep them maintained
 Train and instruct, to ensure everyone is competent to carry out their work
 Supervise to make sure that arrangements are followed

Documentation
Documentation on health and safety should be functional and concise, with the emphasis on
its effectiveness rather than sheer volume of paperwork.

Focusing too much on the formal documentation of a health and safety management system
will distract you from addressing the human elements of its implementation - the focus
becomes the process of the system itself rather than actually controlling risks.

In some cases, the law requires suitable records to be maintained, e.g. a record of risk
assessments under the and the Control of Substances Hazardous to Health Regulations
2002 .

Implementing risk control plans

The control of relatively minor risks affecting all employees (such as ensuring passages and
gangways remain free from obstruction) can be dealt with by a number of simply stated
general rules.

The control of more hazardous activities may need more detailed risk control systems. The
control of high-hazard activities may demand detailed workplace precautions and a risk
control system that needs to be strictly followed, such as a permit-to-work system.

The type, frequency and depth of maintenance activities should reflect the extent and nature
of the hazards and risks revealed by risk assessment. The balance of resources devoted to
the various risk control systems will also reflect your risk profile.

The key steps

• Decide on the preventive and protective measures needed and put them in place
• Provide the right tools and equipment to do the job and keep them maintained
• Train and instruct, to ensure everyone is competent to carry out their work
• Supervise to make sure that arrangements are followed

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The type, frequency and depth of maintenance activities should reflect the extent and nature
of the hazards and risks revealed by risk assessment. The balance of resources devoted to
the various risk control systems will also reflect your risk profile.

Monitoring and reporting process

A risk management program is never finished. New risks will emerge and existing risks will
disappear. You have to stay on top of it.

It is highly recommended that your organisation establish a process to monitor (continual

assessment of what has been implemented) and review (a periodic assessment of the
effectiveness of your actions and the environment you operate in) your risk management
strategy.

This is vital because risk is not static. New risks will emerge and existing risks will disappear.
Risks that you have already acknowledged may become more or less frequent, severe or
relevant to your organisation. Your risk management strategy should be a fluid document that
is regularly updated to take account of changes in your organisation.

Changes to your risk profile will result from changes in your organisation (your focus may shift
from outdoor to indoor activities, for example, or your membership might become older), and
from changes in the outside world that you have no control over (changes in the law, new
technology and changes in society

What is Monitoring?

Monitoring is the continuous assessment of the risk management actions. It takes place at
all levels of management and uses both formal reporting and informal communications.

Monitoring of risk management actions involves collecting information that will help you
answer questions about the effectiveness of your project. It is important that this information
is collected and reported in a planned, organized and routine way.

Monitoring information is collected daily, monthly or quarterly. Monitoring can answer

questions such as:

• How well are we doing? (performance)

• Are we doing the right things? (any deviation)
• What difference are we making? (impact)

Monitoring is an ongoing process which reviews:

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• whether resources are being mobilized and utilized;

• whether activities are being undertaken; and
• whether the intended outputs and outcomes are being achieved.

This process may apply both to particular risk management projects or programs and to
government-wide sector strategies or multi-sector strategies. It includes both day-to-day and
less frequent progress reviews.
There are a number of useful ways to ensure effective monitoring and reviewing of your risk
management strategy

Set timelines

You need to set timelines and deadlines for ensuring risks are managed and treated. Make
sure the most urgent risks are dealt with first.

Write down when things need to be checked and tick them off your risk register when they've
been completed.

You will also need to make a note of when that area should be reviewed again.

The regularity of your review will depend on the activity in question. For example, smoke
detectors may only need to be checked once a year but the surface of a basketball court may
need to be inspected before and after each game.

Keep records

It's important that you investigate and record any accidents or near-misses. This will provide
you with a document trail in case you need to justify your actions, but it will also help you to
avoid similar incidents happening again.

Investigate the incident - what went wrong? Why? What could have prevented it? Document
the details of the incident and the answers to those questions for future reference. And act on
the information.

Records you should keep include:

 Minutes of meetings - noting important decisions and the reasons for them
 File notes - a record of important conversations in person or on the phone
 Training records - documenting any training undertaken by staff or volunteers
 Incident records - notes taken or forms completed in the event of any injury or
incident.

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You should be consistent in the type of information you gather in relation to any incident and
any investigation of the surrounding circumstances. It is a good idea to have a specific form
for this kind of record.

Your records should also include regular reviews of the effectiveness of the risk management
strategy itself. Ask questions such as:

1. How effective is our risk management strategy?

2. Are measures working the way they are supposed to?
3. How accurate is the risk assessment process? Are all risks being identified?
4. Have risk treatment methods made our organisation safer?
5. Are safety procedures being followed?
6. Are safety records accurate, consistent and up to date?

The process of monitoring and reviewing your risk management strategy may result in
documented administrative procedures such as policies, guidelines, codes of practice and
rules.

Produce a resource for staff/members/volunteers

Your risk management guide should include sections that invite feedback from your members
on whether the risk management strategy is working.

Often it will be people "on the ground" who are best able to see what works and what doesn't,
and who will be the first to notice any changes in the nature of risks faced by your
organisation - new risks arising, existing risks disappearing or changing.

Adopt and follow procedures

"Good policies and procedures, always followed" should be the risk management mantra for
any not-for-profit organisation.

You should also have a process in place for dealing with complaints, suggestions and other
feedback from your staff, volunteers, members and the general public.

It's is important that the monitoring and reviewing of your risk management strategy is open
and inclusive so that everyone connected with your organisation feels a part of the continual
process of risk management, in its development, implementation and evaluation. This goes
hand in hand with effective communication, which you should be working on through every
step of the risk management process.

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KT0102 EXPLAIN THE DIFFERENCE AND INTERRELATIONSHIP BETWEEN HAZARDS AND RISKS

Workplace hazards can come from a wide range of sources. General examples include any
substance, material, process, practice, etc. that has the ability to cause harm or adverse
health effect to a person or property. See Table 1.

Table 1
Examples of Hazards and Their Effects
Workplace Hazard Example of Hazard Example Example of Harm Caused
of Hazard
Thing Knife Cut
Substance Benzene Leukemia
Material Mycobacterium tuberculosis Tuberculosis
Mycobacterium tuberculosis
Source of energy Electricity Shock, electrocution
Condition Wet floor Shock, electrocution Shock,
electrocution
Process welding Metal fume fever
Practice Hard rock mining Silicosis
Behaviour Bulling Anxiety, fear, depression

Workplace hazards also include practices or conditions that release uncontrolled energy like:

• an object that could fall from a height (potential or gravitational energy),

• a run-away chemical reaction (chemical energy),
• the release of compressed gas or steam (pressure; high temperature),
• entanglement of hair or clothing in rotating equipment (kinetic energy), or
• contact with electrodes of a battery or capacitor (electrical energy).

B. DEFINITION OF A RISK

Risk is the chance or probability that a person will be harmed or experience an adverse
health effect if exposed to a hazard. It may also apply to situations with property or equipment
loss, or harmful effects on the environment

Risk – the combination of the likelihood of the occurrence of a harm and the severity of that
harm.
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Likelihood – the chance of something happening.
Note: In risk assessment terminology, the word “likelihood” is used to refer to the chance of
something happening, whether defined, measured, or determined objectively or subjectively,
qualitatively or quantitatively, and described using general terms or mathematically (e.g., a
probability or a frequency over a given time period).

For example: the risk of developing cancer from smoking cigarettes could be expressed as:

• "cigarette smokers are 12 times (for example) more likely to die of lung cancer than
non-smokers", or
• "the number per 100,000 smokers who will develop lung cancer" (actual number
depends on factors such as their age and how many years they have been smoking).
These risks are expressed as a probability or likelihood of developing a disease or
getting injured, whereas hazard refers to the agent responsible (i.e. smoking).

Factors that influence the degree or likelihood of risk are:

• the nature of the exposure: how much a person is exposed to a hazardous thing or
condition (e.g., several times a day or once a year),
• how the person is exposed (e.g., breathing in a vapour, skin contact), and
• the severity of the effect. For example, one substance may cause skin cancer, while
another may cause skin irritation. Cancer is a much more serious effect than irritation.

C. THE CAUSE AND EFFECT RELATIONSHIP BETWEEN HAZARDS AND RISKS

• Hazard is the potential of a substance to cause damage

–Toxicity is the hazard of a substance which can cause poisoning
• Risk is a measure of the probability that harm will occur under defined conditions of
exposure to a chemical
–If there can be no exposure to a chemical, no matter how dangerous (hazardous) it may be,
there is no risk of harm

The relationship between hazard and risk

• The relation of risk to hazard may be expressed as; –R = f (H x E) = f (H x D x t) –
Where R is risk, f is function of, H is hazard, E is exposure, D is dose and t is time
• Thus, chemicals which pose only a small hazard but to which there is frequent or
excessive exposure may pose as much risk as chemicals which have a high degree of
hazard but to which only limited exposure occurs

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Reducing Risk
Reducing risk is based on reducing exposure
• For example, some chemicals, such as pesticides, needed for food production may be
fairly toxic, but their use may cause little or no risk to those who use them if exposure
is kept low by using no more than is needed.
• However, many people have suffered illness as a result of careless use of pesticides
• All pesticides must be stored and handled with care and precautions taken to prevent
exposure of people, pets, or animals that we do not wish to harm

Safe Exposure
• Control of exposure should ensure that exposure is kept below a “safe” level
• “Safe” exposure levels such as the Tolerable Daily Intake (TDI - see slide 10) are
determined by establishing the dose-response curve, determining a threshold
dose below which no harm occurs in an exposed population and extrapolating
from this to a “safe” exposure by dividing by an uncertainty factor (UF), normally
100 or more.
• The threshold dose may be approximated by a NOAEL (No Observed Adverse
Effect Level) or a LOAEL (Lowest Observed Adverse Effect Level)

Dose-Response Curve
• A dose response curve records the percentage of a population showing a given
quantal (all or nothing) response such as death when each individual member of the
population is subjected to the same dose of toxicant (reflecting a given exposure)
• •The LD 50 is the median dose associated with the death of 50% of the population

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3

Dose-Effect Curves
• The relationship between dose and effect illustrates what happens in an individual
as dose increases
• The curves are similar to dose-response curves •Note the curve for an essential
nutrient –For such substances there is an optimum range of dose required for
good health
• Note the curve for no threshold toxicants –Carcinogens are believed to have no
safe threshold of exposure

“Safe” Exposure Levels - 1

• Important regulatory “safe” exposure levels are those for food of which the
Tolerable Daily Intake (TDI) is typical
• The Tolerable Daily Intake is an estimate of the daily intake of a chemical
contaminant which can occur over a lifetime without appreciable health risk. The
concept of a “TDI” generally applies to unavoidable and undesirable contaminants
of food or water which have no useful purpose. The term “tolerable” is intended to
signify permissibility rather than acceptability.

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“Safe” Exposure Levels - 2

• In South Africa, the “Reference Dose (RfD)” has a very similar definition to that of
the Tolerable Daily Intake
• •Exposures above the TDI or RfD are not necessarily dangerous because a large
margin of safety is allowed in their calculation but every effort should be made to
keep below these values

Chemicals That Can Cause Cancer

• In the absence of data in humans to the contrary, chemicals which can induce
cancer in experimental animals are regulated as if they could induce cancer in
humans
• There is a generally held assumption that there is no threshold for safe exposure
to substances which may cause cancer by mutation of the genetic information in
DNA. This may not be the case but it ensures that regulatory levels are set very
far below those which might carry a significant risk.

Regulation of Agents that Can Cause Cancer

• Regulatory permitted levels of agents that can cause cancer (for which no safety
threshold of exposure can be established) are based on calculations of lifetime
risk –It is generally considered that exposure levels corresponding to a calculated
increased lifetime risk of 1 in a million are acceptable since an increased
incidence of cancer at this level would be undetectable with current

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epidemiological methods; calculations are based on the worst possible case and
the true increase is likely to be much less

Environmental Exposure Guidelines

• Guideline values developed by international agencies for chemical contaminants
in environmental media are intended to provide guidance for the protection of the
“general” population
• Such guidelines are not legally enforceable but guide regulatory authorities in
establishing legal standards
• Guidelines are set well below exposure levels thought likely to cause harm BUT
• These guidelines may not always protect especially sensitive subsets of the
population although they are designed to do so.
• For example, the guidelines may not apply to babies, small children and those
with genetic enzyme deficiencies

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KT0103 DESCRIBE WHAT IS MEANT BY CONTROLS

A hazard control program consists of all steps necessary to protect workers from exposure to
a substance or system, the training and the procedures required to monitor worker exposure
and their health to hazards such as chemicals, materials or substance, or other types of
hazards such as noise and vibration. A written workplace hazard control program should
outline which methods are being used to control the exposure and how these controls will be
monitored for effectiveness.

To effectively control and prevent hazards, employers should:

• Involve workers, who often have the best understanding of the conditions that
create hazards and insights into how they can be controlled.
• Identify and evaluate options for controlling hazards, using a "hierarchy of
controls."
• Use a hazard control plan to guide the selection and implementation of controls
and implement controls according to the plan.
• Develop plans with measures to protect workers during emergencies and
nonroutine activities.
• Evaluate the effectiveness of existing controls to determine whether they continue
to provide protection, or whether different controls may be more effective. Review
new technologies for their potential to be more protective, more reliable, or less
costly

How do I know what kind of control is needed?

Selecting an appropriate control is not always easy. It often involves doing a risk assessment
to evaluate and prioritize the hazards and risks. In addition, both "normal" and any potential
or unusual situations must be studied. Each program should be specially designed to suit the
needs of the individual workplace. Hence, no two programs will be exactly alike.

Choosing a control method may involve:

• Evaluating and selecting temporary and permanent controls.

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

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

Some hazards and their controls will be specifically outlined in legislation. In all cases, the
employer has a duty of due diligence and is responsible for 'taking all reasonable
precautions, under the particular circumstances, to prevent injuries or accidents in the
workplace'.

In situations where there is not a clear way to control a hazard, or if legislation does not
impose a limit or guideline, you should seek guidance from occupational health professionals
such as an occupational hygienist or safety professional about what is the "best practice" or
"standard practice" when working in that situation.

What are the main ways to control a hazard?

The main ways to control a hazard include:

• Elimination (including substitution): remove the hazard from the workplace, or

substitute (replace) hazardous materials or machines with less hazardous ones.
• Engineering Controls: includes designs or modifications to plants, equipment,
ventilation systems, and processes that reduce the source of exposure.
• Administrative Controls: controls that alter the way the work is done, including
timing of work, policies and other rules, and work practices such as standards and
operating procedures (including training, housekeeping, and equipment
maintenance, and personal hygiene practices).
• Personal Protective Equipment: equipment worn by individuals to reduce
exposure such as contact with chemicals or exposure to noise.

These methods are also known as the "hierarchy of control". Some sources may use a
variation of this hierarchy. For example, the CSA Standard 1002-12: Occupational health and
safety – Hazard identification and elimination and risk assessment and control includes a
level called "systems that increase awareness of potential hazards". This systems level is
placed in between engineering controls and administrative controls.

However, regardless of the number of levels included, the hierarchy should be considered in
the order presented (it is always best to try to eliminate the hazard first, etc).

Where are controls used?

Controls are usually placed:

1. At the source (where the hazard "comes from").

2. Along the path (where the hazard "travels").
3. At the worker
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Control at the source and control along the path are sometimes also known as engineering
controls (see below for more details)

KT0104 EXPLAIN THE LEGAL REQUIREMENTS REGARDING HAZARD IDENTIFICATION AND RISK ASSESSMENT

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Hazard management is the cornerstone of health and safety management systems – the key
tool for meeting employer obligations to “take all practicable steps to prevent harm or injury”.
Using a systematic approach, we can identify and manage hazards so people are not harmed
in the course of their work.

Legal requirements regarding hazard identification and risk assessment

What are the legal requirements for businesses with regard to Hazard Management?

The Health & Safety in Employment Act 1992 requires employers to identify and assess all
workplace hazards, apply appropriate controls, and communicate all hazards to employees,
contractors and members of the public. Hazards and controls must be periodically reviewed
to ensure their ongoing effectiveness, and employees must be informed and trained in
procedures to minimise harm and how to use emergency equipment. In addition, employers
must give employees an opportunity to be involved in development of hazard management
and emergency response procedures

a. Different types of hazards

Hazards can be broadly grouped based on their nature. This is shown below
Hazard Example
Physical hazards Wet floors
Loose electrical cables Objects protruding in
walkways or doorways
Ergonomic hazards Lifting heavy objects Stretching the body
Twisting the body
Poor desk seating
Psychological hazards Heights
Loud sounds
Tunnels
Bright lights
Environmental hazards Room temperature
Ventilation Contaminated air
Photocopiers
Some office plants Acids
Hazardous substances Alkalis Solvents
Biological hazards Hepatitis B

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New strain influenza
Radiation hazards Electric welding flashes Sunburn

b. The impact of the various hazards

What Are the Effects of a Slip and Fall Accident? What Are the Effects of a Slip and Fall
Accident?

A slip and fall accident may seem like a very simple thing. After all, most of us do not suffer
from any lasting effects because of a minor thing like this. However, there is some danger to
this type of accident. If you landed the wrong way, you could easily end up suffering from
more than just a sore bottom.

Usual Causes of Slip and Fall Accidents

The most common cause of slip and fall accidents is wet, slippery floor. This could happen
anywhere, at a restaurant, mall, hospital, sidewalks, stairs, etc. When the floor is wet and
depending upon the type of shoes you’re wearing, your foot could easily slide out from under
you, causing you to fall and land on your bottom.

Effects of Slip and Fall

While many people only suffer from a bruised ego, there are also those who experience
severe pain. They’re not able to sit for prolonged periods of time or walk straight for days
because of the pain and discomfort, and they also have to miss days at work, causing them
to lose income.

These are not the only effects of slip and fall accidents though. Say for example that you
landed on your seat and you’re suffering from weak bones, then it could easily cause a
fracture of your tail bone. This can result to extreme pain in the coccygeal region of the spine,
causing difficulty in sitting and walking. This could also result to lower back pain.

If, for example, you landed on your buttocks and outstretched hand, then it could also cause
a stress fracture in the upper extremities. Again, this will result to pain in the affected areas. If
the fracture is severe, it could impingement of the nerves as well as blood vessels,
complicating the injuries further.
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Injuries to the head and neck are also not uncommon. When you fall, your head could easily
hit the hard floor if you landed the wrong way, or your neck could hit a hard surface. Injuries
such as these can lead to concussion, brain injury as well as spinal cord injury. These are not
minor injuries since it’s affected the brain and spinal cord.

Simple slip and fall accidents can also result to injuries of the back musculature such as the
back muscles, ligaments, and tendons. It could cause muscle strain and ligament sprain, and
it could also cause fracture of the vertebras. If these happen, there is the risk for spinal cord
injury, slipped disk, nerve impingement, etc.

Poor desk seating

The very reason you may have shelled out over R10,000 a year for a college education may
have been to avoid manual labor or working outdoors, two things that are notoriously hard on
your body. What you may have obtained (along with some college debt) was a well-paying
desk job. While six of the seven highest paying jobs are desk jobs, it turns out that physically,
sitting all day may be just as bad, if not worse than being on your feet. Sitting is the new
smoking and according to Dr. James Levine, director of the Mayo Clinic-Arizona State
University Obesity Solutions Initiative, “Sitting is more dangerous than smoking, kills more
people than HIV, and is more treacherous than parachuting. We are sitting ourselves to
death.”

1. Organ damage

Forget about backaches, what you should really be worried about is the impact of sitting on
your internal organs. When you sit for a long period of time your muscles burn less fat and
your blood begins to flow slowly, allowing fatty acids to easily clog your heart. Sitting has
been linked to high blood pressure, elevated cholesterol, and cardiovascular disease. In
addition, your pancreas may over produce insulin, which can lead to diabetes, and studies
have linked sitting to a greater risk for developing colon, breast, and endometrial cancers.

Muscle degeneration

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You know those rock-hard abs you’ve been working towards? Keep in mind that sitting does
nothing to help that six-pack peek through. When you’re standing your abdominal muscles
are tensed and tightened, but when you sit, those muscles go unused, ultimately leading to a
weak mid-section. Sitting can also impact the mobility of your hips and the strength of your
glutes. Sitting in a chair all day will make your hips tight with a more limited degree of motion
because they are rarely extended. Your glutes can weaken with lack of use affecting your
stability and power when walking and jumping.

3. Weight gain

This one is fairly obvious. No one who sits for nine or more hours a day is disillusioned
enough to believe that sitting down is great for the waistline. Obese people typically sit for two
and a half more hours per day than thin people. Between 1980 and 2000 while exercise rates
remained the same, obesity doubled as time spent sitting increased by 8%

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When you sit at your desk you may be solving all sorts of problems, organizing tasks, and
using plenty of critical thinking skills, but even in the most stimulating of jobs your brain can
become foggy from sitting for long periods of time. Moving muscles pump fresh blood and
oxygen to the brain, which triggers the release of brain and mood enhancing chemicals. Your
brain function will actually slow when you’re sedentary for long periods of time.

5. Back and neck pain

One of the most common and very physical symptoms of living much of your life in a seated
position is the presence of back and neck pain. Cradling a phone to your ear and jutting your
neck and head forward while working at a computer leads to strains in your cervical vertebrae
which causes neck strain, sore shoulders, and back pain. The very act of sitting puts added
pressure on your spine and compresses the disks that make up your back.

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IAC0101
Given various scenarios of work situations with different hazards and potential risks. Be
able to: Without reference to the learning material: a. Identify the various hazards; b.
Classify the hazards in terms of the potential for causing injury or damage; c. Describe the
associated risks and d. Indicate the relevant controls that can be put in place.

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KM-03-KT02: TECHNIQUES OF ACCIDENT AND INCIDENT

INVESTIGATION

On completion of this section you will be able to understand Techniques of accident and
incident investigation

1. KT0201 Explain the difference between accidents and incidents.

2. KT0202 Use examples to explain the interrelationship of accidents and incidents
giving the typical statistical model of how incidents eventually lead to accidents.
3. KT0203 Describe the legal requirements regarding the need to investigate and
report on all accidents and incidents.
4. KT0204 Describe the typical process for investigating accidents and incidents
5. KT0205 Describe the criteria for effective accident and incident investigation.

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KT0201 EXPLAIN THE DIFFERENCE BETWEEN ACCIDENTS AND INCIDENTS.

The word accident has a negative implication and could result in loss of life, or damage to
goods. It means mishap, an unforeseen event or an unplanned circumstance that occur, with
a most common negative outcome. The word has also been started to use in positive
manner, where something that happens unexpectedly can also lead to go things.

Accident and incident are two different words that are often confused and used
interchangeably, however, these words are different from each other and have different
implications.

Key Difference: The word accident has a negative implication and could result in loss of life,
or damage to goods. An incident on the other hand can refer to any even that happens; it
could be positive or negative.

The word ‘accident’ is defined by Merriam Webster as:

• an unforeseen and unplanned event or circumstance

• lack of intention or necessity: chance
• an unfortunate event resulting especially from carelessness or ignorance
• an unexpected and medically important bodily event especially when injurious
• an unexpected happening causing loss or injury which is not due to any fault or
misconduct on the part of the person injured but for which legal relief may be sought

Examples:

• There was huge accident, which cost many lives on the bridge.
• Mike was injured in an accident at work.
• I accidently lost my keys.
• Running into Molly was a happy accident. (Positive implication)

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An incident on the other hand can refer to any even that happens; it could be positive or
negative. In many times, incident is often interchanged with accident, if it has a most positive
implication. It is used to describe any incidents in general. Incidents usually have adjectives
before the word, in order to explain the type of incident it is.

Examples:

• There was huge accident, which cost many lives on the bridge.
• Mike was injured in an accident at work.
• I accidently lost my keys.
• Running into Molly was a happy accident. (Positive implication)

An incident on the other hand can refer to any even that happens; it could be positive or
negative. In many times, incident is often interchanged with accident, if it has a most positive
implication. It is used to describe any incidents in general. Incidents usually have adjectives
before the word, in order to explain the type of incident it is.

The word ‘incident’ is defined as:

• something dependent on or subordinate to something else of greater or principal

importance
• an occurrence of an action or situation that is a separate unit of experience: happening
• an accompanying minor occurrence or condition
• an action likely to lead to grave consequences especially in diplomatic matters

Examples:

• Two people were shot yesterday in two separate incidents.

• Many such incidents go unreported.
• Mary was shaken by the incident.
• The bombing caused an international incident.

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In this manner, every accident can be an incident as incidents can have both a positive as
well as a negative implication. However not all incidents can be termed as an accident.

KT0202 USE EXAMPLES TO EXPLAIN THE INTERRELATIONSHIP OF ACCIDENTS AND INCIDENTS GIVING THE TYPICAL

STATISTICAL MODEL OF HOW INCIDENTS EVENTUALLY LEAD TO ACCIDENTS

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A major concern of safety at work is preventing accidents at work. An accident at work can be
defined in different ways depending of the context in which it is used. Often also the word
incident is used, sometimes as a broader term encompassing ‘an accident' as a specific type
of incident, but sometimes the words accidents and incidents refer to two different types of
events.

Prevention of accidents at work focuses on the causes of accidents. Accident causation

models provide a theoretical basis for explaining how accidents at work occur. Statistical data
give some details about the accidents that occur in the workplace: the occurrence, the victims
and the causes

The definition of an accident at work in the context of Workers' Compensation Systems

In the context of Workers' Compensation Systems accidents at work are regarded from the
perspective of compensating the victim. Usually the term occupational accident is used and
the definition contains the3 elements that allow determining whether or not the victim of an
injury at work can claim compensation from the Workers' Compensation Systems.

The standard definition of occupational accident contains the following elements:

1. fortuitous, sudden, or unexpected external event;

2. during working hours/on the way to and back from the workplace;
3. arising out of work performed in the course and the scope of employment;
4. bodily harm;
5. causal link between the event and the harm.

6. The fact that occupational accidents are fortuitous, sudden, unexpected external
events allows making a distinction between accidents and diseases. Diseases are
usually caused by a process extended over a longer period of time and not by a
sudden event. Although this distinction seems straightforward it is not always the
case. For instance, back problems can be the result from continuous exposure or
be linked to a sudden event.
7. Occupational accidents occur during working hours and/or on the way to and from
the workplace. In a broad sense occupational accident also include commuting
accidents. However, some Workers' Compensation Systems exclude this type of
accidents.
8. The definition of an occupational accident also includes the fact that the accident
has to arise out of work performed in the course and the scope of employment.
This criterion often leads to discussions about accidents during activities in the
workplace where the link with the scope of employment is somewhat questionable
e.g. during excursions, doing private work or business at the workplace, etc. The

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criterion injury usually comprises not only bodily harm, but also psychic problems
caused by an accident.
9. Finally, the concept of an occupational accident is based on the fact that there has
to be a causal link between the event and the injury. Only direct consequences of
the occupational accident can be compensated. Thus, when a pre-existing
disease is aggravated or accelerated by an accident, compensation is payable
only for what is reasonably attributable to the accident.

The definition of an accident in the context of statistical data

Although statistical data on accidents at work are often based on data provided by Workers'
Compensation Systems, the definition has to be considered in a different way. The purpose is
not to determine whether or not the victim has to be compensated but whether or not the
event has to be recorded as an accident at work. The definition used in the European
Community is developed by Eurostat in the framework of ESAW, European Statistics on
Accidents at Work.

An accident at work is defined as a discrete occurrence in the course of work which leads to
physical or mental harm. This includes cases of acute poisoning and willful acts of other
persons, as well as accidents occurring during work but off the company’s premises, even
those caused by third parties. It excludes deliberate self-inflicted injuries, accidents on the
way to and from work (commuting accidents), accidents having only a medical origin and
occupational diseases.

The phrase in the course of work means whilst engaged in an occupational activity or during
the time spent at work. This includes cases of road traffic accidents in the course of work.

A fatal accident is defined in ESAW as an accident leading to the death of a victim within one
year of the accident. A commuting accident is defined as an accident that occurs during the
normal journey between the home, the place of work and the usual place where meals are
taken. Only accidents at work with an absence of more than three calendar days are included
in the ESAW data. This means that an accident at work is included in the ESAW database if
the person is unfit for work for more than three days, including Saturdays, Sundays or other
days where the person is not usually working.

Causes of accidents at work: accident models

Prevention of accidents at work focuses on the causes of accidents: what are the causes
lying underneath the event of an accident (or incident). Insight in the causes is essential to
prevent future (similar) accidents. Therefore, revealing all the causes leading up to an event
of an accident is the basis of investigation and analysis. Accident causation models provide a
theoretical basis for explaining how accidents at work occur.

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A well-known accident causation model is certainly the domino theory of Heinrich. Heinrich
captured the accident sequence in five factors portrayed as domino blocks]. It is a linear
accident sequence of preceding factors leading up to the accident and resulting in an injury.
The removal of a domino block – preventive action – results in the fact that the accident will
not happen. The domino theory has been updated since by several authors and still forms the
basis of many accident investigation techniques. These models are referred to as sequential
accident models.

Other models have been developed since, for instance the Swiss cheese model of James
Reason (figure 2)]. The Swiss cheese model shows several layers or barriers between
management decision-making and accidents and incidents. Each of the barriers has holes
and accidents or incidents occur when the holes in these layers align. Reason makes a
distinction between active and latent failures. Latent failures find their origin in fallible
decisions by high-level decision makers (and designers). Active failures are a mere symptom
of latent failures.

There are short overview of models and their impact on accident investigation methods The
choice of model and method has consequences for the factors and causes that are
associated with accidents and incidents at work

Statistical data on accidents at work

Data on accidents at work are available through national reporting systems (e.g. accident
insurers) or through surveys. The European Working Conditions Survey (EWCS) asks
respondents how many days off work due to health problems could be attributed to an
accident. Therefore, only accidents with absence from work are reported in this survey. The
Labour Force Survey (LFS) ad hoc module 1999 and 2007 provides data on self-reported
occupational accidents in the year preceding to the administration of the survey, irrespective
of whether these accidents resulted in absence from work.

ESAW, the European Statistics on Accidents at Work, only include data on accidents at work
with more than three days of absence from work and fatal accidents. The ESAW data are
provided by national reporting systems. A report from Eurostat brings the data on accidents at
work from these three sources together[7]. The data below are based on this report.

How many accidents at work occur?

According to the LFS ad hoc module 2007 3.2% of the persons in the EU-27 of 15-64 years
that worked or had worked during the past year had one or more accidents at work in the past
12 months. This percentage corresponds to 6.9 million persons in the EU-27. Road traffic
accidents during work or in the course of work (excluding commuting accidents) were
reported in the LFS ad hoc module 2007 by 0.3% of the persons, corresponding to 0.67
million persons in the EU-27. Road traffic accidents constituted 9.6% of all accidents at work.
According to ESAW, 5580 workers in the EU-27 died in a fatal accident at work in 2007 and
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approximately 2.9 % of the workers had an accident at work with more than 3 days of
absence.

Trends seem to indicate that accidents at work are decreasing. This trend can be linked to
changes in the world of work. More women are working and accident rates are lower among
women than men. Also the fact that Europe is facing an ageing workforce explains (partially)
this decreasing trend since fewer accidents occur among older workers compared to young
ones.

Who are the victims?

Men are more often victim of an accident at work than women. The LFS data from 2007 show
4.0% of the male workers had an accident in comparison with 2.1% of the female workers.

Young workers have more accidents than older ones. Figure 3 shows the occurrence of
accidents at work in different age groups[

Occurrence of one or more accidental injuries at work or in the course of work in the past 12
months in the EU-27 in different age groups (%)

Sectors and activities

Figure 4 shows that accidents at work most occur in the sectors ‘agriculture, hunting and
forestry’, ‘manufacturing’, and ‘construction’, particularly among men. Women in the sectors
‘health and social work’ and ‘hotels and restaurants’ had more often one or more accidents
than women working in other sectors.

Comparable data can be found in the ESAW 2007 data (EU-15 without Greece). Accidents at
work with more than three days of absence occurred most often in the sectors ‘mining and
quarrying’ (10.0%), ‘construction’ (51%), ‘fishing’ (4.1%) and ‘agriculture’ (3.9%). The lowest
occurrence was found in ‘financial intermediation’ (<1%), ‘real estate, renting and business
activities’ and ‘electricity, gas and water supply’ (both 1.7%).

Figure 4: Workers in the EU-27 reporting one or more accidental injuries at work or in the
course of work in the past 12 months in their main job in different sectors (%

What are the causes?

Information on the type of accident at work and the chain of events that resulted in an
accident can be found in the ESAW data. Figure 5 shows the events leading to fatal and non-
fatal accidents. About 70% of nonfatal accidents at work result from loss of control, fall or

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physical stress. More than 40% of the fatal accidents result from loss of control. Many of
these fatal injuries arise by contact with or collision with an object. In non-fatal accidents,
injury was most often caused by horizontal/vertical impact with or against a stationary object
(victim in motion), physical or mental stress, contact with sharp, pointed, rough or coarse
material agent and struck by or collision with an object in motion.

What are the consequences?

The most obvious consequence of accidents is the fact that they result in absence from work.
Statistics show that in the EU-27 of all persons aged 15-64 years that work or worked during
the past 12 months 2.3% was on sick leave for at least one day due to an accident at work.
This corresponds to approximately 5.0 million persons in the EU-27. Prolonged sick leave (for
one month or more) was reported by 22.0%, which corresponds to 0.7% of the persons that
work or worked during the past 12 months, and to 1.5 million persons in the EU-27. Older
workers with accidents more often experience prolonged absence from work than younger
workers.

The most common types of injury that result from accidents are wounds and superficial
injuries, and dislocations, sprains and strains (figure 6)[7]. Injuries are most often located on
the upper extremities, followed by the lower extremities.

Figure 5: Number of accidents by deviation

Figure 6: Occurrence of accidents at work with more than 3 days of absence by type of injury
(%)

Statistical data on accidents at work

Data on accidents at work are available through national reporting systems (e.g. accident
insurers) or through surveys. The European Working Conditions Survey (EWCS) asks
respondents how many days off work due to health problems could be attributed to an
accident. Therefore, only accidents with absence from work are reported in this survey. The
Labour Force Survey (LFS) ad hoc module 1999 and 2007 provides data on self-reported
occupational accidents in the year preceding to the administration of the survey, irrespective
of whether these accidents resulted in absence from work.

ESAW, the European Statistics on Accidents at Work, only include data on accidents at work
with more than three days of absence from work and fatal accidents. The ESAW data are

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provided by national reporting systems. A report from Eurostat brings the data on accidents at
work from these three sources together[7]. The data below are based on this report.

How many accidents at work occur?

According to the LFS ad hoc module 2007 3.2% of the persons in the EU-27 of 15-64 years
that worked or had worked during the past year had one or more accidents at work in the past
12 months. This percentage corresponds to 6.9 million persons in the EU-27. Road traffic
accidents during work or in the course of work (excluding commuting accidents) were
reported in the LFS ad hoc module 2007 by 0.3% of the persons, corresponding to 0.67
million persons in the EU-27. Road traffic accidents constituted 9.6% of all accidents at work.
According to ESAW, 5580 workers in the EU-27 died in a fatal accident at work in 2007 and
approximately 2.9 % of the workers had an accident at work with more than 3 days of
absence.

Trends seem to indicate that accidents at work are decreasing. This trend can be linked to
changes in the world of work. More women are working and accident rates are lower among
women than men. Also the fact that Europe is facing an ageing workforce explains (partially)
this decreasing trend since fewer accidents occur among older workers compared to young
ones.

Who are the victims?

Men are more often victim of an accident at work than women. The LFS data from 2007 show
4.0% of the male workers had an accident in comparison with 2.1% of the female workers.

Young workers have more accidents than older ones. Figure 3 shows the occurrence of
accidents at work in different age groups[

Occurrence of one or more accidental injuries at work or in the course of work in the past 12
months in the EU-27 in different age groups (%)

Sectors and activities

Figure 4 shows that accidents at work most occur in the sectors ‘agriculture, hunting and
forestry’, ‘manufacturing’, and ‘construction’, particularly among men. Women in the sectors
‘health and social work’ and ‘hotels and restaurants’ had more often one or more accidents
than women working in other sectors.

Comparable data can be found in the ESAW 2007 data (EU-15 without Greece). Accidents at
work with more than three days of absence occurred most often in the sectors ‘mining and
quarrying’ (10.0%), ‘construction’ (51%), ‘fishing’ (4.1%) and ‘agriculture’ (3.9%). The lowest

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occurrence was found in ‘financial intermediation’ (<1%), ‘real estate, renting and business
activities’ and ‘electricity, gas and water supply’ (both 1.7%).

Figure 4: Workers in the EU-27 reporting one or more accidental injuries at work or in the
course of work in the past 12 months in their main job in different sectors (%

What are the causes?

Information on the type of accident at work and the chain of events that resulted in an
accident can be found in the ESAW data. Figure 5 shows the events leading to fatal and non-
fatal accidents. About 70% of nonfatal accidents at work result from loss of control, fall or
physical stress. More than 40% of the fatal accidents result from loss of control. Many of
these fatal injuries arise by contact with or collision with an object. In non-fatal accidents,
injury was most often caused by horizontal/vertical impact with or against a stationary object
(victim in motion), physical or mental stress, contact with sharp, pointed, rough or coarse
material agent and struck by or collision with an object in motion.

What are the consequences?

The most obvious consequence of accidents is the fact that they result in absence from work.
Statistics show that in the EU-27 of all persons aged 15-64 years that work or worked during
the past 12 months 2.3% was on sick leave for at least one day due to an accident at work.
This corresponds to approximately 5.0 million persons in the EU-27. Prolonged sick leave (for
one month or more) was reported by 22.0%, which corresponds to 0.7% of the persons that
work or worked during the past 12 months, and to 1.5 million persons in the EU-27. Older
workers with accidents more often experience prolonged absence from work than younger
workers.

The most common types of injury that result from accidents are wounds and superficial
injuries, and dislocations, sprains and strains (figure 6)[7]. Injuries are most often located on
the upper extremities, followed by the lower extremities.

Figure 5: Number of accidents by deviation

Figure 6: Occurrence of accidents at work with more than 3 days of absence by type of injury
(%)

Statistical data on accidents at work

Data on accidents at work are available through national reporting systems (e.g. accident
insurers) or through surveys. The European Working Conditions Survey (EWCS) asks
respondents how many days off work due to health problems could be attributed to an
accident. Therefore, only accidents with absence from work are reported in this survey. The
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Labour Force Survey (LFS) ad hoc module 1999 and 2007 provides data on self-reported
occupational accidents in the year preceding to the administration of the survey, irrespective
of whether these accidents resulted in absence from work.

ESAW, the European Statistics on Accidents at Work, only include data on accidents at work
with more than three days of absence from work and fatal accidents. The ESAW data are
provided by national reporting systems. A report from Eurostat brings the data on accidents at
work from these three sources together[7]. The data below are based on this report.

How many accidents at work occur?

According to the LFS ad hoc module 2007 3.2% of the persons in the EU-27 of 15-64 years
that worked or had worked during the past year had one or more accidents at work in the past
12 months. This percentage corresponds to 6.9 million persons in the EU-27. Road traffic
accidents during work or in the course of work (excluding commuting accidents) were
reported in the LFS ad hoc module 2007 by 0.3% of the persons, corresponding to 0.67
million persons in the EU-27. Road traffic accidents constituted 9.6% of all accidents at work.
According to ESAW, 5580 workers in the EU-27 died in a fatal accident at work in 2007 and
approximately 2.9 % of the workers had an accident at work with more than 3 days of
absence.

Trends seem to indicate that accidents at work are decreasing. This trend can be linked to
changes in the world of work. More women are working and accident rates are lower among
women than men. Also the fact that Europe is facing an ageing workforce explains (partially)
this decreasing trend since fewer accidents occur among older workers compared to young
ones.

Who are the victims?

Men are more often victim of an accident at work than women. The LFS data from 2007 show
4.0% of the male workers had an accident in comparison with 2.1% of the female workers.

Young workers have more accidents than older ones. Figure 3 shows the occurrence of
accidents at work in different age groups[

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Occurrence of one or more accidental injuries at work or in the course of work in the past 12
months in the EU-27 in different age groups (%)

Sectors and activities

Figure 4 shows that accidents at work most occur in the sectors ‘agriculture, hunting and
forestry’, ‘manufacturing’, and ‘construction’, particularly among men. Women in the sectors
‘health and social work’ and ‘hotels and restaurants’ had more often one or more accidents
than women working in other sectors.

Comparable data can be found in the ESAW 2007 data (EU-15 without Greece). Accidents at
work with more than three days of absence occurred most often in the sectors ‘mining and
quarrying’ (10.0%), ‘construction’ (51%), ‘fishing’ (4.1%) and ‘agriculture’ (3.9%). The lowest
occurrence was found in ‘financial intermediation’ (<1%), ‘real estate, renting and business
activities’ and ‘electricity, gas and water supply’ (both 1.7%).

Figure 4: Workers in the EU-27 reporting one or more accidental injuries at work or in the
course of work in the past 12 months in their main job in different sectors (%

What are the causes?

Information on the type of accident at work and the chain of events that resulted in an
accident can be found in the ESAW data. Figure 5 shows the events leading to fatal and non-
fatal accidents. About 70% of nonfatal accidents at work result from loss of control, fall or
physical stress. More than 40% of the fatal accidents result from loss of control. Many of
these fatal injuries arise by contact with or collision with an object. In non-fatal accidents,
injury was most often caused by horizontal/vertical impact with or against a stationary object
(victim in motion), physical or mental stress, contact with sharp, pointed, rough or coarse
material agent and struck by or collision with an object in motion.

What are the consequences?

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The most obvious consequence of accidents is the fact that they result in absence from
work. Statistics show that in the EU-27 of all persons aged 15-64 years that work or worked
during the past 12 months 2.3% was on sick leave for at least one day due to an accident at
work. This corresponds to approximately 5.0 million persons in the EU-27. Prolonged sick
leave (for one month or more) was reported by 22.0%, which corresponds to 0.7% of the
persons that work or worked during the past 12 months, and to 1.5 million persons in the EU-
27. Older workers with accidents more often experience prolonged absence from work than
younger workers.

The most common types of injury that result from accidents are wounds and superficial
injuries, and dislocations, sprains and strains (figure 6)[7]. Injuries are most often located on
the upper extremities, followed by the lower extremities.

Figure 5: Number of accidents by deviation

Figure 6: Occurrence of accidents at work with more than 3 days of absence by type of injury
(%)

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KT0203 DESCRIBE THE LEGAL REQUIREMENTS REGARDING THE NEED TO INVESTIGATE AND REPORT ON ALL ACCIDENTS AND

INCIDENTS

All near misses, incidents and accidents should be reported no matter how slight they may
appear. Accidents happen for a reason, it could be machine failure, unsafe work practices or
poor housekeeping, but reporting these occurrences can help identify the cause and help
prevent this accident reoccurring.

Accident reporting varies from organisation to organisation as procedures are different.

Usually the most effective way of reporting incidents/accidents is through a specific reporting
form. The form should contain a detailed description of the incident, the persons and tasks
involved, injuries obtained, any medical treatment given and witness statements if they are
available. If possible pictures of the scene should also be included.

All reports should be submitted to management as soon as possible so the incident can be
investigated. Reasons for workplace accident investigation are
• most importantly to find out the cause of accidents and to prevent similar accidents in
the future
• to fulfill the legal requirement
• to determine the cost of an accident
• to determine compliance with applicable safety regulations
• to process workers' compensation claims Incidents that involve no injury or property
damage should still be investigated to determine the hazards that should be
corrected.

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The same principles apply to a quick inquiry of a minor incident and to the more formal
investigation of a serious event. Who should do the accident investigating? Ideally, an
investigation would be conducted by someone experienced in accident causation,
experienced in investigative techniques, fully knowledgeable of the work processes,
procedures, persons, and industrial relations environment of a particular situation. Some
jurisdictions provide guidance such as requiring that it must be conducted jointly, with both
management and labour represented, or that the investigators must be knowledgeable about
the work processes involved. In most cases, the supervisor should help investigate the event.

Other members of the team include:

• employees with knowledge of the work
• safety officer
• health and safety committee
• union representative, if applicable
• employees with experience in investigations
• "outside" expert
• representative from local government

Should the immediate supervisor be on the team?

The advantage is that this person is likely to know most about the work and persons involved
and the current conditions. Furthermore, the supervisor can usually take immediate remedial
action. The counter argument is that there may be an attempt to gloss over the supervisors’
shortcomings in the accident. This situation should not arise if the accident is investigated by
a team of people, and if the worker representative(s) and the management members review
all accident investigation reports thoroughly.

Why look for the "root cause"? An investigator who believes that accidents are caused by
unsafe conditions will likely try to uncover conditions as causes. On the other hand, one who
believes they are caused by unsafe acts will attempt to find the human errors that are causes.
Therefore, it is necessary to examine some underlying factors in a chain of events that ends
in an accident. The important point is that even in the most seemingly straightforward
accidents, seldom, if ever, is there only a single cause. For example, an "investigation" which
concludes that an accident was due to worker carelessness, and goes no further, fails to seek
answers to several important questions such as:

 Was the worker distracted? If yes, why was the worker distracted?
 Was a safe work procedure being followed? If not, why not?
 Were safety devices in order? If not, why not?
 Was the worker trained? If not, why not?
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An inquiry that answers these and related questions will probably reveal conditions that are
more open to correction than attempts to prevent "carelessness".

Accident Investigation

Accident reporting alone is not enough to prevent a reoccurrence, once reported an accident
must be investigated as soon as possible.
The investigation process should carefully examine all aspects and failures that occurred in
order to establish the root cause of the incident. This is vital to ensure effective and
appropriate controls are put in place to prevent reoccurrence.
All controls implemented should be monitored to ensure they remain effective and are being
followed.

Reporting to the Health & Safety Authority

 Any accident which results in an employee to miss regular work for 3 or more
consecutive days must be reported to the HSA.
 Also, any fatal accident must be immediately reported to the HSA.
 Any accident involving a member of public.
 A dangerous occurrence, a list of which is available on the HSA website.
 While workplaces can never be 100% safe, effective reporting and thorough
investigation of all accidents/incidents can go a long way in preventing injury
and even death.

What Types of Accidents Must be Notified to the Health and Safety Authority?

• General injuries involving employees and self-employed Accidents, where a

person is injured at a place of work and cannot perform their normal work for more
than 3 consecutive days, not including the day of the accident, are reportable.
• Road traffic/vehicle accidents involving employees and self-employed
Such accidents are reportable if the person was injured while driving or riding in
the vehicle in the course of work and cannot perform their normal work for more
than 3 consecutive days, not including the day of the accident.
• General injuries involving members of the public
Accidents related to a place of work or a work activity where a person requires
treatment from a medical practitioner are reportable.
Accidents related to medical treatment or a pre-existing medical condition are not
reportable.
• Road traffic/vehicle accidents involving members of the public
Road traffic accidents are only notifiable if they relate to vehicle loads or to the
construction or maintenance of roads or structures adjacent to roads.
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KT0204 DESCRIBE THE TYPICAL PROCESS FOR INVESTIGATING ACCIDENTS AND INCIDENTS

Accidents must be investigated to an appropriate degree. As a result we have two levels of

investigations, a formal and a routine investigation.

1. FORMAL INVESTIGATIONS
a. Formal investigations are conducted for serious accidents. Both Safety and the
Department involved are participants in the investigation. The following incidents are the ones
normally investigated in a formal investigation:
I. Lost time accidents (Lost time is missing the next tour of duty/work day.)
II. Serious accidents or near misses without lost time such as explosions, fires,
chemical spills, and electrical accidents

b. Once an accident is reported, a decision on the need to conduct a formal investigation is

immediately made by Department Director and EHS. If either determines that a formal
investigation is necessary, it will be held. The following steps should be taken:
I. Scene is secured
II. Preliminary scene visit is made and information and evidence is gathered
III. List of people to be interviewed is developed and interviews are conducted
IV. Accident Investigation Report and Action Plan is developed by Department
and EHS and routed to Department Executive Directors or Deans for approval
and guidance on implementation.

2. ROUTINE INVESTIGATIONS BY SUPERVISORS

a. Since the supervisor is the person charged with preventing accidents in his/her work group,
that person should be actively involved in determining the causes and acting to correct the
causes of accidents. As such the supervisor is the proper person to investigate the following
types of accidents:
I. Accidents which cause visit to the doctor with no lost time
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II. Near misses that disrupt productivity but do not have potential for serious
injury

b. The supervisor’s first duty is to assist the injured with obtaining medical attention.
Supervisors are required to accompany the person to the physician if possible to explain to
the physician the employee's job duties to allow proper determination as to the return to work
restrictions. After this, the supervisor carries out the following steps:

i. The supervisor conducts an accident investigation as soon after the

accident as practicable. Participation by Environmental Health and Safety
is not required, but an EHS representative is available to assist and
participate if requested. EHS will look into all reported accidents and may
request assistance or information from the supervisor as well as others
who were involved or may have information helpful to the investigation. ii.
The supervisor must complete an Action Plan and submit it to his/her
supervisor, with a copy to the EHS section. Even thought the investigation
is informal, the action plan must include "who, what, where and when" as
these terms relate to the planned action.

3. THE INVESTIGATION PROCEDURE

Conducting the accident or incident investigation should follow an agenda which
serves to assure that all causes are uncovered. Generally, the inquiry should follow
the plan outlined below:
a. Obtain background information on the job, the circumstances, work assignment, etc
b. Establish events and job steps leading up to the accident (Job Safety Analysis to be
performed as recommended by EHS)
c. Determine root causes of the accident d. Develop an Action Plan for prevention of
recurrence:
i. What action is to be taken (include what, how, where)
ii. Who is responsible to do this on each element
iii. When will each step be completed
iv. Arrangements to follow up and assure the action is taken
(quality control)

4. APPROVAL PROCESS AND ROUTING

a. The action plan should be reviewed by the department director or dean
for approval. Accidents involving lost time should be reviewed by the
Accident Review Committee* for consistency and effectiveness in

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enforcement and corrective action. Other serious consequence
incidents will also be reviewed.
b. If disciplinary action is appropriate, Human Resources Management
(HRM) should be consulted for guidance.
c. The accident investigation should be routed to the EHS office. A copy
should be filed in the department of origin.

5. COMPLETING ITEMS IN THE ACTION PLAN

a. Departments are to complete action items and report completion for routine
investigations.
b. On formal investigations, OHS will track the action plan to completion with the
cooperation of the department involved.

What are the steps involved in investigating an accident?

The accident investigation process involves the following steps:

• Report the accident occurrence to a designated person within the organization
• Provide first aid and medical care to injured person(s) and prevent further injuries
or damage
• Investigate the accident
• Identify the causes
• Report the findings
• Develop a plan for corrective action
• Implement the plan
• Evaluate the effectiveness of the corrective action
• Make changes for continuous improvement

As little time as possible should be lost between the moment of an accident or near miss and
the beginning of the investigation. In this way, one is most likely to be able to observe the
conditions as they were at the time, prevent disturbance of evidence, and identify witnesses.
The tools that members of the investigating team may need (pencil, paper, camera, film,
camera flash, tape measure, etc.) should be immediately available so that no time is wasted.

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KT0205 DESCRIBE THE CRITERIA FOR EFFECTIVE ACCIDENT AND INCIDENT INVESTIGATION

There are many tools and criteria for structuring the investigation, analysing adverse events,
and identifying root causes. There is no one criteria– it is for you to choose which criteria suit
your company. These criteria are simply tools, not an end in themselves. For large, complex
or technically demanding investigations, these techniques maybe essential in determining not
only how the adverse event happened, but also what were the root causes.

The decision to investigate

The table below will assist you in determining the level of investigation which is appropriate
for the adverse event. Remember you must consider the worst potential consequences of the
adverse event (e.g. a scaffold collapse may not have caused any injuries, but had the
potential to cause major or fatal injuries).

Likelihood of Potential worst consequence of adverse event

recurrence
Minor Serious Major Fatal
Certain
Likely
Possible
Unlikely
Rare

The definitions of ‘consequence’ and ‘likelihood’ are set out in the section on ‘Understanding
the language of investigation’)

Risk Minimal Low Medium High

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Investigation Minimum Low Medium High
level Level Level level Level

 In a minimal level investigation, the relevant supervisor will look into the
circumstances of the event and try to learn any lessons which will prevent future
occurrences.
 A low-level investigation will involve a short investigation by the relevant supervisor or
line manager into the circumstances and immediate, underlying and root causes of
the adverse event, to try to prevent a recurrence and to learn any general lessons.
 A medium level investigation will involve a more detailed investigation by the relevant
supervisor or line manager, the health and safety adviser and employee
representatives and will look for the immediate, underlying and root causes.
 A high-level investigation will involve a team-based investigation, involving
supervisors or line managers, health and safety advisers and employee
representatives. It will be carried out under the supervision of senior management or
directors and will look for the immediate, underlying, and root causes

The investigation
The four steps include a series of numbered questions. These set out in detail the information
that should be entered onto the adverse event investigation form. The question numbers
correspond to those on the form.

Step one Gathering the information

Find out what happened and what conditions and actions influenced the adverse event. Begin
straight away, or as soon as practicable.

It is important to capture information as soon as possible. This stops it being corrupted, e.g.
items moved, guards replaced etc. If necessary, work must stop and unauthorised access be
prevented. Talk to everyone who was close by when the adverse event happened, especially
those who saw what happened or know anything about the conditions that led to it.

The amount of time and effort spent on information gathering should be proportionate to the
level of investigation. Collect all available and relevant information. That includes opinions,
experiences, observations, sketches, measurements, photographs, check sheets, permits-to-
work and details of the environmental conditions at the time etc. This information can be
recorded initially in note form, with a formal report being completed later. These notes should
be kept at least until the investigation is complete

Where, when and who?

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1. Where and when did the adverse event happen?
2. Who was injured/suffered ill health or was otherwise involved with the adverse event?

Gathering detailed information: How and what?

Discovering what happened can involve quite a bit of detective work. Be precise and
establish the facts as best you can. There may be a lack of information and many
uncertainties, but you must keep an open mind and consider everything that might have
contributed to the adverse event. Hard work now will pay off later in the investigation.
Many important things may emerge at this stage of the process, but not all of them will be
directly related to the adverse event. Some of the information gathered may appear to have
no direct bearing on the event under investigation. However, this information may provide you
with a greater insight into the hazards and risks in your workplace. This may enable you to
make your workplace safer in ways you may not have previously considered.

How did the adverse event happen? Note any equipment involved.

Describe the chain of events leading up to, and immediately after, the adverse event. Very
often, a number of chance occurrences and coincidences combine to create the
circumstances in which an adverse event can happen. All these factors should be recorded
here in chronological order, if possible.

Work out the chain of events by talking to the injured person, eye witnesses, line managers,
health and safety representatives and fellow workers to find out what happened and who did
what. In particular, note the position of those injured, both immediately before and after the
adverse event. Be objective and, as far as possible, avoid apportioning guilt, assigning
responsibility or making snap judgements on the probable causes.

Plant and equipment that had a direct bearing on the adverse event must be identified clearly.
This information can usually be obtained from a nameplate attached to the equipment. Note
all the details available, the manufacturer, model type, model number, machine number and
year of manufacture and any modifications made to the equipment. Note the position of the
machinery controls immediately after the adverse event.

This information may help you to spot trends and identify risk control measures. You should
consider approaching the supplier if the same machine has been implicated in a number of
adverse events. Be precise. Shop floor process and layout changes are a regular occurrence.
Unless you precisely identify plant and equipment, you will not detect, eg that a machine or
particular piece of equipment has been moved around and caused injuries on separate
occasions, in different locations.
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What activities were being carried out at the time?

The work that was being done just before the adverse event happened can often cast light on
the conditions and circumstances that caused something to go wrong. Provide a good
description, including all the relevant details, e.g. the surroundings, the equipment/materials
being used, the number of employees engaged in the various activities, the way they were
positioned and any details about the way they were behaving etc.
Was there anything unusual or different about the working conditions?

Adverse events often happen when something is different. When faced with a new situation,
employees may find it difficult to adapt, particularly if the sources of danger are unknown to
them, or if they have not been adequately prepared to deal with the new situation. If working
conditions or processes were significantly different to normal, why was this?

Describe what was new or different in the situation. Was there a safe working method in
place for this situation, were operatives aware of it, and was it being followed? If not, why
not? Learning how people deal with unfamiliar situations will enable similar situations to be
better handled in the future.

Was the way the changes, temporary or otherwise, were introduced a factor?
Were the workers and supervisors aware that things were different? Were workers and
supervisors sufficiently trained/experienced to recognise and adapt to changing
circumstances?

Were there adequate safe working procedures and were they followed?

Adverse events often happen when there are no safe working procedures or where
procedures are inadequate or are not followed. Comments such as ‘…we’ve been doing it
that way for years and nothing has ever gone wrong before…’ or ‘…he has been working on
that machine for years and knows what to do…’ often lead to the injured person getting the
blame, irrespective of what part procedures, training and supervision – or the lack of them –
had to play in the adverse event. What was it about normal practice that proved inadequate?
Was a safe working method in place and being followed? If not, why not? Was there
adequate supervision and were the supervisors themselves sufficiently trained and
experienced? Again, it is important to pose these questions without attempting to apportion
blame, assign responsibility or stipulate cause.

What injuries or ill health effects, if any, were caused?

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It is important to note which parts of the body have been injured and the nature of the injury -
i.e. bruising, crushing, a burn, a cut, a broken bone etc. Be as precise as you are able. If the
site of the injury is the right upper arm, midway between the elbow and the shoulder joint, say
so. Precise descriptions will enable you to spot trends and take prompt remedial action. For
example, it could be that what appears to be a safe piece of equipment, due to the standard
of its guarding, is actually causing a number of inadvertent cut injuries due to the sharp edges
on the guards themselves.
Facts such as whether the injured person was given first aid or taken to hospital (by
ambulance, a colleague etc) should also be recorded here 8 If there was an injury, how did it
occur and what caused it?

Where an accident is relatively straightforward, it may seem artificial to differentiate between

the accident itself (question 3) and the mode of injury, but when the accident is more
complicated the differences between the two aspects become clearer and therefore precise
descriptions are vital.
The mode of injury concerns two different aspects:
 The harmful object (known as the ‘agent’) that inflicted the injury; and
 The way in which the injury was actually sustained.

The object that inflicted the injury may be a hand-held tool like a knife, or a chemical, a
machine, or a vehicle etc. The way in which it happened might, e.g., be that the employee cut
themselves or spilt chemicals on their skin.

Was the risk known? If so, why wasn’t it controlled? If not, why not?

You need to find out whether the source of the danger and its potential consequences were
known, and whether this information was communicated to those who needed to know. You
should note what is said and who said it, so that potential gaps in the communication flow
may be identified and remedied.

The aim is to find out why the sources of danger may have been ignored, not fully
appreciated or not understood. Remember you are investigating the processes and systems,
not the person.

The existence of a written risk assessment for the process or task that led to the adverse
event will help to reveal what was known of the associated risks. A judgement can be made
as to whether the risk assessment was ’suitable and sufficient’, as required by law and

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whether the risk control measures identified as being necessary were ever adequately put in
place.

Did the organisation and arrangement of the work influence the adverseevent?

The organisational arrangement sets the framework within which the work is done.
Here are some examples; there are many more:

 Standards of supervision and on-site monitoring of working practices may be less than
adequate;
 Lack of skills or knowledge may mean that nobody intervenes in the event of
procedural errors;
 Inappropriate working procedures may mean certain steps in the procedures are
omitted, because they are too difficult and time-consuming;
 Lack of planning may mean that some tasks are not done, are done too late or are
done in the wrong order;
 Employees’ actions and priorities may be a consequence of the way in which they are
paid or otherwise rewarded;
 High production targets and piecework may result in safety measures being degraded
and employees working at too fast a pace.

Was maintenance and cleaning sufficient? If not, explain why not.

Lack of maintenance and poor housekeeping are common causes of adverse events. Was
the state of repair and condition of the workplace, plant and equipment such that they
contributed to or caused the adverse event? Were the brakes on the forklift truck in good
working order? Were spills dealt with immediately? Was the site so cluttered and untidy that it
created a slipping or tripping hazard? Was there a programme of preventative maintenance?
What are the instructions concerning good housekeeping in the workplace?

You should observe the location of the adverse event as soon as possible and judge whether
the general condition or state of repair of the premises, plant or equipment was adequate.
Those working in the area, together with witnesses, and any injured parties, should also be
asked for their opinion. Working in the area, they will have a good idea of what is acceptable
and whether conditions had deteriorated over time. Consider the role the following factors
may play:
 A badly maintained machine or tool may mean an employee is exposed to excessive
vibration or noise and has to use increased force, or tamper with the machine to get
the work done;
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 A noisy environment may prevent employees hearing instructions correctly as well as
being a possible cause of noise-induced hearing loss;
 Uneven floors may make movement around the workplace, especially vehicle
movements, hazardous;
 Badly maintained lighting may make carrying out the task more difficult;
 Poorly stored materials on the floor in and around the work area will increasethe risk
of tripping;
 Ice, dirt and other contaminants on stairs or walkways make it easier to slip and fall;
 Tools not in immediate use should be stored appropriately and not left lying around
the work area.

Were the people involved competent and suitable?

Training should provide workers with the necessary knowledge, skills and hands-on work
experience to carry out their work efficiently and safely. The fact that someone has been
doing the same job for a long time does not necessarily mean that they have the necessary
skills or experience to do it safely. This is particularly the case when the normal routine is
changed, when any lack of understanding can become apparent. There is no substitute for
adequate health and safety training. Some of the problems that might arise follow:
 A lack of instruction and training may mean that tasks are not done properly;
 Misunderstandings, which arise more easily when employees lack understanding of
the usual routines and procedures in the organisation;
 A lack of respect for the risks involved, due to ignorance of the potential
consequences;
 Problems due to the immaturity, inexperience and lack of awareness of existing or
potential risks among young people (under18).You must assess the risks to young
people before they start work;
 Poor handling of dangerous materials or tools, due to employees not being properly
informed about how things should be done correctly.
 People should also be matched to their work in terms of health, strength, mental
ability and physical stature.

Did the workplace layout influence the adverse event?

The physical layout and surroundings of the workplace can affect health and safety.
Injuries may be caused by sharp table edges. Hazardous or highly inflammable fumes may
be produced in areas where operatives work or where there are naked lights. Or, the
workplace may be organised in such a way that there is not enough circulation space. Or, it
may be impossible to see or hear warning signals, e.g. during fork lift truck movements.
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Employees should be able to see the whole of their work area and see what their immediate
colleagues are doing. The workplace should be organised in such a way that safe practices
are encouraged. In other words, workplace arrangements should discourage employees from
running risks, e.g. providing a clear walkway around machinery will discourage people from
crawling under or climbing over it.

Did the nature or shape of the materials influence the adverse event?
As well as being intrinsically hazardous, materials can pose a hazard simply by their design,
weight, quality or packaging, eg heavy and awkward materials, materials with sharp edges,
splinters, poisonous chemicals etc.

The choice of materials also influences work processes, eg a particularly hazardous material
may be required. Poor quality may also result in materials or equipment failing during normal
processing, causing malfunctions and accidents.
Did difficulties using the plant and equipment influence the adverse event?

Plant and equipment includes all the machinery, plant and tools used to organise and carry
out the work. All of these items should be designed to suit the people using them. This is
referred to as ergonomic design, where the focus is on the individual as well as the work task
the item is specifically designed to carry out. If the equipment meets the needs of the
individual user, it is more likely to be used as it is intended - ie safely. Consider user
instructions here. A machine that requires its operator to follow a complicated user manual is
a source of risk in itself.

Was the safety equipment sufficient?

You should satisfy yourself that any safety equipment and safety procedures are both
sufficient and current for all conditions in which work takes place, including the provision and
use of any extra equipment needed for employees’ safety. For example:
 extra technical safety equipment at machines;
 power supply isolation equipment and procedures;
 personal protective equipment (PPE);
 building safety systems, e.g. an extract ventilation system.
Make a note of whether the safety equipment was used, whether it was used correctly,
whether or not it was in good condition and was working properly etc.

Did other conditions influence the adverse event?

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‘Other conditions’ is intended to cover everything else that has not been reported yet, but
which might have influenced the adverse event. For example:
 disagreements or misunderstandings between people;
 the weather;
 unauthorised interference in a process or job task;
 defective supplies or equipment;
 Deliberate acts, such as trespass or sabotage.

Step two Analysing the information

An analysis involves examining all the facts, determining what happened and why?

All the detailed information gathered should be assembled and examined to identify what
information is relevant and what information is missing. The information gathering and
analysis are actually carried out side by side. As the analysis progresses, further lines of
enquiry requiring additional information will develop.

To be thorough and free from bias, the analysis must be carried out in a systematic way, so
all the possible causes and consequences of the adverse event are fully considered. A
number of formal methods have been developed to aid this approach.

One useful method for organising your information, identifying gaps and beginning
the analysis is Events and Causal Factor Analysis (ECFA), which is beyond the scope of this
guidance.

The analysis should be conducted with employee or trade union health and safety
representatives and other experts or specialists, as appropriate. This team approach can
often be highly productive in enabling all the relevant causal factors to emerge.

What were the immediate, underlying and root causes?

It is only by identifying all causes, and the root causes in particular, that you can learn from
past failures and prevent future repetitions.

The causes of adverse events often relate to one another in a complex way, sometimes only
influencing events and at other times having an overwhelming impact, due to their timing or
the way they interact. The analysis must consider all possible causes. Keep an open mind.
Do not reject a possible cause until you have given it serious consideration. The emphasis is
on a thorough, systematic and objective look at the evidence.
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Analysis
There are many methods of analysing the information gathered in an investigation to find the
immediate, underlying and root causes and it is for you to choose whichever method suits
you best

What happened and why?

The first step in understanding what happened and why is to organise the information you
have gathered. This guidance uses the simple technique of asking Why’ over and over, until
the answer is no longer meaningful. The starting point is the ‘event’, e.g. John has broken his
leg. On the line below, set out the reasons why this happened. This first line should identify:
 the vulnerable person, e.g. John on a ladder;
 the hazard, eg falling due to gravity;
 the circumstances that brought them together, e.g. John fell off the ladder.

For each of the reasons identified ask ‘Why?’ and set down the answers. Continue down the
page asking ‘Why’ until the answers are no longer meaningful. Do not be concerned at the
number of times you ask the question, ‘Why?’ because by doing so you will arrive at the real
causes of the adverse event.

Some lines of enquiry will quickly end, e.g. ‘Why was the hazard of falling present?’
Answer: ‘Gravity’. Having collected the relevant information and determined what happened
and why, you can now determine the causes of the adverse event systematically.

Checklist/question analysis of the causes

Using the adverse event analysis work sheets and checklist (in the Adverse Event and
Investigation Form), work through the questions about the possible immediate causes of the
adverse event (the place, the plant, the people and the process) and identify which are
relevant. Record all the immediate causes identified and the necessary risk control measures.
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For each immediate cause, the analysis suggests underlying causes which may have allowed
the immediate causes to exist.

Consider the underlying/root cause questions suggested by the immediate causes.

Record those that are relevant and note the measures needed to remedy them.
The final step of your analysis is to consider the environment in which the What if ‘human
failings (errors and violations)’10 are identified as a contributory factor? If your investigation
concludes that errors or violations contributed to the adverse event, consider carefully how to
handle this information.

Not addressing the ‘human’ factors greatly reduces the value of the investigation.
The objective of an investigation is to learn the lessons and to act to prevent recurrences,
through suitable risk control measures. You will not be able to do that unless your workforce
trusts you enough to co-operate with you. Laying all the blame on one or more individuals is
counter-productive and runs the risk of alienating the workforce and undermining the safety
culture, crucial to creating and maintaining a safer working environment.

Speak to those involved and explain how you believe their action(s) contributed to the
adverse event. Invite them to explain why they did what they did. This may not only help you
better understand the reasons behind the immediate causes of the adverse event, but may
offer more pointers to the underlying causes: perhaps the production deadline was short, and
removing the guards saved valuable time; maybe the workload is too great for one person
etc.

Unless you discover a deliberate and malicious violation or sabotage of workplace safety
precautions, it may be counter-productive to take disciplinary action against those involved.
Will anyone be open and honest with you the next time an adverse event occurs? What you
should aim for is a fair and just system where people are held to account for their behaviour,
without being unduly blamed. In any event, your regime of supervision and monitoring of
performance should have detected and corrected these unsafe behaviours.

Human failings can be divided into three broad types and the action needed to prevent further
failings will depend on which type of human failing is involved

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Skill-based errors: a slip or lapse of memory:

 slips happen when a person is carrying out familiar tasks automatically, without
thinking, and that person’s action is not as planned, e.g. operating the wrong switch
on a control panel;

 lapses happen when an action is performed out of sequence or a step in a sequence

is missed, e.g. a road tanker driver had completed filling his tanker and was about to
disconnect the hose when he was called away to answer the phone. On his return he
forgot that he hadn’t disconnected the hose and drove off. These types of error can be
foreseen and measures can be taken to prevent or reduce their likelihood, eg colour
coding, a checklist, an interlock etc.

Mistakes: errors of judgement (rule-based or knowledge-based

 rule-based mistakes happen when a person has a set of rules about what to
 do in certain situations and applies the wrong rule;
 Knowledge-based mistakes happen when a person is faced with an unfamiliar
situation for which he or she has no rules, uses his or her knowledge and works from
first principles, but comes to a wrong conclusion. For example when the warning light
comes on indicating that the cooling system pump is overheating, is there a rule for
what to do? If not, do you leave the pump on, turn it off, or shut down the whole unit?

Training, comprehensive safe working procedures and equipment design are most important
in preventing mistakes.

Violation (rule breaking)

 Deliberate failure to follow the rules, cutting corners to save time or effort,based on
the belief that the rules are too restrictive and are not enforced anyway, e.g. operating
a circular saw bench with the guard removed.
This type of behaviour can be foreseen. The provision of training, simple practical rules, and
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routine supervision and monitoring of performance will reduce this type of behaviour.

When considering how to avoid human failings, bear in mind the fact they do not happen in
isolation. If human failings are identified as a cause of an adverse event, consider the
following factors that can influence human behaviour.

Job factors:
 how much attention is needed for the task (both too little and too much can
 lead to higher error rates)?
 divided attention or distractions are present;
 inadequate procedures;
 time available.

Human factors:
 physical ability (size and strength);
 competence (knowledge, skill and experience);
 fatigue, stress, morale, alcohol or drugs.

Organisational factors:
 work pressure, long hours;
 availability of sufficient resources;
 quality of supervision;
 management beliefs in health and safety (the safety culture).

Plant and equipment factors:

 How clear and simple to read and understand are the controls?
 Is the equipment designed to detect or prevent errors? (For example different sized
connectors are used for oxygen and acetylene bottles to prevent errors in connecting
the hoses);
 Is the workplace layout user-friendly?

Step three
Identifying suitable risk control measures
The methodical approach adopted in the analysis stage will enable failings and possible
solutions to be identified. These solutions need to be systematically evaluated and only the
optimum solution(s) should be considered for implementation. If several risk control measures
are identified, they should be carefully prioritised as a risk control action plan, which sets out
what needs to be done, when and by whom. Assign responsibility for this to ensure the
timetable for implementation is monitored.
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What risk control measures are needed/recommended?

Your analysis of the adverse event will have identified a number of risk control measures that
either failed or that could have interrupted the chain of events leading to the adverse event, if
they had been in place. You should now draw up a list of all the alternative measures to
prevent this, or similar, adverse events.

Some of these measures will be more difficult to implement than others, but this must not
influence their listing as possible risk control measures. The time to consider these limitations
is later when choosing and prioritising which measures to implement.

Evaluate each of the possible risk control measures on the basis of their ability to prevent
recurrences and whether or not they can be successfully implemented.

In deciding which risk control measures to recommend and their priority, you should choose
measures in the following order, where possible:
 measures which eliminate the risk, e.g. use ‘inherently safe’ products, such as a
 water-based product rather than a hydrocarbon-based solvent;
 measures which combat the risk at source, e.g. provision of guarding;
 measures which minimise the risk by relying on human behaviour, eg safe working
procedures, the use of personal protective equipment.

In general terms, measures that rely on engineering risk control measures are more reliable
than those that rely on people.

20. Do similar risks exist elsewhere? If so, what and where?

Having concluded your investigation of the adverse event, consider the wider implications:
could the same thing happen elsewhere in the organisation, on this site or at another
location? What steps can be taken to avoid this?

Adverse events might not have occurred at other locations yet, but make an evaluation as to
whether the risks are the same and the same or similar risk control measures are
appropriate.

Have similar adverse events happened before? Give details.

If there have been similar adverse events in the past why have they been allowed to happen
again? The fact that such adverse events are still occurring should be a spur to ensure that

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action is taken quickly. You will be particularly open to criticism if you as an organisation
ignore a series of similar accidents.

Remember that there is value in investigating near-misses and undesired circumstances: it is

often only a matter of luck that such incidents do not result in serious injuries or loss of life.
Step four The action plan and its implementation

Which risk control measures should be implemented in the short and long term?

The risk control action plan

At this stage in the investigation, senior management, who have the authority to make
decisions and act on the recommendations of the investigation team, should be involved.
An action plan for the implementation of additional risk control measures is the desired
outcome of a thorough investigation. The action plan should have SMART objectives, i.e.
Specific, Measurable, Agreed, and Realistic, with Timescales.

Deciding where to intervene requires a good knowledge of the organisation and the way it
carries out its work. For the risk control measures proposed to be SMART, management,
safety professionals, employees and their representatives should all contribute to a
constructive discussion on what should be in the action plan.

Not every risk control measure will be implemented, but the ones accorded the highest
priority should be implemented immediately. In deciding your priorities, you should be guided
by the magnitude of the risk (‘risk’ is the likelihood and severity of harm). Ask yourself ‘What
is essential to securing the health and safety of the workforce today?’ What cannot be left
until another day? How high is the risk to employees if this risk control measure is not
implemented immediately? If the risk is high, you should act immediately.

You will, no doubt, be subject to financial constraints, but failing to put in place measures to
control serious and imminent risks is totally unacceptable. You must either reduce the risks to
an acceptable level or stop the work.

For those risks that are not high and immediate, the risk control measures should be put into
your action plan in order of priority. Each risk control measure should be assigned a
timescale and a person made responsible for its implementation.

It is crucial that a specific person, preferably a director, partner or senior manager, is made
responsible for ensuring that the action plan as a whole is put into effect.

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This person doesn’t necessarily have to do the work him or herself but he or she should
monitor the progress of the risk control action plan. Progress on the action plan should be
regularly reviewed. Any significant departures from the plan should be explained and risk
control measure rescheduled, if appropriate. Employees and their representatives should be
kept fully informed of the contents of the risk control action plan and progress with its
implementation.

Which risk assessments and safe working procedures need to be reviewed and
updated?
All relevant risk assessments and safe working procedures should be reviewed after an
adverse event. The findings of your investigation should indicate areas of your risk
assessments that need improving. It is important that you take a step back and ask what the
findings of the investigation tell you about your risk assessments in general. Are they really
suitable and sufficient?

Failing to review relevant risk assessments after an adverse event could mean that you are
contravening the Management of Health and Safety at Work Regulations 1999 regulation
3(3).5

Have the details of adverse event and the investigation findings been recorded and
analysed?
Are there any trends or common causes which suggest the need for further investigation?
What did the adverse event cost?

In addition to the prompt notification of reportable events to the regulatory authorities you
should ensure that you keep your own records of adverse events, their causes and the
remedial measures taken. This will enable you to monitor your health and safety performance
and detect trends, the common causes of adverse events and so improve your overall
understanding and management of risk.

It is also useful to estimate the cost of adverse events to fully appreciate the true cost of
accidents and ill health to your business. The step by step approach that is set out in this
guide is only one of a number of possible approaches. It is for you to decide which approach
suits your business best

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IAC0201
Given various accident and incident investigation scenarios identify the extent to which the
investigations were effective and the appropriate criteria for effective investigations was
met and motivate the reasons why the criteria is important [20]

KM-03-KT03: PRINCIPLES OF OCCUPATIONAL HYGIENE

MEASURING INSTRUMENTS AND THE INTERPRETATION
OF THE READINGS IN TERMS OF THE THRESHOLD LIMITS
OF SUCH MEASUREMENTS

On completion of this section you will be able to understand principles of occupational

hygiene measuring instruments and the interpretation of the readings in terms of the
threshold limits of such measurements

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1. KT0301 Explain the potential occupational health hazards and routes of entry into
the body;
2. KT0302 Identify the typical occupational hygiene measurements that is taken within
industry
3. KT0303 Identify the instruments that are used to take typical occupational hygiene
measurements with regards to: a. Airborne pollutants; b. Biological agents; c.
Dermal exposure and surface contamination; d. Physical agents; e. Ergonomics; f.
Air velocity and pressure; g. Water quality; h. Chemical agents; etc

KT0301 EXPLAIN THE POTENTIAL OCCUPATIONAL HEALTH HAZARDS AND ROUTES OF ENTRY INTO THE BODY

Working with chemicals always involves the risk of exposure. The health risk is dependent
upon the toxicity of the chemical, the types of effects and the various routes of entry.

Inhalation In the lung there are no similar mechanisms for selective uptake. Particles less
than 10 micron in diameter may reach the alveoli. If soluble, approximately 40% are then
absorbed. Insoluble chemicals are relatively safer, for example lead sulphide, whereas lead
carbonate is highly soluble and causes poisoning quickly.

Larger inhaled particles are less of a risk as absorption higher up the respiratory tract is less
efficient. It is important to remember that not only is the lung responsible for the uptake of
substances into the body it is also acted on as a target organ. Materials which are not
absorbed into the body can remain in the lungs and cause physical and/or chemical damage
to them. Inhalation accounts for 90% or so of industrial poisoning.

To prevent inhaling hazardous chemicals, you must select and use proper respiratory
protection.

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Absorption through the skin is another route of entry. The skin is the largest organ of your
body and a common exposure site for liquid and airborne chemicals. Absorption through the
skin can occur quite rapidly if the skin is cut or abraded. Intact skin is an effective barrier to
many hazardous materials.

Ingestion
Ingestion is the least significant route of entry in industry while in environmental toxicology it
is the most. During evolution, mechanisms have developed in the gut to regulate the uptake
of essential elements. Toxic elements may have to compete so that generally only a fraction
of any ingested dose is absorbed into the body (often 10% or less). Possible causes of
ingestion in industry are mouth pipetting in laboratories, swallowing dust which has been

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inhaled and cleared by the mucociliary escalator, smoking and eating at the workstation or
simply having dirty hands where the hand later comes in contact with the mouth.

- toxic materials can be swallowed and enter the body through the gastrointestinal tract. In the
workplace, people can unknowingly ingest harmful chemicals when you eat, drink, or smoke
in a contaminated work area.

Injection occurs when a sharp object punctures the skin, allowing a chemical or infectious
agent to enter your body. For example, injection can occur when a contaminated object such
as a rusty nail punctures the skin.

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KT0302 IDENTIFY THE TYPICAL OCCUPATIONAL HYGIENE MEASUREMENTS THAT IS TAKEN WITHIN INDUSTRY

We have seen that most of the chemical and physical agents found in industry today are
potentially harmful if they are not handled correctly or are present in excessive quantities in
the workplace environment. The aim of occupational hygiene is to prevent or reduce
exposure to such agents

Hygiene standards or occupational exposure limits (OELs) are useful measures with which
exposures to chemical and physical agents in the workplace environment can be compared.

There are a few key points to remember about hygiene standards, namely:
 They are not an index of toxicity.
 They do not represent a fine demarcation between good and bad practice.
 They are based on the current best available information and are liable to change.
 If there is not a hygiene standard set for a chemical substance, it does not mean that
substance is safe.
 Good occupational hygiene practice is to keep airborne contaminants to as low a level
as possible, not to just below the relevant hygiene standard(s).

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 They apply to occupational exposure of adults. They are not applicable to
environmental exposure where more susceptible groups exist e.g. pregnant women,
children, infirm.
 For chemicals they generally relate to airborne concentrations i.e. they only take into
account the inhalation route of entry.
 They generally refer to single substances, although some guidance may be given on
mixed exposures

Setting of Hygiene Standards and Exposure Limits There are three main types of hygiene
standards, those for chemical agents such as gases, vapours, fumes, mists, dusts and
aerosols. Those for physical agents such as noise, vibration, heat, cold and radiation (ionising
and non-ionising) and finally biological exposure indices. When setting hygiene standards for
hazardous agents, the effects the agents might have on the body have to be considered
namely: -
 Contact
 Local toxic effects at the site of contact (skin, eye, respiratory tract etc.)
 Absorption
 Transport, Metabolism, Storage
 Systemic toxic effects, remote from the site of contact (any organ system e.g. blood,
bone, nervous system, kidney etc.)
 Excretion
 Acute toxicity i.e. the adverse effects occur within a short time of exposure to a single
dose, or to multiple doses over 24 hours or less e.g. irritation, asphyxiation, narcosis
 Chronic toxicity i.e. the adverse effects occur as a result of a repeated daily exposure
over a long-time span (weeks, years) e.g. systemic poisons, lung fibrosis,
(carcinogens) and noise induced hearing loss.

The data for setting hygiene standards includes the use of

 Animal studies
 Human research and experience
 Epidemiology (the statistical study of disease patterns in groups of individuals)
 Analogy.
There are also biological variabilities; people (animals) react differently to the same dose of a
chemical or physical agent (hypersensitive, average resistance). Thus the dose/response
relationships have to be considered

. Hygiene Standards for Chemical Agents

Only a few countries have organisations with the appropriate machinery for determining and
keeping under continuous review occupational exposure limits for chemical agents.
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Quantifying Airborne Concentrations of Chemical Agents Airborne contaminants can be

quantified in several ways, and these relate to the relevant hygiene standards:
 By volume - atmospheric concentration in parts per million (ppm)
 By weight - milligrams of substance per cubic metre of air (mg/m 3). There is a
correlation between ppm and mg.m-3

Conc by weight (mg/m3 ) : = Conc by volume (ppm) x Molecular weight

24.06
at 20°C and 760 mm Hg (1 atmosphere pressure)

 Numerical - for fibres, fibres per millilitre of air (fibres/ml)

Categories of Exposure Limits

Long Term Exposure Limits are expressed as a Time Weighted Average (TWA) normally
over an eight-hour period. This allows for exposures to vary through the working day so long
as the average exposure does not exceed the limit.

Short Term Exposure Limit (STEL) normally over a 15-minute period are used when
exposure for short periods of time occurs. Ceiling Limits are sometimes used and are
concentrations that should not be exceeded during any part of the working exposure.

"Skin" Notation
Substances that have been assigned a “Skin” notation can have a contributing exposure
effect by the cutaneous route (including mucous membranes and eyes) either by airborne, or
more particularly, by direct contact of the substance with the skin. The exposure limits for
such substances relate to exposure via inhalation only; they take no account of absorption via
skin contact.

Effects of Mixed Exposures

Where mixed exposures occur the first step is to ensure adequate control of exposure for
each individual substance. WELS for defined mixtures should be used only where they are
applicable and in addition to any relevant individual WELS. They should not be extended to
inappropriate situations.

It is then necessary to assess whether further control is needed to counteract any increased
risk from the substances acting in conjunction. Expert assessments for some particular mixed
exposures may be available and can be used as guidelines in similar cases. In other cases,
close examination of the toxicological data will be necessary to determine which of the main
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types of interaction (if any) are likely for the particular combination of substances concerned;
the various types should be considered in the following order.

Synergistic substances: known cases of synergism are considerably less common than the
other types of behaviour in mixed exposures. However, they are the most serious in their
effects and require the strictest control. They are also the most difficult to assess and
wherever there is reason to suspect such interaction, specialist advice should be obtained.

Additive substances: where there is reason to believe that the effects of the constituents are
additive, and where the WELS are based on the same health effects, the mixed exposure
should be assessed by means of the formula;

C1 + C2 + C3............<1
L1 L2 L3
where C1 C2 etc. are the time weighted average (TWA) concentrations of constituents in air
and L1, L2 etc. are the corresponding Wels. Where the sum of the C/L fractions does not
exceed 1, the exposure is considered not to exceed the notional exposure limit. The use of
this formula is only applicable where L1, L2 etc relate to the same reference period in the
list of approved WELs. This formula is not applicable where the lead health effect is cancer or
respiratory sensitisation. For mixtures containing these substances the overriding duty is to
decrease exposure so far as is reasonably practicable.

Independent substances: where no synergistic or additive effects are known or considered

likely, the constituents can be regarded as acting independently and the measures needed to
achieve adequate control assessed for each separately. The controls needed for the mixture
will be those for the component requiring the tightest control.

Calculation of exposure with regard to the specified reference periods The 8-hour reference
period

The term "8-hour reference period" relates to the procedure whereby the occupational
exposures in any 24-hour period are treated as equivalent to a single uniform exposure for 8
hours (the 8-hour time-weighted average (TWA) exposure). The 8-hour TWA may be
represented mathematically by:

C1 x T1+ C2 x T2 +....................Cn x Tn
8

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where C1 is the occupational exposure and T1 is the associated exposure time in hours in any
24-hour period.
Example 1 The operator works for 7h 20min on a process in which he is exposed to a
substance hazardous to health. The average exposure during that period is measured as
0.12 mg.m-3
The 8-hour TWA therefore is - 7h 20min (7.33 h) at 0.12 mg.m-3 40min (0.67h) at 0 mg.m-3
That is:
(0.12 x 7.33) + (0 x 0.67)
8
= 0.11 mg.m-3
The short-term reference period Exposure should be recorded as the average over the
specified short-term reference period (usually 15 minutes) and should normally be
determined by sampling over that period. If the Exposure period is less than 15 minutes, the
sampling result should be averaged over 15 minutes. For example, if a 5 minute sample
produces a level of 150 ppm and is immediately followed by a period of zero exposure then
the 15-minute average exposure will be 50 ppm.

That is
5 x 150=50ppm
15

Exposure period is 15 minutes or longer

Measurements should be taken over a 15-minute period and the result is the 15 minute
average exposure. Measurements for periods greater than 15 minutes should not be used to
calculate a 15-minute average exposure, but if the average exposure over the longer period
exceeds the 15-minute exposure limit, then this limit must have been exceeded over the 15
minute period.

Biological Monitoring Guidance Values Biological monitoring can be a very useful

complimentary technique to air monitoring when air sampling techniques alone may not give
a reliable indication of exposure. Biological monitoring is the measurement and assessment
of hazardous substances or their metabolites in tissues, excreta or expired air in exposed
workers. Measurements reflect absorption of a substance by all routes.

Biological monitoring may be particularly useful in circumstances where there is likely to be

significant skin absorption and/or gastrointestinal tract uptake following ingestion; where
control of exposure depends on respiratory protective equipment; where there is a reasonably
well-defined relationship between biological monitoring and effect; or where it gives
information on accumulated dose and target organ body burden which is related to toxicity.
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In most cases limits for Biological Monitoring are not statutory and any biological monitoring
undertaken in needs to be conducted on a voluntary basis (i.e. with the fully informed consent
of all concerned). BMGVs are intended to be used as tools in meeting the employer’s primary
duty to ensure adequate control of exposure.

Where a BMGV is exceeded it does not necessarily mean that any corresponding airborne
standard has been exceeded nor that ill health will occur. It is intended that where they are
exceeded this will give an indication that investigation into current control measures and work
practices is necessary. It should also be noted that BMGVs are not an alternative or
replacement for airborne occupational exposure limits.

Biological monitoring and health surveillance

Health Surveillance is a generic term which includes any procedure undertaken to assess,
review or monitor an individual’s health in order to identify or detect any significant change
from normality. There are three reasons for health surveillance at work:
 to ensure adverse health effects related to the work are identified at an early stage;
sometimes this is statutory, e.g. in the UK in relation to work with lead.
 to ensure continued medical fitness for specific tasks like diving or firefighting,
 to promote general health.
The decision to undertake health surveillance depends on the findings of a health risk
assessment and it should only take place when exposure could result in an adverse
health effect or disease and where there are valid techniques for detecting the effect or
disease.

The purposes of health surveillance are:

 to maintain good health by the early detection of adverse changes attributed to the
exposure,
 to assist in the evaluation of the effectiveness of control measures,
 to collect data relevant to the detection and evaluation of hazards to health.

Health surveillance techniques should be highly sensitive and specific in their ability to detect
effects at an early and reversible stage. They should be safe, preferably non-invasive and
acceptable to the employee.

Cost is also a consideration. Results of health surveillance should lead to some action of
benefit to the health of employees and the methods of recording and analysis of results and
criteria and options for action should be established before starting out. Biological monitoring
is an integral part of health surveillance and is the measurement of human tissues, fluids or
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behaviour in comparison with what is considered to be a normal range of values.
Measurements on individuals must be treated as measurements made in clinical practice and
medical confidentiality applies.

In contrast to environmental monitoring biological monitoring can establish not only exposure
to a particular hazard, but also its effect on an individual or group of people. For example,
personal dose monitoring may give a good indication of exposure to a dust or toxic vapour
but cannot demonstrate its effect on the individual, given that work rate, lung and circulatory
efficiency, fitness, age, genetic variability, percentage fat, sex, medication and alcohol all
have an influence on how much is actually taken up and how it is later metabolised. The risks
to a worker from a toxic material are more directly related to his uptake of that material than
to its concentration in the working environment.

There can be a factor of 4 or so difference in people's uptake under the same conditions and
this justifies biological monitoring. The timing of biological monitoring will depend on the
expected absorption, metabolism and excretion rates and the known half-life of the substance
in question. Mean results of measurements for a number of individuals in a group provide a
better index of exposure than isolated measurements.

With scrupulous sampling techniques, analysis and quality control, biological monitoring can
show up susceptible individuals, uptake within or outside acceptable levels and high
exposure groups of people who may have been missed by environmental monitoring. Ideally
the two forms of monitoring should go hand in hand

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KT0303 IDENTIFY THE INSTRUMENTS THAT ARE USED TO TAKE TYPICAL OCCUPATIONAL HYGIENE MEASUREMENTS

Occupational hygiene measurements are divided into two parameter scopes; chemical and
physical factors. Some measurement parameters covered by the chemical factors are volatile
organic compounds, formaldehyde, inorganic acids and heavy metals. If we talk about
measurement parameters of physical factors, we can group them under noise, thermal
comfort, lighting, vibration, dust and aerosol measurements.

Measurements of the above-mentioned factors can be performed in two ways and are called
“personal exposure measurements” and “environmental measurements”. Personal exposure
measurements are taken based on the type of the work performed, the exposure factor, and
the exposure duration. Whereas environmental measurements are taken when the work is
not carried out and at a fixed point where the exposure is most likely to be the highest, to
assess the workers’ workplace exposure.

Why occupational hygiene should be made

Based on Article 10 of the Law of Occupational Health and Safety no. 6331, dated
20.06.2012, the employer is obliged to perform a risk assessment in relation to occupational
health and safety. In this context, the employer should provide the necessary controls,

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measurements, examinations and research to determine the risks related the work
environment and the workers’ exposure in terms of occupational health and safety.

The employer conducts occupational hygiene measurements, tests and analysis based on
the risk assessment. When there is a difference in the workplace environment or the personal
exposures, the occupational physician or the occupational health and safety expert may ask
for the repetition of the occupational hygiene measurements, tests and analysis.

Who can perform occupational hygiene?

The employer must select the laboratory that will carry out the hygiene measurements, tests
and analysis from the laboratories authorized based on the regulation on laboratories
performing hygiene measurements, tests and analysis, issued by the Ministry of Labor and
Social Security and published in the Official Gazette no. 28741, dated 20.08.2013. The
results of each hygiene measurement, test and analysis carried out by an authorized
laboratory will be reported in a correct, clear, precise and objective manner and in
accordance with all the instructions specified in the hygienic measurement, testing and
analysis methods.
In the reports, the results of personal exposure measurements are compared with the
occupational exposure limits. However, the results of environmental measurements
performed at workplaces cannot be compared with these limits. As a result of these
measurements, the employer must apply processes and methods that will eliminate these
factors or reduce them to an acceptable level by taking control measures for the source, for
the work environment or for employees.

Biological agent

The skin can be prone to the effects of biological agents such as viral injections from animals,
yeast/fungal infections when prolonged contact with water occurs and anthrax infections
where animal products are handled.

Air borne pollutants

Physical States - there are 3 physical states of matter:

 Gas;
 Liquid;
 Solid.
All materials can exist in all three states or in mixtures of states e.g. A cold drink may contain
water as a liquid but may also contain ice (the solid form of water) and the air above the drink
is a gas which contains some water (known as vapour). Depending upon the substance of
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interest and the type of activity being undertaken then the material in question will be present
in a different
.

Vapour - the gaseous state of a substance which is liquid at 25°C and 760 mm Hg (STP).

Mist - liquid particles, large size generally produced by bubbling, splashing or boiling of a
liquid.

Fume - Solid particles produced by condensation from a liquid or a reaction between two
gases. The particle size of a fume <1 micron (μm) diameter anything larger is considered a
dust particle.

Dust - particles of solid material in the broad size range of 1 micron to millimetre diameter.
Anything of a larger particle size is considered to be grit and will be too heavy to remain
airborne.

Aerosol - general term for the dispersions of solid or liquid particles of microscopic size in a
gaseous medium e.g. fog, smoke etc., although commonly used as a term for fine liquid spray
(e.g. „aerosol can‟).

Fibre - Solid particulate which are long and thin i.e. have a high aspect ratio of
length to breadth

Dermal exposure and surface contamination

The most common disorder is contact dermatitis and 70% of cases are due to primary
irritation i.e. direct action on the skin, most often of the hands and forearms. An irritant is an
agent that directly damages cells if applied to the skin in sufficient concentration and for
sufficient time (i.e. all effects are dose related), leading to irritant contact dermatitis. Alkalis
dissolve keratin and

Chemical agents
A wide variety of chemicals in gas, vapor or particle form can become airborne and have
potentially adverse health effects in certain individuals. In cases where exposures are known,
personal protective equipment is available to control contact. It is the unexpected exposure in
areas where risk is not normally assumed that causes concern.

Some common chemicals of special concern include, but are not limited to, lead, radon,
formaldehyde, environmental tobacco smoke and volatile organic compounds (VOCs). VOCs
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are a broad class of chemicals containing carbon atoms that tend to give off high levels of
vapor even at room temperature. They typically are found in building materials, cleaners,
solvents, paints, gasoline and other substances.

Airborne chemicals—particles, vapors or gases—can originate from sources within a building

or enter it by several means. They enter the building on air currents or by seeking relatively
negative pressure areas. Chemicals in the soil can be tracked in and become airborne. And,
finally, the deterioration or disturbance of materials containing unwanted chemical
compounds can introduce airborne particles. For many of the materials that fall into this
category, there do exist established exposure levels for chemicals known to be dangerous
that are set by EPA (National Ambient Air Quality Standards) or OSHA regulations that apply
in the industrial workplace.

Some solvents remove the sebum. Any direct skin effects can make the surface more
vulnerable to other agents and reduce the skin's entry defences. The other form of contact
dermatitis is allergic contact dermatitis. This results from sensitising the skin by initial contact
with a substance and subsequent re-contact. A sensitizer (allergen) is a substance that can
induce a specific immunological sensitivity to itself. The initial dose may need to be quite high
and leads to a delayed-type hypersensitivity response mediated by lymphocytes and
involving antibody production. The first dose produces no visible effects but subsequent,
often minute, exposures may lead to dermatitis.

Physical agents

Physical agents which can harm the skin include weather, friction and injury.
Cold, wind and rain cause dry chapped skin, and sunlight can burn or cause skin tumours, so
occupations exposed to the elements (fishing, farming) are at risk. Friction injuries are
common in heavy manual labouring (construction and mining), and sharp equipment used in
many occupations can lead to abrasions and lacerations.

Common irritants include detergents, soaps, organic solvents, acids and alkalis. Common
sensitizers are plants (gardening), antibiotics (pharmaceutical industry), dyes (paint and
cosmetic industry), metals (nickel (usually non-industrial), and chromates (cement industry)),
rubbers and resins. People working with cutting oils can have both irritant and allergic contact
dermatitis, being irritated by the oil itself and allergic to biocides within it.

How to measure?

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Some of the tools available include electrochemical and infrared (NDIR) gas sensors
designed to identify particular gases present in industrial settings, from combustions,
emissions and other situations that could impact air quality. Photo-ionization and flame-
ionization detectors can be used to identify many VOCs that can impact IAQ.

In most cases, it is difficult to get an accurate picture of the extent of chemical contaminants
in the air using real-time data collection. It is more often a complex mix rather than individual
compounds that pose the difficult challenge. Consequently, sampling is an accepted practice
generally conducted using techniques such as filtration, absorption in another media, or
impaction.

Ergonomics
Ergonomics is about the interactions of people with the machines they operate and their
working environment. It aims to maximise human performance and to minimise discomfort,
dissatisfaction and the risk of musculoskeletal injury. Simply put, ergonomics is all about
fitting the task to the worker. If the match is poor, the best solution is to redesign the work
tasks to make them more compatible with human characteristics. It is less effective to try to
change employee characteristics, for example by improving selection and training;

A good fit between technological, organisational and human factors is clearly

a goal if good business performance is to be delivered. If these factors can be balanced
productivity will improve, resulting in a competitive advantage together with health and safety
benefits. The scope of ergonomics is therefore very wide. Some common activities where
ergonomics is important they are:
 manual handling of loads;
 tasks involving repetitive actions;
 the use of display screen equipment, such as when working with computers.

These applications of ergonomics are discussed below in more detail. In addition, ergonomics
is closely associated with the study of human errors.

Errors tend to happen when the capacity of an individual to cope with the demands of a task
or situation is exceeded. This can be caused by a poorly defined man-machine interface, by
lack of training or competence, or by psychological factors such as stress or fatigue. Errors
can result in accidents, illness or lost productivity. For that reason, in the US, ergonomics is
often called "human factors"

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Ergonomics is a multi-disciplinary field of study, which draws upon, biomechanics,
physiology, anatomy, psychology, physics, safety and engineering. It is fact based, solution
orientated and should be fully integrated into an organisation's management processes

Workplace Risk Assessment

The starting point for an evaluation of ergonomic factors is an assessment of the workplace. It
should address:
Hardware, e.g. design and layout of machine controls, ease of maintenance, and machinery
safety (guarding, interlocks etc)
Software, e.g. standard operating procedures and instructions, manuals, and computer
programs
Visual workspace, e.g. task/display design, display layout, information load, use of symbols.
Organisation, e.g. working method, job content (degree of task variety and personal control),
rate of work, satisfaction, communication, reporting, surveillance systems, management of
conflict, etc.
Physical workspace, e.g. access, clearance, seating, work position, reach, storage
arrangements, housekeeping etc.
Physical environment, e.g. temperature, noise, lighting, vibration, substances hazardous to
health, etc.
Individual characteristics, e.g. body size (anthropometry), strength, endurance, skill,
training, motivation, attitude, etc.

For detailed assessments it may be necessary to involve an ergonomist.

Ergonomists have developed ways of measuring ergonomic strain and have predictive
models for dealing with physical tasks. It is often useful to video the task being performed so
that it can be played back for analysis.

Air velocity and pressure

Volatile organic compounds (VOC) are a group of liquid gases, most of which are colorless
and odorless. VOCs react with other pollutants to form the ozone layer in low atmospheres
and create dangerous consequences. High concentrations of VOCs can cause
carcinogenesis by directly damaging the human health as well as polluting the environment.

For the determination of the volatile organic compounds in the work environment, sample(s)
are collected by the authorized personnel with the aid of a sampling pump according to the
type of the measurement. The samples reaching our laboratory are analyzed by the Gas
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Chromatograph device in accordance with the method specified in TS IS 16200-1 standard,
evaluated according to Annex-1 of the Regulation on Health and Safety Measures in Works
Related to Chemicals and reported in mg/m³ format.

Dust and measurement

Dusts are particles whose particle size is 300 microns or less and whose chemical and
physical properties resemble the structure of the material forming them and can be
suspended in the air for a long time. The airborne dust comes from chemical fumes,
biologically contaminant microorganisms, harmful gases, solvent vapors, particles suspended
in the air, and many other similar phenomena. Because of such reasons, the quantity of dust
changes continuously, and we cannot know visually how much dust there is in the workplace.
Dust measurements should be made in order to determine the exact amount of dust.

The samples required for the analysis of dust in the workplace are collected by the authorized
personnel with sampling pumps on filters with different pore diameters. The samples reaching
our laboratory are analyzed with the gravimetric analysis method in accordance with the
MDHS 14/3 standard, evaluated based on the Regulation on Dust Control and reported in
mg/m³ format.

Lighting
Lighting is the application of light on the environment and the objects to make them visible.
One of the most important priorities in creating a healthy workplace and a safe working
environment for visual work is appropriate lighting. As the intensity of illumination increases,
the details of the work done are seen more accurately, and with a resulting decrease in the
error rate, there is a high increase in the worker’s performance.

The following parameters should be taken into account to ensure appropriate lighting
conditions for employee health:

 Level of illumination in the work area

 Distribution of bright surfaces in the work area
 Size of work equipment and working objects
 How much light reflects from objects in the workplace
 Contrast ratio between the objects in the workplace and the area/background around
it
 How long it takes to notice the objects to be seen in the work environment
 Employee information

Thermal Comfort

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Thermal Comfort refers to the fact that the vast majority of workers in a workplace should
enjoy a certain level of comfort in terms of climate, i.e. appropriate temperature, humidity and
airflow conditions, while continuing their physical and mental activities. In an enclosed
environment, the thermal comfort is felt after a certain period of time. There are four factors
that influence the heat exchange with the environment.

 Temperature
 Humidity
 Air flow
 Radiant heat

KT0304 EXPLAIN WHERE THE THRESHOLD LIMITS FOR THE VARIOUS OCCUPATIONAL HYGIENE MEASUREMENTS CAN BE

OBTAINED

The threshold limit value ceiling is a guideline to assist with the control of health hazards. It is
the maximum level of exposure to a chemical substance day after day without suffering any
adverse effects.

a. Legal requirements

The Occupational Health and Safety Act places the onus on employers to ensure that the
working environment is safe and without risks to the health of their employees. In order to
accomplish this, employers must, through the services of a competent person, assess the
exposure of their employees to hazardous environmental conditions in the workplace.

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Where this assessment indicates an ongoing risk from exposure, the employer must
measure that exposure, compare the results with prescribed standards and implement the
steps that are needed to comply with the provisions of the Act. This process, which is known
as compliance monitoring, must be performed by an Approved Inspection Authority

WHAT IS AN APPROVED INSPECTION AUTHORITY (AIA)?

The Occupational Health and Safety Act, 1993 (Act No. 85 of 1993), defines an Approved
Inspection Authority as: “any person who with the aid of specialised knowledge or equipment
or after such investigations, tests, sampling or analyses as he may consider necessary, and
whether for reward or otherwise, renders a service by making special findings, purporting to
be objective findings, as to:
a. The exposure of any person
b. The safety or risk to health of any work, article, substance, plant or machinery,
or any condition prevalent on or in any premises
c. The question of whether any particular legislated standard has been or is
being complied with, with respect to any work, article, substance, plant or
machinery, or with respect to work or a condition prevalent on or in any
premises or with respect to any other matter, and by issuing a certificate,
stating such findings, to the person to whom the service is rendered.”
In terms of the Act, an inspection authority can only operate if it has been approved by the
Chief Inspector. The inspection authority approved by the Chief Inspector with respect to any
particular service shall be an Approved Inspection Authority with respect to that service only.

REASONS FOR APPROVING AIA

The Occupational Health and Safety legislation requires employers to provide an environment
that is safe and without risks to the heath of employees. To ensure this, employers have to
assess the exposure of their employees. If there is an ongoing risk, the exposure must be
measured and the results compared with the prescribed OHS standards in the OHS
legislation or international best practice where there is no prescribed standard in South Africa.

The Department of Labour has deemed it unreasonable to expect employers or health and
safety representatives to be specialists in occupational hygiene. Therefore, provision was
made for Approved Inspection Authorities to assist them in complying with certain
requirements of the Act and to recommend steps that will assist in achieving compliance and
thus ensuring a working environment that is safe and free from health risks.

It should be noted that Occupational Hygiene Inspection Authorities (AIAs) are approved by
the Department of Labour for compliance monitoring of specific occupational health hazards.
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The definition of monitoring is given in Section 4.2 of this guideline. Only compliance
monitoring carried out under the Department of Labour approval certificate are required to be
included in the six-monthly returns referred to in Section 15 of this document.

CRITERIA FOR APPROVAL

1. An inspection authority, which has the necessary competency in the field of
occupational hygiene monitoring and has the appropriate facilities and equipment,
may apply for permission to become an AIA and thereby perform the prescribed
monitoring functions.
2. The use of the term “monitoring” means more than just measuring an occupational
hygiene stress factor. It includes the:

3. Identification of workplaces which could cause or exacerbate adverse health effects

4. Measurement of prevailing conditions
5. Scientific interpretation of those measurement results
6. Evaluation of the potential impairment of health or well-being
7. Formulation of recommendations for alleviation of such problems.
8. Subject to the criteria set out below, approval will be granted only to registered
companies and not persons in their private capacity. The Occupational Hygienist/s
applying for approval on behalf of the registered company will however ultimately be
responsible and liable for the activities of the Approved Inspection Authority. Any
application for approval will, in general, be evaluated in terms of the following:

9. The organisation that is applying to be an AIA must hold a certificate of accreditation

from the South African National Accreditation System (SANAS).
10. Personnel involved in the regulated services of the AIA must be currently registered
with a professional occupational hygiene organisation recognised by the Chief
Inspector
11. Personnel involved in the regulated services of the AIA must hold a valid legal
knowledge certificate acceptable to the Department
12. The AIA must have the basic suitable monitoring and analytical equipment pertinent to
the service/s rendered
13. The AIA must have access to additional equipment that may be required for the
service/s to be rendered and a formal agreement must be in place for such equipment

14. The AIA must keep a logbook which contains calibration and maintenance schedules
and records for all relevant equipment for a period of five years

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15. The AIA must have suitably documented and controlled systems, methods and
procedures relating to the regulated services they wish to render.

PERSONNEL

1. The personnel employed by an AIA must include at least one Registered

Occupational Hygienist who is in overall control of, and responsible for, all the
regulated aspects of the Approved Inspection Authority. In addition, AIAs are
permitted to carry out occupational health risk assessments, walk-through surveys,
plan and supervise surveys, evaluate monitoring results, prepare reports, and
recommend appropriate control measures within the ambit of the scope of work for
which the AIA is authorised.
2. In addition, the AIA can employ one or more Registered Occupational Hygiene
Technologists and/or Registered Occupational Hygiene Assistants.
3. The Occupational Hygienist/s has/have the overall control of, and is responsible for,
all the regulated aspects of the Approved Inspection Authority, including mentoring of
operational staff. He or she must be a registered Occupational Hygienist and hold a
valid Legal Knowledge Certificate. Occupational Hygienists may in addition also
perform the duties of an Occupational Hygiene Technologist or Assistant.
4. An Occupational Hygiene Technologist may calibrate monitoring equipment, carry out
monitoring surveys, take measurements, analyse collected samples and prepare
monitoring reports within the ambit of the scope of work for which the AIA is
authorised. He or she must be registered as an Occupational Hygiene Technologist
and hold a valid Legal Knowledge Certificate.
5. An Occupational Hygiene Assistant may carry out similar tasks provided they are
under the direct supervision of an Occupational Hygiene Technologist or Occupational
Hygienist. He or she must be registered as an Occupational Hygiene Assistant and
must have a valid Legal Knowledge Certificate which must be obtained within six
months of registration.
6. With reference to paragraph
7. above, the ratio of an Occupational Hygienist to Occupational Hygiene Assistant
and/or Occupational Hygiene Technologist is 1:5.
8. Auxiliary staff (i.e. administrative staff) not involved in the direct occupational hygiene
work laid down in the Act and its associated codes, are not covered in this guideline.

EXAMINATION ON LEGISLATION
1. All the Occupational Hygiene personnel within the AIA must be in possession
of a valid Legal Knowledge Certificate. The Department of Labour will only

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accept Legal Knowledge Certificates that are issued by training providers
recognised by the Chief Inspector
2. People not in possession of the Legal Knowledge Certificate or who were
granted exemption will be required to write the legal knowledge certificate
exam within six months of implementation of the examination process.
3. Failure to comply with paragraph
4. will automatically suspend the operation of the person in the regulated
services of the AIA.
5. The assessment paper will be based on the contents of the Occupational
Health and Safety Act and Regulations, relevant codes of practice and
documents incorporated into the Act and Regulations, the Department of
Labour’s Requirements to become an Approved Inspection Authorities, SANS
17020 as well as OESSM. The regulations that will be in the assessment
paper will include the following:

 Environmental Regulations for the Workplace

 Asbestos Regulations
 Lead Regulations
 Regulations for Hazardous Chemical Substance
 Noise-Induced Hearing Loss Regulations
 Hazardous Biological Agents Regulations
 General Safety Regulations (confined spaces)
 Facilities regulations
 Globally Harmonised System for classification and labelling of chemicals.

ANALYTICAL SERVICES
The AIA will remain accountable for the results obtained from any analytical laboratory.
Therefore prior to using a laboratory for analytical services, the AIA must:
1. Instruct the laboratory on the specific method of analysis required.
2. Ensure the analytical laboratory has competent laboratory personnel and is making
use of nationally/ internationally acceptable standards and is accredited by SANAS in
terms of SANS 17025.
3. Appropriate analytical equipment and facilities are available for the tests required. 7.4
Ensure that an external proficiency testing scheme is used where available and where
there is no scheme available, agree on the quality assurance procedures to be
employed.
4. Have a written agreement with the analytical laboratory.
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5. Demand a certified statement from the laboratory that the given method was used and
any deviation from the method was recorded and the reason for such deviation was
motivated and the report provided shall reflect all the relevant signatories.

DOCUMENTATION
1. Approved Inspection Authorities shall, before and after their approvals, have updated
copies of the following documentation available at all times.
2. Occupational Health and Safety Act, 1993 (Act No. 85 of 1993).
3. Relevant regulations promulgated under the Occupational Health and Safety Act,
1993 (Act No. 85 of 1993).
4. Relevant health and safety standards incorporated in the regulations.
5. Relevant health and safety standards not incorporated into the regulations, which will
be used by the Approved Inspection Authority.
6. Literature relating to occupational hygiene relevant to the services offered.
7. Maintenance schedules and records of instruments.
8. Valid calibration certificates and records of all relevant instrumentation.
9. Documented quality management system in accordance with SANS 17020.
10. The personnel of the AIA shall also be familiar with their contents.

FORMAT AND CONTENT OF REPORTS

Subject to the requirements stipulated in paragraph 9, the following information must be
included in all reports:
1. Each report must have a unique identification.
2. The name and signature of the registered occupational hygienist who has the control
and is responsible for the project must be on every page of the report.
3. The page number and total pages must appear on every page (e.g. page 10 of 20).
4. Diagram of the area if monitoring was carried out, where appropriate.
5. If monitoring was not carried out over an eight (8) hour period, the reason has to be
stated.
6. If monitoring was not carried out on a statistically representative number of
employees, the reason must be stated.
7. A statement on whether the monitoring complied with relevant occupational health
standards.
8. Specific recommendations to control any identified risks should be made. This will
ensure that the employer is able to obtain assistance towards complying with the
requirements of the Act.
9. AIAs should keep clients-field notes and reports as required in the relevant
occupational hygiene regulations.

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10. An AIA may choose to store all records electronically subject to control measures that
will prevent loss of information and such records will be kept for the period specified in
the relevant occupational hygiene regulations.
11. AIA may use an electronic signature in all occupational hygiene reports subject to
strict access control measures and provisions of section 13(3)(a) of the Electronic
Communications and Transactions Act of 2002. 9.12 With reference to paragraph
9.11 above, the person responsible for the electronic signature will be liable for any
outcome that may arise should the signature be improperly used.

b. Roles of the various stakeholders in determining the levels

Safety Consultation, Participation, and Representation Participation by employees supports

risk control by encouraging their ‘ownership’ of safety and health policies. It establishes an
understanding that the organisation as a whole, and people working in it, benefit from good
safety and health performance. Pooling knowledge and experience through participation,
commitment, and involvement means that safety and health really become everybody’s
business.

The organisation’s executive board of directors or other senior management controlling body
needs to recognise its role in engaging the active participation of workers in improving safety
and health by:
 tackling actual problems, rather than being consulted after decisions have
been made;
 making workers aware of their safety and health re • actively promoting
and supporting worker participation in all aspects of the safety and health
management system;
 ensuring a safety consultation, employee participation, and representation
programme is put in place in compliance with sections 25 and 26 of the
2005 Act;
 promoting partnership for prevention, where workers and the safety
representative are involved in identifying hazards and responsibilities.

Consultation and participation arrangements and the extent of their usage will depend on the
size and complexity of the organisation. This may range from informal one-to one discussions
to a more formal safety committee which operates as set out in Schedule 4 of the 2005 Act.
At a minimum, they must address:
 procedures to be used to facilitate effective co-operation and
communication on safety and health matters between employer and
employees;
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 preparation and revision of the Safety Statement with particular reference
to the written procedures covering the role of the Safety Representative,
the operation of safety committees, or informal safety discussions by work
crews, which might take place as necessary;
 methods to be used for ensuring a balanced approach to consultation with
no one side trying to get the upper hand;
 legal requirement for consultation to be in advance and in good time of any
work that can have a substantial effect on employee safety and health.

Examples of essential consultation include:

o the introduction of new technology, equipment or chemicals and
their affect on working conditions and environment;
o the employment of competent persons and safety and health
experts to study company safety and health activities;
o the outcome of risk assessments on workplace hazards;
o appointment of persons with responsibility for emergency planning;
o safety and health information for employees and its dissemination;
o the planning and organisation of safety and health training.

In organisations where arrangements for joint decision-making exist, these arrangements

shall include the safety consultation and participation procedures in use in the organisation.

The organisation’s safety representation arrangements should:

 facilitate the selection of Safety Representatives, as appropriate, from
employees;
 provide for adequate safety and health training for employees involved in the
safety consultation and safety committee processes and for selected Safety
Representatives;
 ensure reasonable facilities are provided for Safety Representatives to make
representations to the employer on workplace safety and health matters and
to carry out other representative functions in a competent manner such as
communicating with colleagues on safety and health issues;
 set up periodic meetings between employer, the safety committee, and
Safety Representative;
 supply information on the status of previous representations;
 allow the Safety Representative to carry out workplace inspections and
investigate accidents and complaints;
 enable the Safety Representative to make representations to Health and
Safety Authority inspectors on safety and health matters;
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 permit the Safety Representative to accompany a Health and Safety
Authority inspector on a tour of inspection.

Safety Representatives and members of the safety committee, where it exists, must be
trained, in common with all employees, to enable them to make an informed contribution on
safety and health issues.

They should also have access to the positive benefits of an open communications policy and
be closely involved in supporting the safety and health effort through open discussion at
safety and health committee meetings. Effective safety committees should be involved in
planning, measuring and reviewing performance as well as in their more traditional reactive
role of considering the results of accident, ill-health, and incident investigations and other
concerns of the moment.

At all levels should be involved individually or in groups in a range of safety and health
activities. They may, for example, help set performance standards, devise operating systems,
procedures and instructions for risk control, and help in monitoring and auditing. Supervisors
and others with direct knowledge of how work is done can make important contributions to
the preparation of procedures.

Other examples of good co-operation include forming problem-solving teams from different
parts of the organisation to help solve specific problems such as issues arising from an
accident or a case of ill-health. Such initiatives should be supported by management, who
should ensure access to advice from safety and health specialists.

Opportunities to promote involvement also arise through the use of safety audit checklists,
suggestion schemes or safety discussion workgroups, where safety and health problems can
be identified and solved. These too can promote enthusiasm and draw on worker expertise. It
has to be recognised that involving employees may initially increase the potential for short-
term conflict and disagreement about what constitutes safe and healthy working. Such
conflict should be anticipated by supporting the activities of supervisors and managers with
procedures and training to establish when and how specialist advice should be obtained to
resolve problems and disputes.

It may also be helpful to identify when specific investigations should be carried out and any
circumstances in which work should be suspended. Potential conflict is likely to reduce over
time as participants develop more constructive working relationships and shared objectives.

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Training, Awareness, and Competence If employees are to make the maximum contribution
to safety and health, adequate arrangements must be in place to ensure that they have the
necessary skills to do their work safely. This means more than simply training. Experience of
applying skills and knowledge is an important ingredient and needs to be gained under
adequate supervision.

Managers should know the relevant legislation and be able to manage safety and health
effectively. All employees need to be able to work in a safe and healthy manner. It is also
necessary to check the abilities of contractors where they work close to, or in collaboration
with, direct employees. Good arrangements should include:
• recruitment and placement procedures that ensure employees (including managers)
have the necessary physical and mental abilities to do their jobs or can acquire them
through training and experience; this may require individual fitness assessments by
medical examination and tests of physical fitness or aptitudes and abilities where work-
associated risks require it;
• systems to identify safety and health training needs arising from recruitment, changes
in staff, plant, substances, technology, processes, or working practices;
• training documentation as appropriate to suit the size and activity of the organisation;
• refresher training to maintain or enhance competence, to include where necessary
contractors’ employees, self-employed people, or temporary workers who are working
in the organisation
• systems and resources to provide information, instruction, training and supporting
communications
• arrangements to ensure competent cover for staff absences, especially for staff with
critical safety and health responsibilities
• general health promotion and surveillance schemes that contribute to the maintenance
of general health and fitness; this may include assessments of fitness for work,
rehabilitation, job adaptation following injury or ill-health, or a policy on testing
employees for drugs or alcohol abuse.

Proper supervision helps to ensure the development and maintenance of competence and is
particularly necessary for those new to a job or undergoing training. The organisation should
identify its training needs and implement a training programme that takes legal requirements
on safety and health training into account (section 10 of 2005 Act). Records of training should
be maintained.

Communication Effective communication about safety and health relies on information

coming into the organisation; flowing within the organisation; and going out from the
organisation;
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Information Coming into the Organisation Good sources of safety and health intelligence are
as important in developing safety and health policy and performance as market information is
for business development. Organisations should monitor legal developments to ensure
continuing compliance with the law, technical developments relevant to risk control, and
developments in safety and health management practice.

c. Role of safety representatives and employees in ensuring that they work in safe and
healthy environments

Management should develop and incorporate into the Safety Statement a safety and health
policy that recognises that safety and health is an integral part of the organisation’s business
performance.
They should ensure that this safety and health policy:
• is appropriate to the hazards and risks of the organisation’s work activities and
includes a commitment to protect, so far as is reasonably practicable, its employees
and others, such as contractors and members of the public, from safety and health
risks associated with its activities;
• includes a commitment to comply with relevant safety and health legislation, codes of
practice and guidelines as a minimum;
• provides a framework for measuring performance and ensuring continuous
improvement by setting, auditing, and reviewing safety and health objectives and
targets.
• is documented, understood, implemented, and maintained at all levels in the
organisation;
• clearly places the management of safety and health as a prime responsibility of line
management from the most senior executive level to first-line supervisory level;
• covers employee safety and health consultation, safety committee meetings where
they exist, worker participation; and safety representation and includes a commitment
to provide appropriate resources to implement the policy;
• provides for employee co-operation and compliance with safety rules and procedures.

Effective safety and health management demands comprehensive safety and health policies
that fulfil the spirit and the letter of the law, are effectively implemented, and are considered in
all business practice and decision-making.

Organisations achieving high standards of safety and health develop policies that recognise:

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• the contribution that safety and health can make to business performance by
preserving and developing human and physical resources, by reducing costs and
liabilities, and by expressing corporate responsibility;
• the need for leaders to develop appropriate organisational structures and a culture that
supports risk control and secures the full participation of all members of the
organisation
• the requirement to resource and plan policy implementation adequately;
• the necessity of approaching injury, ill-health and loss prevention by systematically
identifying hazards, assessing and controlling risks;
• the need for the organisation to develop an understanding of risks and risk control and
to be responsive to internal and external change;
• the requirement to scrutinise and review performance to learn from experience;
• the connection between quality, the environment, safety and health, and good
management practice.

Developing a Workplace Safety and Health Policy By law, employers are obliged to plan their
overall approach to managing safety and health and must commit the necessary resources to
implement the plan. As an initial step, employers must develop a safety and health policy
which should form part of the Safety Statement. It must be specific to their organisation and
be in a written format. The content of the safety and health policy of an organisation should
be based on the hazards and risks present in the organisation and should reflect the fact that
systematic hazard identification and risk assessment have been undertaken.

As a minimum, the policy should contain a commitment that safety and health legislation will
be complied with and should specify those responsible for implementing the policy at all
levels in the organisation, including senior managers, first-line managers, and supervisors. It
should also define their safety and health responsibilities. Employees’ responsibilities should
also be addressed.

The safety and health policy should specify the organisation’s commitment to ensuring it will
manage and conduct its work activities, so far as is reasonably practicable, so as to be safe
for employees and others in its workplace, and it will not allow improper conduct or behaviour
which is likely to put safety and health at risk.

In particular, it should specify that adequate resources will be provided for critical safety and
health issues such as the: design, provision and maintenance of a safe place of work for all
employees;
• design, provision and maintenance of safe means of access to and egress from each
part of the workplace;
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• design, provision, and maintenance of any article, plant, equipment or machinery for
use at work in a safe manner;
• provision of systems of work that are planned, organised, performed, maintained or
revised, so as to be safe, particularly for safety-critical process operations or services;
• performance of ongoing hazard identification and risk assessments, and compliance
with the general principles of prevention as set out in the legislation;
• provision and maintenance of welfare facilities and PPE;
• preparation of emergency plans and the provision of first-aid training;
• reporting of accidents and dangerous occurrences to the Authority and their
investigation;
• provision and dissemination of safety and health information, instruction, training and
supervision as required;
• operation of safety and health consultation, employee participation and safety
representation programmes;
• review and keeping up-to-date the safety and health policy in order to prevent adverse
effects on the safety and health of employees from changing processes, procedures,
and conditions in the workplace;
• appointment of people responsible for keeping safety and health control systems in
place and making them aware of their responsibilities;

Establishment of monitoring arrangements, including safety and health inspections and

audits, which should be used by the employer to ensure ongoing compliance with legal
duties, responsibilities and controls;

• development of in-house safety and health competence;

• employment of external safety and health experts as required;
• use of standards, codes of practice, guidelines, or industry practices;
• co-operation required from employees and disciplinary procedures for
noncompliance.

The above list is not exhaustive and the critical safety and health issues that could be
covered by the policy will depend on the risks in the organisation. If the above issues are
adequately covered elsewhere in the Safety Statement or in the safety and health
management system, they might need only to be referred to in the safety and health policy.
Backup documentation may also be referred to in the policy.

The executive board of directors or other senior management controlling body of the
organisation needs to accept formally the contents in the safety and health policy and publicly
acknowledge its collective role in providing safety and health leadership in its organisation by:
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• committing to continuous improvement in safety and health;
• explaining the board’s expectations to senior managers and staff and how the
organisation will deliver on them;
• ensuring the safety statement is a living document, is prepared in consultation with
workers, is reviewed as conditions change, and is brought to the attention of all
workers.

3.2 PLANNING

Planning is essential for the implementation of safety and health policies. Adequate control of
risks can be achieved only through co-ordinated action by all members of the organisation.
An effective planning system for safety and health requires a safety and health management
system that:
• controls risk and as a minimum complies with safety and health laws;
• reacts to changing circumstances and demands;
• promotes and sustains a positive safety and health culture and supports continual
improvement in safety and health performance.

Initially, the organisation should:

• access and identify relevant legislation, codes of practice, and guidelines;
• monitor legal and other requirements and communicate relevant information on
these to employees.

Safety and health objectives and targets should be based on legal and other requirements.
The next step is to formulate a plan to fulfil safety and health policy, objectives, and targets.
The plan should include the following:
• setting clear performance standards;
• defining work programmes – the plan for achieving each objective; • designating
responsibilities;
• setting time frames for tasks to be completed.

A safety and health plan will help the organisation meet its legal obligations and improve its
performance. It should be reviewed and revised regularly to reflect changes in organisational
safety and health objectives

IMPLEMENTATION AND OPERATION

Structure and Responsibilities Responsibility for safety and health management ultimately
rests with the employer. This responsibility is normally delegated to executive directors,
senior managers, line managers, supervisors, and employees. Each person’s authority and
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duties should be clearly defined, documented and communicated to them. The organisational
and reporting structure for implementing these duties should be illustrated in an in-house
organisational chart.

In addition, each director on the organisation’s board needs to accept their responsibilities in
providing safety and health commitment and leadership by:
• ensuring that each member’s actions and decisions at board level always reinforce the
message in the organisation’s safety statement;
• preventing a mismatch between individual board members attitudes, behaviour or
decisions and the organisation’s safety statement so as not to undermine workers
belief in maintaining good safety and health standards.

Management Responsibilities Accidents, ill-health, and incidents are seldom random events.
They generally arise from failures of control and involve multiple contributory elements. The
immediate cause may be a human or technical failure, but such events usually arise from
organisational failings which are the responsibility of management. Successful safety and
health management systems aim to utilise the strengths of managers and other employees.

The organisation needs to understand how human factors affect safety and health
performance. Senior executive directors or other senior management controlling body
members and executive senior managers are primarily responsible for safety and health
management in the organisation.

These people need to ensure that all their decisions reflect their safety and health intentions,
as articulated in the Safety Statement which should cover:
• the appointment of someone at senior management level with executive responsibility,
accountability and authority for the development, implementation, periodic review, and
evaluation of their safety and health management system;
• the safety and health ramifications of investment in new plant, premises, processes or
products. For example such changes could introduce: — new materials – are they
toxic or flammable, do they pose new risks to employees, neighbours or the public,
and how will any new risks be controlled? — new work practices – what are the new
risks, and are managers and supervisors

competent to induct workers in the new practices? — new people – do they need safety and
health training and are they sufficiently competent to do the job safely?
• only engaging contractors to do new or ongoing projects that reinforce rather than
damage the organisation’s safety and health policies;
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• recognising their continuing responsibility for safety and health even when work is
contracted out;
• providing their customers with the necessary safety and health precautions when
supplying them with articles, substances, or services;
• being aware that although safety and health responsibilities can and should be
delegated, legal responsibility for safety and health still rests with the employer.
• Senior managers’ responsibilities should 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.
• Individual Responsibilities Managers and supervisors have direct responsibility for
the safety and health of employees and activities under their control.
• Individual employees have responsibilities for ensuring their own safety as defined by
the 2005 Act and other relevant safety and health legislation. These responsibilities
should be clearly allocated and communicated to the various duty holders. Individual
responsibilities should be stated in the organisation’s Safety Statement. They may
include providing supervision and carrying out risk assessments.

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IAC0301

Given several occupational hygiene reports covering different stressors be able to:
a. Determine the extent of legal compliance; [10]
b. Grounds for referral for professional inputs. [12]

KM-03-KT04: PRINCIPLES OF SAFE WORKING PRACTICES

IN AND AROUND THE PLACE OF WORK (INTERMEDIATE)

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

1. KT0401 Identify and explain the safety practices required for working environments.
2. KT0402 Identify and explain the health and safety practices relevant to the
machinery, tools and equipment used in work environments.
3. KT0403 Identify and explain the specific safety practices required for the range of
work activities relevant to a specific work area
4. KT0404 Identify and explain the emergency preparedness and response relevant to
work areas.

KT0401 IDENTIFY AND EXPLAIN THE SAFETY PRACTICES REQUIRED FOR WORKING ENVIRONMENTS.

Companies should establish Safe Work Practices/Safe Job Procedures for addressing
significant hazards or for dealing with circumstances that may present other significant
risks/liabilities for the company. They should reflect your company's approach to controlling
hazards.

Some regulations require employers to have written procedures/instructions for specific

activities/conditions. The number of practices/procedures and the degree of detail will depend
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on the range of work activities your company performs. It is important that management and
supervision are involved in the development of safe work practices and that they provide
adequate training for workers likely to follow these practices.

Safe work practices

Safe work practices are generally written methods outlining how to perform a task with
minimum risk to people, equipment, materials, environment, and processes.
Safe work practices should be developed as a result of completing a Hazard Assessment and
should closely reflect the activities most common in the company's type or sector of
construction.

All safe work practices should be kept in a location central to the work being performed and
readily available to the workforce. Some safe work practices will require specific job
procedures, which clearly set out in a chronological order each step in a process

Requirements for safe work practices

Work places are to be clean, orderly and in a sanitary condition to the extent that the nature
of work allows

 Floors are to be kept in a dry condition as practicable

 Fork areas, floors and passageways should be free of protruding nails, splinters, loose
boards and unnecessary holes or openings
 Aisles and passageways are to be kept clean and in good repair with no obstructions
that can cause a hazard
 Flammable liquids kept to a minimum and stored in covered metal containers
 Areas around flammable liquids should be free of any combustible materials

Keep Work Areas Neat, Organized and Safe

• Dispose of all items in the proper labelled containers
• Anything flammable should be in a metal container and labelled
• Smoke only in permitted areas
• Clean up spills immediately
• F stacking item, make sure the cannot fall or block sprinklers • Avoid food and
beverages in work area
• Never put liquids in an unlabelled container • Do not remove any safe guards on
equipment

Take Responsibility for Identifying and Eliminating Hazards

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Ever employee has a personal responsibility to:
• keep his or her own work area neat, clean, and safe
• keep any walkway or stairs clear and uncluttered
• return tools, material or supplies to its assigned place when not in use
• report anything that’s broken or not functioning properly
• report any trip hazards right away
• follow up on any safety violation you notice • read and follow MSDS

Responsibilities
It is the Supervisors’ responsibility to train or schedule training on the aforementioned
subject, to note deficiencies and see that they are corrected ASAP. It is the employees’
responsibility to seek training on the aforementioned subject, report deficiencies and see that
they are corrected ASAP. Responsibilities
It is the Supervisors’ responsibility to train or schedule training on the aforementioned subject,
to note deficiencies and see that they are corrected ASAP. It is the employees’ responsibility
to seek training on the aforementioned subject, report deficiencies and see that they are
corrected ASAP.

KT0402 IDENTIFY AND EXPLAIN THE HEALTH AND SAFETY PRACTICES RELEVANT TO THE MACHINERY, TOOLS AND

EQUIPMENT USED IN WORK ENVIRONMENTS.

Only machinery and tools that comply with the relevant requirements and are suitable for the
job at hand may be used at work. The manufacturer’s instructions must always be followed
when operating machinery or using tools. Machinery and tools must be kept in good order
throughout their useful life. The operating of machinery must also be safe for employees

General information on topic

The hazards caused by machinery at the workplace must be assessed.

The Government Decree on the Safety of Machinery (or ‘Machinery Decree’) lays down
requirements for the manufacture and design of machinery so as to comply with safety and
health requirements. The Act on the Conformity of Certain Technical Devices to Relevant
Requirements regulates the design and manufacture of some machinery and the
requirements they must comply with.
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In addition to the relevant requirements, the safety of all machinery and tools used at the
workplace must be at least at the level specified in the Occupational Safety and Health Act
and the Government Decree on the Safe Use and Inspection of Work Equipment, regardless
of how old the machine or tool is. Old machines must be upgraded to improve their safety as
technology evolves. Compliance with legislative requirements in fact mandates that many
machines currently in use must be restructured to make them safer.

The employer must ensure that employees are given tools that are safe and suitable for the
job and work circumstances at hand. The selection of tools must also take into account the
demands of the location and ergonomic requirements. The use of machinery and tools at the
workplace is provided for in the Occupational Safety and Health Act and the Government
Decree on the Safe Use and Inspection of Work Equipment (the 'Safe Use Decree').

Machinery must be serviced regularly

The employer must ensure that the machinery and tools in use are serviced and maintained
regularly in order to keep them in good and safe working order throughout their useful life.
There must be procedures in place at the workplace to fulfil this requirement.

The condition of machinery and tools must be continuously monitored through inspections,
testing, measurement and other appropriate means. The employer must employ a competent
person for managing these duties or outsource this function to an outside expert.

The employer determines the means to be used for hazard investigation and assessment
from time to time. For instance, if lifting equipment is used at a workplace, the intervals for
regular inspections of that equipment must be based on how much of a strain use puts on
each particular device. If someone at a workplace notices that the using of a particular tool
creates a hazard or causes harm to any employee, the employer must take immediate action
to remove the hazard.

Machinery must be provided with operating instructions

The seller of a machine is responsible for ensuring that operating instructions and any other
instructions are supplied with the machine. The seller of a used machine must also supply its
operating instructions to the buyer.

Requirements concerning the content of operating instructions for machines may be found for
instance in the appendix to the Machinery Decree. Operating instructions must include for
instance the following items:

• instructions on how to introduce and use the machine and, if necessary, how to train its
operators
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• information on any personal protective equipment required
• information on maintenance measures to be performed by the user
• instructions for installing, assembling and disassembling the machine.

Instructions for employees

It is the employer’s responsibility to instruct you in how to use machinery and equipment
safely. Always use machinery and equipment and their safety and protective features in
accordance with the employer’s instructions.

Ensure that you are aware of the hazards present in your workplace and all the risk factors
due to equipment in your work environment, regardless of whether you actually use that
equipment yourself.

Follow all instructions given and take all due care and diligence in using equipment.

Immediately inform the employer of any defects or shortcomings in machinery or equipment

that could cause harm or a hazard to your safety or health or that of any other employee.

If you do not know what to do or have not been instructed, ask the employer.

Instructions for employer

The employer’s responsibilities regarding machinery safety at the workplace are shown in the
enclosed figure.

Ensuring safety in the workplace

Employer is responsible for acquisition and installation

The employer is responsible for ensuring that equipment given to employees to use at the
workplace is safe if appropriately used, in compliance with the relevant requirements and
suitable for the work and working conditions at hand.
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In practical terms, this means that the employer must ensure of every machine that it is
correctly installed and in working order before it is taken into production use.

Equipment hazards must be established

The employer must systematically investigate and assess the safety of machinery and
equipment. Machinery safety must also always be assessed whenever production procedures
or work practices are changed.

Safety assessment should focus on hazards and harmful impacts in work and working
conditions caused by:

• the item of equipment itself or its moving parts,

• external structures,
• physical and chemical properties,
• automatic functions, or
• electricity.

In the risk assessment of machinery and equipment, the employer may find it useful to
consult the SFS-EN ISO 120100 standard (Safety of machinery) and the SFS-ISO/TR 14121-
2 technical report (Safety of machinery – Risk assessment – Practical guidance and
examples of methods).

Instruction for minimisation and elimination of risks

If, in the investigation and assessment of the hazards caused by a machine, it is found that
using the machine creates a hazard or causes harm to any employee, the employer must
take immediate action to eliminate the hazard or harmful impact.

A three-step procedure and hierarchy should be employed in eliminating or minimising risks:

1. Eliminate risks through safety planning and structural means.

2. If risks cannot be eliminated or sufficiently minimised through safety planning and
structural means, introduce protective technology.
3. Other safety measures such as instructions, warnings, training and personal
protective equipment should only be introduced if the risks cannot be eliminated.

Employer’s responsibilities in the operating of machinery

The employer must provide employees with training and guidance particularly in the use of
machinery and equipment, specifically:

• correct and safe use,

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• installation,
• introduction,
• settings, adjustments, troubleshooting and testing as necessary,
• avoiding foreseeable incorrect use (if the hazard cannot be otherwise eliminated),
• repairs and maintenance, and
• disassembly and removing from service.

The employer must ensure that employees know how to comply with the instructions given.
The employer must also ensure that every machine is used for the purpose and under the
conditions specified by the manufacturer.

The employer must further ensure that the operating and maintenance instructions for each
machine and piece of equipment are available to employees. The employer must constantly
monitor the safety and working condition of the workplace and the machinery and equipment
used there through inspections, testing, measurements and other appropriate means.

Ensuring that machinery is in working order

The employer must ensure that every machine is in good working order throughout its useful
life through regular maintenance and service and by ensuring the faultless operation of
guidance systems and safety features.

The employer must have a maintenance system that describes the procedures for keeping
the machinery and equipment at the workplace in safe working order.

The employer must also provide for the commissioning inspection, periodic inspections and
comprehensive inspections of the machinery and equipment listed in the appendix to the Safe
Use Decree. Such inspections may only be performed by an authorised expert or expert body

Electricity supply
1. Where machinery has an electricity supply, it should be designed, constructed and
equipped in such a way that all hazards of an electrical nature are or can be
prevented, in accordance with national law and practice.
2. Static electricity
3. Machinery should be designed and constructed to prevent or limit the build-up of
potentially dangerous electrostatic charges and be fitted with a discharging system.
4. Energy supply other than electricity

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5. . Where machinery is powered by sources of energy other than electricity, it should be
so designed, constructed and equipped as to prevent all potential risks associated
with such sources of energy.
6. Errors in fitting
7. Errors likely to be made when fitting or refitting certain parts which could be a source
of risk should be precluded by the design and construction of the parts or, failing this,
information explaining how to fit them correctly should be provided on the parts
themselves and their housings. The same information should be provided on moving
parts and their housings where the direction of movement needs to be known in order
to prevent a risk.
8. Where necessary, the instructions for use should give further information on these
risks.

Safety and health in the use of machinery

1. Where a faulty connection can be a source of risk, the design should make it
impossible to connect parts incorrectly; failing this, information should be provided on
the items to be connected and, where appropriate, on the means of connection.
2. Extreme temperatures
3. . Steps should be taken to eliminate any risk of injury arising from contact with, or
proximity to, machinery parts or materials at very high or very low temperatures.
4. . The necessary steps should also be taken to avoid or protect against the risk of very
hot or very cold material being ejected.

Effect of climate
. When machinery is used in very high ambient temperatures and/or humidity (such as in
tropical or subtropical regions) or in very low ambient temperatures, consideration in the
design of machinery should be given to the following aspects:
(a) the effect of extreme heat, cold and humidity on machinery;
(b) the acceptability of PPE and the effect of climate on the
protection provided by such equipment;
(c) the effect of high and low ambient temperatures on workers in
terms of fatigue;
(d) the effect of high levels of sunlight;
(e) heat stress problems in non-acclimatized personnel, particularly
when the use of PPE is necessary;
(f) the effect of climate on the stability of chemical substances
used for operating machinery; and
(g) the effect of climate on equipment operation and maintenance

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Machinery guarding and protection against other hazards
Occupational exposure limits originally developed and established in temperate climates
should be applied with extreme caution in tropical areas because of the different ambient
climatic conditions.

Fire
Machinery should be designed and constructed in such a way as to prevent any risk of fire or
overheating posed by the machinery itself or by gases, liquids, dust, vapours or other
substances produced or used by the machinery.

Explosion
Machinery should be designed and constructed in such a way as to prevent any risk of
explosion posed by the machinery itself or by gases, liquids, dust, vapours or other
substances produced or used by the machinery.
6.8.2. Where machinery is intended for use in a potentially explosive atmosphere, it should
be designed and manufactured to exclude or minimize ignition sources and comply with any
national laws and standards applicable to explosive atmospheres.

Noise
• Machinery should be designed and constructed in such a way that risks resulting
from the emission of airborne noise are eliminated or reduced to the lowest possible
level, taking account of technical progress and the availability of means of reducing
noise, in particular at source.
• Where applicable, information should be supplied with the machinery on noise
emissions, as required by national laws and standards, and on any additional safety
precautions required. If this advice Safety and health in the use of machinery is
incomplete, the employer should seek further information from the supplier, and if
necessary arrange for competent persons to undertake measurements in
accordance with nationally and internationally recognized standards.
• The level of noise to which workers are exposed should not exceed the limits
established by the competent authority or under internationally recognized
standards. Noise measurements should be used to quantify the level of exposure of
workers and compared to nationally or internationally agreed exposure limits.

As regards noise reduction, employers should give consideration to the following, normally
referred to as a hearing conservation programme:
1. the appropriate choice of machinery which emits the least
amount of noise, taking account of the work to be done;
2. Noise reduction by technical means:
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I. Reducing airborne noise, for example with shields, enclosures or sound absorbent
coverings;
II. Reducing structure-borne noise, for example with damping or isolation;
(c) Alternative working methods that require less exposure to noise;
(d) The design and layout of workplaces and workstations;
(e) Organization of work to reduce noise:
(i) Limitation of duration and intensity of exposure; and
(ii) Appropriate work schedules with adequate rest periods;
(f) Appropriate maintenance programmes for machinery, the workplace and workplace
systems

Machinery guarding and protection against other hazards

(g) adequate information and training to instruct workers in the use and maintenance of
machinery to minimize noise emission. Workers who may be exposed to noise levels above
agreed levels should receive regular audiometric testing, in accordance with national laws
and practice, and employers should ensure that workers in noisy environments are informed
of the results of the testing.

If the risks arising from worker exposure to noise cannot be prevented by other means such
as elimination or engineering control, appropriate, properly fitting personal hearing protectors
should be made available for workers to use at no cost. The provision and use of hearing
protection may be mandatory in conditions specified by national laws and standards.

Vibration
 Machinery should be designed and constructed in such a way that risks resulting from
whole-body and hand-transmitted vibration produced by the machinery are reduced to
the lowest possible level, taking account of technical progress and the availability of
means of reducing vibration, in particular at source.
 The level of vibration and duration of exposure should not exceed the limits
established by national laws and standards or internationally recognized standards.
Vibration measurements should be used to quantify the level of exposures of workers
and compared to nationally or internationally agreed exposure limits.
 The manufacturer of the machinery should provide information in the relevant
instruction handbook concerning vibration transmitted by the machinery to the
operator’s hands, arms or whole body; the instructions should include information
relating to the aspects of installation, assembly and use that can reduce exposure to
vibration.

Safety and health in the use of machinery

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On the basis of the risk assessment, employers should establish and implement a
programme of technical and organizational measures intended to minimize exposure to
mechanical vibration and its associated potential risks, taking into account in particular:

a) alternative working methods that require less exposure to mechanical vibration;

b) the choice of machinery with an appropriate ergonomic design that takes into account
the kind of work to be done and produces the least possible vibration;
c) the provision of auxiliary equipment that reduces the risk of injuries caused by
vibration, such as seats that effectively reduce whole body vibration and handles
which reduce the vibration transmitted to the hand–arm system;
d) appropriate maintenance programmes for the machinery, the workplace and
workplace systems;
e) the design and layout of workplaces and workstations;
f) adequate information and training to instruct workers in the correct and safe use of
machinery in order to minimize their exposure to mechanical vibration; measures to
limit the duration and intensity of exposure;
g) appropriate work schedules with adequate rest periods; and the provision of clothing
to protect exposed workers from cold and damp, which can exacerbate the effect of
vibration
Ionizing and non-ionizing radiation arising from the machinery
• Radiation emissions that are not essential to the functioning of the machinery should
be eliminated, or reduced to levels that Machinery guarding and protection against
other hazards
• do not have adverse effects on workers as determined by a competent person, in
accordance with national law and standards.
• Any functional ionizing radiation emissions should be limited to the lowest level
sufficient for the proper functioning of the machinery during maintenance and use.
Where a risk exists, the necessary protective measures should be taken.
• Any functional non-ionizing radiation emissions during maintenance and use should
be limited to levels that do not have adverse effects on workers.
• . Machinery should be designed and constructed in such a way as to prevent any
accidental emission of radiation.
• . The level of exposure of workers to ionizing radiation should be assessed, and the
health of the workers should be monitored, in accordance with national law and
practice.
• When appropriate, the level of exposure of workers to nonionizing radiation and its
impact on their health should be assessed in accordance with national law and
practice.

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6.12. External radiation
• Machinery should be designed and constructed in such a way that external radiation
does not interfere with its operation.
• Laser radiation
• . Where laser equipment is used, the following should be taken into account: (a)
laser equipment fitted on machinery should be designed and constructed in such a
way as to prevent any accidental emission of radiation;

Safety and health in the use of machinery

Laser equipment fitted on machinery should be protected in such a way that effective
radiation, radiation produced by reflection or diffusion, and secondary radiation do not
damage health; and optical equipment for the observation or adjustment of laser equipment
fitted on machinery should be designed and fitted so as to prevent any health risk arising from
the laser radiation.

Emissions of hazardous materials and substances

• Machinery should be designed and constructed in such a way as to prevent any
risks of inhalation, ingestion or contact with hazardous materials and substances
(including penetration of such materials and substances through skin, eyes or
mucous membranes) which it produces.
• Where a hazard cannot be eliminated, the machinery should be so equipped that
hazardous materials and substances can be contained, evacuated, ventilated,
precipitated by water spraying, filtered, or treated by some other equally effective
method.
• Where the process is not completely enclosed during normal operation of the
machinery, containment, ventilation and evacuation devices should be designed,
maintained and positioned in such a way as to have the maximum effect.
• Where the hazardous material has been collected and contained, the workers
exposed should be protected from its hazardous effects.

. Risk of being trapped in machinery

1. Machinery should be designed, constructed or fitted with a means of preventing a
worker from being enclosed within it or, if that is not possible, with a means of
summoning help. 6.16. Risk of slipping, tripping or falling
2. Parts of machinery on which workers are likely to move about or stand should be
designed and constructed in such a way as to prevent workers from slipping, tripping
or falling on or off these parts

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3. Where appropriate, such parts should be fitted with handholds that are fixed close to
the operator to enable him or her to maintain stability.
4. Where fall PPE is used for maintenance, it should be appropriate for the purpose and
anchor points should be provided in accordance with national law and practice.

Lightning
 Machinery in need of protection against the effects of lightning when in use should be
fitted with a system for conducting the electrical charge to earth.
 Access to operating positions and servicing points
 Machinery should be designed and constructed in such a way as to allow safe access
to all areas where intervention is necessary during operation, adjustment and
maintenance.
 Isolation of energy sources
 Machinery should be fitted with a means to disconnect and isolate it from all energy
sources. Such isolators should be clearly identified. They should be capable of being
locked in the off position if reconnection could endanger workers. Isolators should also
be capable of being locked in the off position if an operator is unable to check that the
energy is still cut off because of inaccessibility of areas that require checking or
because workers are unable to view them from a different Safety and health in the use
of machinery part of the access area.
 The employer should identify and implement specific procedures for the control of
hazardous energy. These procedures should include preparation for shut-down, lock-
out or tag-out, a permit to-work system, and verification of isolation, as part of a formal
management system. After the energy is cut off, it should be possible to dissipate
normally any energy remaining or stored in the circuits of the machinery without risk to
workers.
 As an exception to the requirement laid down in
 certain circuits may remain connected to their energy sources in order, for example, to
hold parts, to protect information, and to light interiors. In this case, special steps
should be taken to ensure worker safety.
 Worker intervention
 Machinery should be designed, constructed and equipped in such a way that the need
for worker intervention is limited. If worker intervention cannot be avoided, it should be
possible to carry it out easily and safely.

Cleaning of internal parts

Machinery should be designed and constructed in such a way that it is possible to clean
internal parts which have contained hazardous substances or preparations without entering
them; any necessary unblocking should also be possible from the outside. If it is impossible to
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avoid entering the machinery, it should be designed and constructed in such a way as to
allow cleaning to take place safely

KT0403 IDENTIFY AND EXPLAIN THE SPECIFIC SAFETY PRACTICES REQUIRED FOR THE RANGE OF WORK ACTIVITIES

RELEVANT TO A SPECIFIC WORK AREA.

One of the biggest issues facing employers today is the safety of their employees. Workplace
accidents are increasingly common. Organizations have a moral responsibility to ensure the
safety and well-being of their members. Organizational practices that promote safety can also
help a company establish competitive advantage by reducing costs and complying with safety
laws.

Workplace safety can be quite expensive. Unintentional injuries alone cost more than R146.6
billion per year for medical and insurance costs, workers' compensation, survivor benefits,
lost wages, damaged equipment and materials, production delays, other workers' time
losses, selection and training costs for replacement workers, and accident reporting.

State and federal governments strictly regulate organizational safety practices. The
government views safety violations very seriously, and the penalties for violating safety laws

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can be quite severe. In addition to being issued large fines, employers who violate safety
regulations can be held liable for criminal charges. The following examples illustrate the types
of penalties associated with such violations:

OSHA conducts inspections based on the following priority classifications, which are listed in
order of importance:

1. Imminent danger. OSHA gives top priority to workplace situations that present an
"imminent danger" of death or serious injury to employees. The company must take
immediate corrective action.
2. Fatality or catastrophe investigations. The second highest priority is given to sites that
have experienced an accident that has caused at least one employee to die or three
or more to be hospitalized. Employers must report these events within 8 hours. The
inspection aims to determine the cause of the accident and whether any violation of
OSHA standards contributed to it.
3. Employee complaint investigations. OSHA responds third to employee complaints
about hazards or violations. The speed with which OSHA responds depends on the
seriousness of the complaint. Employees may request to remain anonymous.
4. Referrals from other sources. Consideration is given to referrals of hazard information
from federal, state and local agencies, individuals, organizations, and the media.
5. Follow-ups. OSHA sometimes will return to verify that violations have been corrected.
6. General programmed inspections. OSHA will also inspect an organization if it is a
high-hazard industry or has a lost workday injury rate that is above the national norm
for that industry.

SAFETY AUDITS

Because employees who "know better" often continue to engage in accident-causing

behavior, many employers have redirected their focus from accident prevention to the
prevention of unsafe acts that could lead to an accident. To do so, firms conduct safety
audits. A safety committee or supervisors who observe employees on the job and correct
unsafe behaviors generally conduct such audits.

Each employee should be monitored according to a planned schedule, generally on a weekly

basis, as follows:

STEP 1: OBSERVATION.

Stop in the work area for a few moments and observe worker's activities, looking for both safe
and unsafe practices. Use the following guide:

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 Be alert to unsafe practices that the employee corrects immediately upon seeing you
enter the area (putting on protective equipment, such as gloves or goggles).
 Note whether appropriate protective clothing is being worn.
 Observe how employees use tools.
 Scrutinize the safety of the work area. For instance, is the floor slippery?
 Determine whether rules, procedures, and operating instructions are being followed.

STEP 2: EMPLOYEE DISCUSSION.

These discussions should help employees recognize and correct their unsafe acts. When
engaging in them, adhere to the following advice:

 If you spot an unsafe act, be non-confrontational. Point out the violation and ask the
worker to state what he or she was doing and what safety-related consequences may
arise if such behavior continues. Your goal is to help, not blame. Audits should not
result in disciplinary actions unless an individual consistently violates safety rules.
 As you observe your employees, encourage them to discuss any safety concerns they
may have and ask them to offer any ideas for safety improvement.
 Commend any good performance that you observe.

STEP 3: RECORDING AND FOLLOW-UP.

Findings should be recorded in writing. Pursue any item discussed during the audit that
requires follow-up.

Accident investigations determine accident causes so that changes can be made to prevent
the future occurrence of similar accidents. "Near misses" should also be investigated so that
problems can be corrected before serious accidents occur. Supervisors always play a key
role in accident investigations. For minor accidents, investigation may be limited to the
supervisor meeting with the injured worker and filing a report. In large-scale investigations,
the supervisor is usually part of a team of experts, which may also include an engineer,
maintenance supervisor, upper-level manager, and/or safety professional.

Accident investigations should be performed in the following manner. When an accident

occurs, the investigator's first responsibility is to ensure the safety of all employees by:

 making sure the injured are cared for and receive medical attention, if necessary;
 guarding against a more dangerous secondary event by removing danger sources
and evacuating other personnel from the area if necessary; and
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 restricting access to the area so no one else will be harmed, and so the scene will not
be disturbed.

You should then begin an investigation to identify both the immediate and underlying causes
of the accident. The immediate cause is the event that directly led to the accident, such as a
slippery floor, failure to wear safety gear, or failure to follow proper procedures.

Immediate causes, while easily found, are not always very helpful in suggesting how future
incidents of this nature can be avoided. To accomplish this aim, the investigator must
discover the underlying cause of the accident. For example, suppose a worker slips and falls
on spilled oil. The oil on the floor is the immediate cause of the accident, but you need to
know why it was not cleaned up and why a machine was leaking oil in the first place. Poor
training, lack of rule enforcement, low safety awareness, poor maintenance, or crowded work
areas commonly underlie accidents.

The investigator should ensure the accident scene is kept intact until the investigation is
finished, as this will be the only chance to view the scene exactly as it was at the time of the
accident. If a camera is available, photographs of the scene should be taken. Nothing related
to the incident should be destroyed or discarded. The investigator should inspect the location
(e.g., check for chemicals, broken pieces of machinery) and interview injured or affected
workers, eyewitnesses, and anyone else who may be familiar with the accident area.
Interviews should be conducted immediately, while the incident is still fresh in everyone's
mind. Individuals should give their own account of the incident; by letting them tell their
stories without interruption, the investigator can determine if the various responses
corroborate one another. Continue asking why until the underlying causes surface. Once the
causes are identified, the investigator should recommend any changes indicated by the
findings.

Safety committees often oversee organizations' safety functions. Consisting of both

management and non-management personnel, committees perform the following tasks:

1. Assist with inspections and accident investigations.

2. Conduct safety meetings.
3. Answer workers' questions about safety programs.
4. Bring workers' safety concerns to management's attention.
5. Help develop safety incentive programs.
6. Develop ideas to improve workplace safety.
7. Prepare evacuation plans.

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8. Prepare procedures for disasters such as tornadoes, hurricanes, etc. and contingency
plans following the disaster.

Safety in the workplace works most effectively with a combination of employer attentiveness
and employee responsibility. Costs, both financial and physical, can be decreased and
injuries reduced with proper training, employer involvement and company-wide adherence to
OSHA rules and guidelines. Ensuring safety is important for not only each individual company
and worksite, but for industries and national concerns as well.

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KT0404 IDENTIFY AND EXPLAIN THE EMERGENCY PREPAREDNESS AND RESPONSE RELEVANT TO WORK AREAS.

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:
 Floods,
 Hurricanes,
 Tornadoes,
 Fires,
 Toxic gas releases,
 Chemical spills,
 Radiological accidents,
 Explosions,
 Civil disturbances, and
 Workplace violence resulting in bodily harm and trauma.

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.

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

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.

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What should your emergency action plan include?

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

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;

 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

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 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.

How do you alert employees to an emergency?

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 canter 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.

 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

How do you develop an evacuation policy and procedures?

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

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

 Conditions under which an evacuation would be necessary;

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 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.

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 or television, listen to newscasts 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.

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
more sound 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.

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
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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.

How do you establish evacuation routes and exits?

When preparing your emergency action plan, designate primary and secondary
evacuation routes and exits. To the extent possible under the conditions, ensure that
evacuation routes and emergency exits meet the following conditions:
 Clearly marked and well lit;
 Wide enough to accommodate the number of evacuating personnel;
 Unobstructed and clear of debris at all times; and
 Unlikely to expose evacuating personnel to additional hazards.

If you prepare drawings that show evacuation routes and exits, post them prominently
for all employees to see.

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How do you account for employees after an evacuation?

Accounting for all employees following an evacuation is critical. Confusion in the

assembly areas can lead to delays in rescuing anyone trapped in the building, or
unnecessary and dangerous search-and-rescue operations. To ensure the fastest,
most accurate accountability of your employees, you may want to consider including
these steps in your emergency action plan:
 Designate assembly areas where employees should gather after evacuating;
 Take a head count after the evacuation. Identify the names and last known
locations of anyone not accounted for and pass them to the official in charge;
 Establish a method for accounting for non-employees such as suppliers and
customers; and
 Establish procedures for further evacuation in case the incident expands. This
may consist of sending employees home by normal means or providing them with
transportation to an offsite location.

How should you plan for rescue operations?

It takes more than just willing hands to save lives. Untrained individuals may endanger
themselves and those they are trying to rescue. For this reason, it is generally wise to
leave rescue work to those who are trained, equipped, and certified to conduct
rescues.

If you have operations that take place in permit-required confined spaces, you may
want your emergency action plan to include rescue procedures that specifically
address entry into each confined space. (See also OSHA Publication 3138, Permit-
Required Confined Spaces, and the National Institute for Occupational Safety and
Health (NIOSH) Publication 80-106, Criteria for a Recommended Standard...Working
in Confined Spaces.)

What medical assistance should you provide during an emergency?

If your company does not have a formal medical program, you may want to
investigate ways to provide medical and first-aid services. If medical facilities are
available near your worksite, you can make arrangements for them to handle
emergency cases. Provide your employees with a written emergency medical
procedure to minimize confusion during an emergency.

If an infirmary, clinic, or hospital is not close to your workplace, ensure that onsite
person(s) have adequate training in first aid. The Red Cross, some insurance
providers, local safety councils, fire departments, or other resources may be able to
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provide this training. Treatment of a serious injury should begin within 3 to 4 minutes
of the accident.

Consult with a physician to order appropriate first-aid supplies for emergencies.

Medical personnel must be accessible to provide advice and consultation in resolving
health problems that occur in the workplace. Establish a relationship with a local
ambulance service so transportation is readily available for emergencies.

What role should employees play in your emergency action plan?

The best emergency action plans include employees in the planning process, specify
what employees should do during an emergency, and ensure that employees receive
proper training for emergencies.

When you include your employees in your planning, encourage them to offer
suggestions about potential hazards, worst-case scenarios, and proper emergency
responses. After you develop the plan, review it with your employees to make sure
everyone knows what to do before, during and after an emergency.
Keep a copy of your emergency action plan in a convenient location where employees
can get to it or provide all employees a copy. If you have 10 or fewer employees, you
may communicate your plan orally.

What employee information should your plan include?

In the event of an emergency, it could be important to have ready access to important
personal information about your employees. This includes their home telephone
numbers, the names and telephone numbers of their next of kin, and medical
information.

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:
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 Individual roles and responsibilities;
 Threats, hazards, and protective actions;
 Notification, warning, and communications procedures;
 Means for locating family members in an emergency;
 Emergency response procedures;
 Evacuation, shelter, and accountability procedures;
 Location and use of common emergency equipment; and
 Emergency shutdown procedures.

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.

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

Emergency Response

Emergency response team members should be thoroughly trained for potential crises and
physically capable of carrying out their duties. Team members need to know about toxic
hazards in the workplace and be able to judge when to evacuate personnel or when to rely on
outside help (e.g., when a fire is too large to handle). One or more teams must be trained in:
 Use of various types of fire extinguishers.
 First aid, including cardiopulmonary resuscitation (CPR) and self-contained
breathing apparatus (SCBA).
 Requirements of the OSHA bloodborne pathogens standard. • Shutdown
procedures.
 Chemical spill control procedures.
 Search and emergency rescue procedures.
 Hazardous materials emergency response.

Response Activities Effective emergency communication is vital. An alternate area for a

communications canter other than management offices should be established in the plans,
and the emergency response coordinator should operate from this canter. Management
should provide emergency alarms and ensure that employees know how to report
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emergencies. An updated list of key personnel and off-duty telephone numbers should be
maintained.

unknown atmospheres with inadequate oxygen or toxic gases, fires, live electrical wiring, or
similar emergencies need appropriate personal protective equipment.
Medical Assistance First aid must be available within 3 to 4 minutes of an emergency.
Worksites more than 3 to 4 minutes from an infirmary, clinic, or hospital should have at least
one person on-site trained in first aid (available all shifts), have medical personnel readily
available for advice and consultation, and develop written emergency medical procedures.

It is essential that first aid supplies are available to the trained first aid providers, that
emergency phone numbers are placed in conspicuous places near or on telephones, and
prearranged ambulance services for any emergency are available. It may help to coordinate
an emergency action plan with the outsider responders such as the fire department, hospital
emergency room, EMS providers and local HAZMAT teams.

Review your plan with all your employees and consider requiring annual training in the plan.
Also offer training when you do the following:
 Develop your initial plan;
 Hire new employees;
 Introduce new equipment, materials, or processes into the workplace that affect
evacuation routes;
 Change the layout or design of the facility; and
 Revise or update your emergency procedures. No matter what kind of business
you run, you could potentially face an emergency involving hazardous materials
such as flammable, explosive, toxic, noxious, corrosive, biological, oxidizable, or
radioactive substances.

The source of the hazardous substances could be external, such as a local chemical plant
that catches on fire or an oil truck that overturns on a nearby freeway. The source may be
within your physical plant. Regardless of the source, these events could have a direct impact
on your employees and your business and should be addressed by your emergency action
plan.

If you use or store hazardous substances at your worksite, you face an increased risk of an
emergency involving hazardous materials and should address this possibility in your
emergency action plan. OSHA’s Hazard Communication Standard requires employers who
use hazardous chemicals to inventory them, keep the manufacturer-supplied Material Safety
Data Sheets (MSDSs) for them in a place accessible to workers, label containers of these
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chemicals with their hazards, and train employees in ways to protect themselves against
those hazards.

A good way to start is to determine from your hazardous chemical inventory what hazardous
chemicals you use and to gather the MSDSs for the chemicals. MSDSs describe the hazards
that a chemical may present, list the precautions to take when handling, storing, or using the
substance, and outline emergency and first-aid procedures

What special equipment should you provide for emergencies?

Your employees may need personal protective equipment to evacuate during an emergency.
Personal protective equipment must be based on the potential hazards in the workplace.
Assess your workplace to determine potential hazards and the appropriate controls and
protective equipment for those hazards. Personal protective equipment may include items
such as the following:
 Safety glasses, goggles, or face shields for eye protection;
 Hard hats and safety shoes for head and foot protection;
 Proper respirators;
 Chemical suits, gloves, hoods, and boots for body protection from chemicals;
 Special body protection for abnormal environmental conditions such as extreme
temperatures; and
 Any other special equipment or warning devices necessary for hazards unique to
your worksite.

IAC0401
Given various scenarios of safe and unsafe acts and work conditions with different
practices being applied be able to:
a. Identify correct safe work practices
b. identify equipment that is unsafe or defective
c. Identify relevant emergency preparedness responses

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KM-03-KT05: CRITERIA AND STANDARDS FOR EFFECTIVE

DOCUMENTATION AND DOCUMENT CONTROL

On completion of this section you will be able to understand the criteria and standards for
effective documentation and document control

1. KT0501 Explain the document and record classification process for Occupational
Health and Statutory documentation and records (Long retention period); b.
Confidential documents and records; c. Resources and reference material; d. Other
media (manuals, DVDs drawings etc.)
2. KT0502 Describe the principles for record keeping and archiving documents.
3. KT0503 Describe the principles for backup and retention of critical documents and
records. a. Retention periods; b. Review and updates; c. Disposals (NQF Level: 4)
4. KT0504. Explain the principles of document and record security: a. Statutory
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Rights Reserved b. Classified documents; c. Unclassified documents. d. Access
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control; e. Physical security

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KT0501 EXPLAIN THE DOCUMENT AND RECORD CLASSIFICATION PROCESS FOR OCCUPATIONAL HEALTH AND STATUTORY

DOCUMENTATION AND RECORDS (LONG RETENTION PERIOD

In order to comply with its legal obligations concerning the security of personal information
under the Data Protection Act 1998 (DPA), and to protect its interests in respect of business
sensitive information, Companies should ensure that documents and records containing such
information are kept appropriately.

Confidential documents and records

Occupational health practitioners must make themselves aware of specific legislation that
covers employee rights when dealing with patient data
Occupational health advisers are required to keep a range of records in order to

 provide a baseline for the health status of staff and identify those with special health
needs;

 provide an effective workplace health surveillance system;

 identify patterns of ill health and work areas with specific risk;

 help management in its responsibility for the notification of accidents and ill health, as
well as for medical examinations required by law;

 report on staff health problems; and

 monitor the use and effectiveness of the occupational health service

 The role of the occupational health service and the nature of the information held
mean that there are extensive legal obligations surrounding the collection, use,
disclosure and retention of records.
 There are two main components to occupational health records: transferable
information and the confidential clinical record. Transferable information will generally
be accessible to the employee, management, enforcing authorities (such as the
Health and Safety Executive) and safety representatives. It will include basic
information relating to employment, any history of reported exposure to hazards and
other relevant information – particularly that relating to types and dates of
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immunisation, diagnostic tests and accidents at work, and environmental monitoring
data.

o The confidential clinical record is personal to the employee and keeps

information about the health of a member of staff during employment,
including:

 an occupational health questionnaire completed by the employee concerned;

 any subsequent clinical information;

 details of any biological monitoring or clinical examinations; and

 relevant correspondence and details of any health surveillance carried out, or

personal monitoring stemming from environmental factors.
 The clinical record will be “sensitive personal data” for the purposes of the Data
Protection Act 1998 (DPA) and as such cannot be processed without the consent of
the employee.
 No confidential information from the clinical record should be passed to any other
person outside the occupational health services without the written consent of the
employee concerned, unless the disclosure is a requirement

 imposed by a judge or court of law;

 to satisfy specific legislative requirements; or

 due to someone exercising statutory powers that enable him or her to receive such
information.

Occupational health records should be stored in a secure system and the confidential
information should only be accessible by staff within the occupational health
department.
An employee can make a data subject access request (DSAR) in order to obtain
personal data held about them by their employer under s.7 of the DPA, which can
include data relating to their health or medical records. However, an employer will not
be required to disclose such data in response to a DSAR if disclosure would be likely
to cause serious harm to the physical or mental health of the employee or any other
person.

Retention of records

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Occupational health records may be crucial in legal proceedings, which can take place years
after the employee has left the company. Health and safety legislation emphasises the
importance of retaining OH records for as long as possible, with the transferable information
being kept for a minimum of 40 years after the date of the last entry, or longer if required by
law. There are, for example, specific requirements under the Control of Asbestos at Work
Regulations 1987 and the Control of Substances Hazardous to Health Regulations 1988.

Access to Medical Reports Act

An employer may wish to obtain a medical report in respect of an employee or prospective

employee for a variety of purposes, including a general pre-employment check, as a
prerequisite to membership of any benefit schemes, in the context of absence management,
or to help determine if there are any reasonable adjustments that might help a disabled
employee to do their job or avoid workplace disadvantages.

If OH needs to get a report from an employee’s GP or specialist, it is necessary to get the

consent of the employee. The Access to Medical Reports Act 1988 (AMRA) provides
individuals in some circumstances with a right to see a copy of a medical report produced in
connection with employment or insurance purposes, as well as a right to prevent its
disclosure to the employer or insurer

c. Resources and reference material

Reference materials are various sources that provide background information or quick facts
on any given topic

OHS uses reference materials which includes interpretations and directives, white papers,
guidance documents, how-to guides, and more!

d.Other media (manuals, DVDs drawings etc

The Media is the most used source of work health and safety information for
employers and sole traders operating in the Agriculture, forestry and fishing and
Accommodation and food services industries. The most common source from which
something was learnt about work health and safety for South African business owners
(employers and sole traders) was the Media. The most common sources for South
African workers were

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Training courses and the Media. For employers in priority industries there was a great
deal of variation in how they learnt about work health and safety. Industry pamphlets
and newsletters, the Media and the Internet were commonly utilised. Across the
priority industries the most common source of learning about work health and safety
for workers was Training courses.

Training courses have been a popular source of learning about work health and safety
for workers overall over the past years. The Media has consistently been an important
source of work health and safety information for all worker. Since 2010, the Internet
has become an increasingly popular method of learning about work health and safety.
In 2014 employers indicated that they either provided their workers with information or
notified workers about work health and safety policies and procedures through walks
around the workplace alone or with other managers through informal communication
with workers and during meetings on work health and safety with management and
through notice boards.

employers most commonly provided to their workers or workers obtained work health
and safety information during a walk around the workplace either alone or with
managers and through informal communication with work mates about work health
and safety. Employers commonly provided information about work health and safety
to part-time/ casual workers and full-time workers. One third of employers indicated
that they provided work health and safety information to contractors/ sub-contractors.
Employers operating in Construction and Transport, postal and warehousing were
more likely to provide information to contractors/ subcontractors and to apprentices/
trainees than employers operating in the other priority industries.

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KT0502 DESCRIBE THE PRINCIPLES FOR RECORD KEEPING AND ARCHIVING DOCUMENTS.

The overall principles of record-keeping, whether you are writing by hand or making entries to
electronic systems, can be summed up by saying that anything you write or enter must be
honest, accurate and non-offensive and must not breach patient confidentiality. If you follow
these four principles, your contribution to record-keeping will be valuable.

More specifically, you should always try to ensure that you:

 handwrite legibly and key-in competently to computer systems

 sign all your entries
 make sure your entries are dated and timed as close to the actual time of the events
as possible
 record events accurately and clearly – remember that the patient/client may wish to
see the record at some point, so make sure you write in language that he or she will
understand
 focus on facts, not speculation
 avoid unnecessary abbreviations – as you’ll find, the health care system uses many
abbreviations, but not all workplaces use the same definitions: for instance, ‘DNA’
means ‘deoxyribonucleic acid’ in some places, but ‘Did Not Attend’ (meaning a
patient/client who does not show up for an appointment) in others – avoid
abbreviations if you can!
 record how the patient/client is contributing to his or her care, and quote anything he
or she has said that you think might be significant
 do not change or alter anything someone else has written, or change anything you
have written previously; if you do need to amend something you have written, make
sure you draw a clear line through it and sign and date the changes
 never write anything about a patient/client or colleague that is insulting or derogatory.

When you’re writing, always follow the principles described in the section written
communication and remember, if you find something you feel is significant when you
are working with a patient/client, your first duty is to report it to the registered nurse in
charge before you would consider writing it in the patient’s/client’s record. Always
report first, record later.
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1. Accountability - Assign a senior executive who will oversee and be accountable for
record keeping program (aka information governance program, or IGP) and
delegate program responsibility to appropriate individuals; adopt policies and
procedures to guide personnel and ensure program auditability. Make all business
managers accountable for information governance and the records management
principles, policies, and costs.
2. Integrity - Construct an IGP so that records generated or managed by or for the
organization have a reasonable and suitable guarantee of authenticity and reliability.
Identify technologies and processes that can provide suitable and reasonable
guarantees. To do this of course requires an organization to first define and classify
the difference between official records and business information.
3. Protection - The IGP must ensure a reasonable level of protection to records and
information that are private, confidential, privileged, secret, or essential to business
continuity. These attributes are the core differentiators when comparing content
management to records management systems.
4. Compliance - The IGP must be established to comply with applicable and
jurisdictional laws, regulations, and the organization’s policies. The challenge for most
organizations is not developing policies but instead enforcing these policies across a
vast number of information repositories and file systems.
5. Availability - The IGP must maintain records in a manner that ensures timely,
efficient, and accurate retrieval of needed information, as more and more
organizations are turning to information governance and IGP to do more than meet
compliance regulations.
6. Retention - Maintain records and other information for an appropriate time (and for no
longer), taking into account business, legal, regulatory, fiscal, operational, and
historical requirements.
7. Disposition - An IGP provides for the deletion for records that have no incremental
business value or that create liability for the business.
8. Transparency - The IGP must be implemented in a defensible, understandable, and
efficient manner and be available and understood by internal and external business
stakeholders.

Archival keeping

“Archival” means accumulation/storage of historical records on server/network or at a

physical place.

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The document and records which are no longer current, but which are required to be
preserved for a specified period of time or permanently under the applicable laws/ rules/
regulations shall be archived by the Company.

I. Every Function/Unit shall identify the documents and records required to be

maintained and preserved and shall be responsible for archiving the same as per
this Policy.
II. Every Function/Unit shall follow the established procedure of archiving of
documents and records and ensure ease of retrieval of such documents and
records.
III. The documents and records may be archived in physical and/or electronic mode
and shall be stored in the premises of the Company or with an approved
warehousing agency in case of physical documents and on the server of the
Company and/ or the server of any third-party vendor/ service provider in case of
electronic documents having appropriate security and safety measures.
IV. The documents and records archived in electronic form shall be subjected to
automatic back-up on a periodic basis as per the procedure established by the IT
function of the Company.

Policy on Preservation & Archival of Documents & Records

Documents and records which are no longer required or upon the expiration of the
specified period of time for preservation may be destroyed in one of the following ways:

a. Recycle non-confidential paper records;

b. Shred or otherwise render unreadable confidential paper records; or
c. Delete or destroy electronically stored data.

General

1. The Policy would be subject to revision/ amendment in accordance

with the applicable laws.

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2. The Company reserves its rights to alter, modify, add, delete or amend
any of the provisions of this policy.
3. In case of any amendment(s), clarification(s), circular(s) etc. issued by
the relevant authorities, not being consistent with the provisions laid
down under this Policy, then such amendment(s), clarification(s),
circular(s) etc. shall prevail upon the provisions hereunder and this
Policy shall stand amended accordingly from the effective date as laid
down under such amendment(s), clarification(s), circular(s) etc.

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KT0503 DESCRIBE THE PRINCIPLES FOR BACKUP AND RETENTION OF CRITICAL DOCUMENTS AND RECORDS

Backing-up is a crucial process that everyone should do in order to have a fail-safe, for when
the inevitable happens. The principle is to make copies of particular data in order to use those
copies for restoring the information if a failure occurs (a data loss event due to deletion,
corruption, theft, viruses etc.).

You can perform the backup manually by copying the data to a different location, or
automatically using a backup program

Each program has its own approach in executing the backup, but there are four common
backup types implemented and generally used in most of these programs: full backup,
differential backup, incremental backup and mirror backup. A type of backup actually
defines how data is copied from source to destination and lays the grounds of a data
repository model (how the back-up is stored and structured).

RETENTION OF RECORDS

Owing to various legislative requirements, documents must be retained for a certain number
of years, depending on the legislation.

This guide refers to the legislation and identifies the timeframe in which certain documents
have to be kept.

The guide does not attempt to include all legislation, but only refers to the general legislation
that impacts on a wide variety of entities.

The guide has been compiled to assist SAICA members to meet the legislative requirements
when they deal with clients.

The guide is structured to refer to the relevant Act and then to the documents that should be
kept and to the period of retention.

Multiple legislative requirements

Where different legislation refers to the retention of the same records/information, business
must consider adhering to the most stringent of the legislative requirements. For example the
Value Added Tax Act states that invoices should be kept for 5 years from the submission of
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the return. However, the Companies would require the financial records to be kept for a
minimum of 7 years and therefore the company should adhere to the most stringent
requirement of 7 years. Where legislation refers to different records (e.g. employment records
versus accounting records), then each requirement is specific to that legislation and should
be applied accordingly to the specific records.

It is important to note that the Companies Act, No 71 of 2008, has a general requirement, in
respect of any information that a company is required to keep (whether in terms of the
Companies Act or any other legislation), to retain such information for a period of at least
seven years (or the longer period specified in the applicable legislation). Therefore,
companies should ensure that company records and information are retained for no less than
seven years.

The Protection of Personal Information Bill (B9D) has been approved by Parliament, but at
the date of the publication of the guide had not yet been signed by the President. It is
important to be aware that section 14 of the Protection of Personal Information Bill states that
personal information must not be retained for any longer than is necessary to achieve the
purpose for its collection. If there is no legal requirement to keep the information, it should be
deleted. The Bill therefore places an obligation on the person collecting the data to delete or
remove it at a certain

Retention of records for an “indefinite” period

In certain instances, legislation requires that records be kept for an “indefinite” period. The
term “indefinite” is not defined in the legislation, but clearly requires that documents be
retained for as long as the relevant entity exists. We note, however, that once an entity
ceases to exist, the obligation on that entity to retain documents “indefinitely” also ceases to
exist. In the case of a company, for example, the obligation to retain documents in terms of
the Companies Act, No 71 of 2008, only applies to an entity that remains registered as a
company

After an entity ceases to exist, other legislation may require records to be retained, but
typically only for a period of time and no longer “indefinitely”. In the case of liquidation or
sequestration in terms of the Insolvency Act, No 24 of 1936, specific requirements apply to
the retention of documents, discussed under Section 10 “Insolvency and Liquidation” below.
As a company that has been deregistered can be re-registered, or litigation may follow in
respect of the deregistered company, we propose that the records of a deregistered company
be retained for a reasonable period after deregistration (we propose no less than three
years).

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CRITERIA
Legal Factors One important factor to understand is that retention periods stated for any
regulatory or statutory purpose are considered minimum retention periods – the shortest
period of time a record must be held. Legally compliant retention schedules should be viewed
as the time when disposing of a record can first be considered, rather than when you must
dispose of a record. Decisions are frequently made to retain records longer than their
prescribed minimum due to other factors; an on-going business use, internal audit
requirements or historical value.

Whenever retention periods are lengthened, a determination must be made identifying the
potential risks and costs to the company. It is also desirable to review pertinent statutes of
limitations when determining records retentions. Statutes of limitations define the time period
an organization can sue or be sued on a matter, or the time period in which a government
agency can conduct an investigation or audit. While statutes of limitations in themselves are
not required retention periods, they should be a factor in determining risk for a company when
deciding how long to retain records. A decision can also be made to eliminate

Records before the prescribed minimum retention period has run. Such a decision will have
its own set of risks that should be carefully considered. All decisions relating to extending or
shortening prescribed retention periods should be documented and retained. This
documentation will help others to understand why such decisions were made, which may be
pertinent in subsequent litigation to support the reasonableness of the records policies, as the
cases discussed below demonstrate.

Business Factors By understanding how a record is used within a company, better decisions
can be made about the retention of that record. The best method to determine a record’s
retention is using the team approach -- a team that includes the records manager, legal
counsel, business manager, technology manager and a representative from the area or
department that creates or uses the record. The collective knowledge of this team will enable
informed records retention decisions. Implementation

Once retention periods have been determined, agreed upon and signed off by management,
the next step is to develop the policies and procedures that will govern the implementation of
the schedules. One of the most important policies relates to the suspension of records
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destruction in the event of imminent or current litigation, receipt of subpoenas, government
inquiries, audits, or any other type of event that might warrant such action. When the records
may be needed beyond the defined retention period, a methodology should be in place which
immediately notifies all appropriate persons of these actions. These persons might include
legal counsel, the records manager, a departmental manager and the IT manager, especially
to preserve electronic records. Depending on the matter, such notification may include
everyone in the company.

ELECTRONIC RECORDS
Is There a Difference?

Electronic records compound the issues involved in the overall management of records
because there are frequently multiple copies in multiple locations. A business decision must
be made to identify who is the responsible party for retaining electronic records – is it the
creator or the user of the document, is it the sender or the recipient of e-mail? A widely
applied rule is that the creator of the document, either an e-mail or other electronic record,
has the responsibility for retaining that document in the “official” electronic file cabinet. As
many companies do not utilize record keeping software, there should be space on the

Company network aligned to the hard copy filing schema that permits saving the documents
for long-term use, which would include transferring pertinent e-mail records -- received or
sent -- from the e-mail system into the electronic filing cabinet. Ask the question -- if the
document were in paper format, what would be done? If it would be filed in the official file,
then the electronic version deserves the same respect and should be placed in the official
electronic file. If the paper version would be thrown away, the electronic version should be
deleted from the in-box.

Recipients of outside e-mail which has legitimate business content should file those e-mails in
the same manner. Rogue Copies Even when a policy is followed conscientiously for filing or
deleting the official electronic record, there may still be rogue copies – copies being held in
other work stations within the company and copies that were sent outside the company. Is it
possible to effectively destroy all copies of an electronic document when its retention period
expires? In most instances the answer is -- no.

A reasonable attempt should be made to remove unnecessary electronic records, per the
retention schedule in all identified electronic repositories. Employee education, together with
approved policies and procedures, will help reduce the number of copies being saved
individually. The key is to have approved policies and procedures in place, employees
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trained in their responsibilities, and program audits conducted on a regular basis to ensure
full compliance with the policies in the regular course of business.

Obsolescence Another critically important factor to be considered for electronic records is the
inevitability of hardware, software and media obsolescence. These records must either be
migrated to new versions or the old hardware and software must be retained in order to read
the records. Migrating may also cause the records to change or lose their format, so good
quality control procedures must be in place when migrating to ensure all information retains
its original content, context and structure.

The language in the laws that directly impact electronic records should also be reviewed
when determining the retention method for electronic records. The Uniform Electronic
Transactions Act (UETA) requires two elements for the retention of electronic records (See
Section 12) “(a) If a law requires that a record be retained, the requirement is satisfied by
retaining an electronic record of the information in the record which:

Retention period

Document Retention period

1. General rule: Any 7 Years
documents, accounts,
books, writing, records or
other information required to
be kept in terms of the Act
and other public regulation
2. Registration certificate Infinite
3. Memorandum of
Incorporation and alterations
or amendments
4. Rules Infinite
5. Securities register and Infinite
uncertificated securities
register
6. Register of company Infinite
secretary and auditors
7. Regulated companies Infinite
(companies to which chapter
5, part B, C and Takeover
Regulations apply) -
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Register of disclosures of
person who hold beneficial
interest equal to or in excess
of 5%of the securities of that
class issued
8. Notice and minutes of all 7 Years
shareholders meeting
including: - Resolutions
adopted - Document made
available to holders of
securities
9. Copies of reports presented 7 Years
at the annual general
meeting of the company
10. Copies of annual financial 7 Years
statements required by the
Act
11. Copies of accounting 7 Years
records as required by the
Act
12. Record of directors and past 7 Years
directors, after the director
has retired from the
company
13. Written communication to 7 Years
holders of securities

2. STATE-OWNED ENTITIES

Public Finance Management Act State-owned entities have to apply the Public Finance
Management Act, No. 1 of 1999 (PFMA). Entities that fall under the definition of the PFMA
are National and Provincial Government, which would include entities such as The Human
Rights Commission, the Competition Board, Eskom, Denel, etc. The PFMA has a list of all the
entities that it applies to in the Schedules attached to the Act.

Paragraph 40(1)(a) of the PFMA states that: “The accounting officer for a department, trading
entity or constitutional institution must keep full and proper records of the financial affairs of

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the department, trading entity or constitutional institution in accordance with any prescribed
norms and standards “

Accounting officers must retain all financial information in its original form as follows:

(1) Information relating to one financial year – should be retained for one year after the audit
report for the relevant financial year has been tabled in Parliament or the provincial
legislature. (2) Information relating to more than one financial year – should be retained for
one year after the audit report for the last of the financial years to which the information
relates.

If the retention period has expired the information may be stored in an alternative form that
still ensures the integrity and reliability of the information.

The Treasury Regulations section 17(2) to the PFMA provides the detailed guidance to this
section of the PFMA regarding the retention of documents.

State-owned entities that are registered companies must comply with the requirements that
are the most stringent between the companies act and PFMA.

Document Retention period

1. General ledger and cash 5 years
books or similar records
2. Internal audit reports 10 years
3. Main transaction summary 10 years
records, including general
journals and transaction
summaries
4. Primary evidentiary records, 5 years
including copies of forms
issued for value, vouchers to
support payments made,
pay sheets, returned warrant
vouchers or cheques,
invoices and similar records
associated with the receipt
or payment of money

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5. Source documents; General 5 years
and incidental source
documents not included
above, including stock issue
and receivable notes, copies
of official orders (other than
copies for substantiating
payments or for
unperformed contracts),
bank deposit books and post
registers
6. Subsidiary ledgers, including 5 years
inventory cards and records
relating to assets no longer
held or liabilities that have
been discharged
7. Supplementary accounting 5 years
records, including, for
example, cash register
strips, bank statements and
time sheets
8. System appraisals 10 years

Municipal Finance Management Act The Municipal Finance Management Act, No. 56 of
2003, (MFMA) applies to all municipalities and municipal entities and has as its goal to secure
sound and sustainable management of the financial affairs of municipalities and other
institutions in the local sphere of government.

With regards to the retention of documents it states in Section 62(1)(b) that:

“The accounting officer of a municipality is responsible for managing the financial

administration of the municipality and must for this purpose take all reasonable steps to
ensure that full and proper records of the financial affairs of the municipality are kept in
accordance with any prescribed norms and standards”.

Due to the absence of more specific guideline, we advise that the same periods as for the
PFMA are used, except where specific other regulations are available for use in the various
industries.

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3. CLOSE CORPORATIONS
The Close Corporations Act, No. 69 of 1984, has the goal of providing for the management,
control and liquidation of close corporations. The Administrative Regulations identify the
various periods that documents relating to the Close Corporation must be retained.

Document Retention
Period
1. Accounting records, including supporting scheduled to 15 Years
accounting records and ancillary accounting records
2. Amended Founding statements, including annual accounts Indefinite
and the report of accounting officer
3. Annual financial statements, including annual accounts and 15 Years
the report of the accounting officer
4. Founding statement indefinite
5. Microfilm image of any original record reproduced directly by indefinite
the camera-“camera master’
6. Minutes books as well as resolution passed at meetings indefinite

4. LABOUR RELATIONS

Employee relations are governed by a variety of legislation, including the Basic Conditions of
Employment Act and the Labour Relations Act.

The Basic Conditions of Employment Act, No. 75 of 1997, states that various documents
relating to employees should be kept for future reference

Document Retention period

1. Written particulars of employee must be kept after
termination of employment 3 years
2. Employee name and occupation
3 years
3. Time worked by each employee
3 years
4. Remuneration paid by each employee
3 years
5. Date of birth of an employee under 18 of age
3 years

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There is also a reference that an employer who keeps records in terms of this section is not
required to keep any other record of time worked and remuneration paid as required by any
other employment law.

The Labour Relations Act, No. 66 of 1995, applies to employees, employers, trade unions
and employers’ organizations and provides a framework where the parties can collectively
bargain regarding remuneration, basic conditions of service and other matters of importance.

Various records relating to the structures created in this Act have to be kept for future
reference.

b. Review and updates

Any document created for OHS is to be reviewed at least every 3 years to ensure relevance
to organisational requirements, their effectiveness, suitability, currency of information and
compliance to WHS legislation, standards or codes of practice. This will include reviewing
the document in full incorporating any required changes which might arise from legislation,
feedback, best practice or organisational requirements.

In addition, the review may include process improvement from internal or external audits or
where risk control measures have failed to work as expected to determine whether the
process was inadequate, inappropriate or otherwise flawed. For some documents this may
need to be more frequent depending on changes in legislation, corrective actions arising from
incidents or to aid in continuous improvement. Such a need will be identified in the Review
section of the document.

All document reviews will be communicated via the OHS Committee meeting minutes. On a
monthly basis the document control register will be reviewed to determine those documents
requiring review. Staff of the OHS Unit will be assigned for documents that require review.
The person allocated to the review will have sufficient skills, knowledge experience and
abilities in the subject matter and the document review process to fulfil these documented
requirements. The review will be completed as per the requirements of the legislative
compliance review outlined in the OHS Legislative Compliance Guidelines. The documents
are assessed for their compliance to this guideline by internal OHS verification audits

If a document is reviewed as required by the schedule of review then the information

contained in the document is regarded as current as long as there is no change to legislative
or business requirements. The need to update a document is considered by the OHS Unit
and arrangements made to modify the document. The draft document is then made available
for consultation prior to going through the approval process.
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Modified documents are identified:
 on the ‘Document Review’ OHS Unit web site
 when the document number and release date is inconsistent with the current and
maintained version contained on the internet or intranet
 in consultation mechanism meeting minutes. Documents which are created, modified
or made obsolete are communicated to employees and others

c.disposal
When a record is no longer required to be kept, it should be properly destroyed and the destr
uction should be documented. A sample Certificate of Records Destruction form is attached.
For example, information entered on the form could be:

Deleting data and emptying the “recycle” folder or “trash” bin from electronic storage media
such as CDs, hard drives, tapes, etc. does not permanently destroy the information. Some
printers and photocopiers with document memory capability may require data cleaning also
before sale or disposal. If data is not sensitive or private, simply overwriting the information
may be adequate. If computers and media are going to be reused or decommissioned, they
must be properly cleaned in order to prevent unauthorized retrieval and use of information,
especially if that data includes privacy or security related material such as personnel records,
financial data, or employee health information.

To completely remove data or prevent its retrieval, the following methods should be used.
Hard drives, USB or flash drives, and other plugin type devices: Sanitize by running special
software programs or following the manufacturer’s instructions for full chip erasure. For
Windows operating systems, Active Eraser is one product that erases files and hard drives.
It is available at http://www.active‐eraser.com/features.htm. Another is Eraser by Tolvanen at
http://www.tolvanen.com/eraser/.

Macintosh operating systems will need a third‐party utility such as Jiiva Auto Scrubber
(http://www.jiiva.com/) for version 10.2 file deletion and Jiiva Super Scrubber for hard drives.
Versions 10.3 and 10.4 have built in Secure Empty Trash options; however, 10.3 also needs
a third-party utility such as JiivaSuper Scrubber for hard drives. Version 10.4 also requires
Apple Disk Utility (Zero all data, 7‐ and 35Pass Erase) for empty space deletion and hard
drive cleaning. If the drive is no longer operational, cables should be cut and the drive
disassembled. Its platters should be damaged by drilling holes, hammering, or cutting with
metal snips.

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Personal Digital Assistants (PDAs), Blackberry, etc.:
Clean data according to manufacturer’s instructions and reset to factory defaults. Remove bat
teries for several hours. Alternatively, wrap securely to prevent flying particles and hammer u
ntil the internal parts are destroyed.
Removable media: Special shredders are available that can shred optical media (CDs, DVDs
, etc.). Diskettes or other media not suitable for shredding should be disassembled and the m
edia mutilated by puncturing, cutting, or sanding.

Personal Digital Assistants (PDAs), Blackberry, etc.: Clean data according to manufacturer’s
instructions and reset to factory defaults. Remove batteries for several hours. Alternatively,
wrap securely to prevent flying particles and hammer until the internal parts are destroyed.
Removable media: Special shredders are available that can shred optical media (CDs,
DVDs, etc.). Diskettes or other media not suitable for shredding should be disassembled and
the media mutilated by puncturing, cutting, or sanding.

Magnetic tape: Degaussing11 tailored for the type of tape and with proper coercivity.12
Alternatively, incineration, pulverization, or shredding may be used. If the data sanitizing
process is contracted to an outside party, the vendor should sign an agreement stating that
their practices conform to or exceed the guidelines stated here.

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KT0504. EXPLAIN THE PRINCIPLES OF DOCUMENT AND RECORD SECURITY

In exchange for the privilege of doing business within a state, a statutory entity, such as a
corporation or a limited liability company (LLC), must comply with a wide variety of state
requirements. Among them is the requirement that the entity maintain a statutorily prescribed
set of records related to that entity.

a. Statutory requirements
Each state’s business entity statutes specify the recordkeeping requirements for corporations
and limited liability companies. As is generally the case in state law, there is wide variation
regarding which documents must be kept. While most states impose more extensive
recordkeeping requirements on entities formed in that state, states may also require that
foreign entities maintain records of ownership at the entity’s home office or at its registered or
transfer office. Therefore, it is essential to be aware of the rules—not only for the entity’s
home state but for each state in which it operates

WHAT RECORDS MUST BE KEPT?

While there are differences from state to state, statutorily mandated records fall into these
major categories

Organizational documents. These documents include a copy of the articles of incorporation

for a corporation and the articles of organization for an LLC. Nearly all states also require that
the entity keep copies of all amendments to, or restatements of, those articles

Ownership documents. These include shareholder lists for corporations and member lists
for LLCs. Most states require disclosure of the full name and address of each shareholder or
member.

Operating documents. These contain the entity’s internal rules. For corporations, the main
operating document is the by-laws. For LLCs, the operating agreement serves this purpose.
A significant number of states require that the LLC keep a copy of its operating agreement at
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its principal place of business. The bulk of the states also mandate keeping a copy of all
amendments made to the operating documents

Capital contribution documents. A significant number of states require LLCs to keep

records of the amount of cash contributed by each member, the agreed value of other
property or services contributed by each member and any additional contributions that will be
required of each member. Most states require corporations to retain documents regarding the
type of stock and number of shares owned by each shareholder.
Records of actions taken. Corporations are generally required to keep a record of each
shareholder and director meeting, as well as the resolutions adopted or actions taken. When
actions are taken pursuant to consent in lieu of a meeting, documentation supporting that
action must be produced and retained

Tax and financial records. A significant number of states require that some type of tax or
financial records be maintained. For LLCs, the requirement is frequently the three most
recent tax returns. For corporations, the most recent annual report or financial statement will
usually suffice

b. Classified documents

It is a systematic identification and arrangement of business activities and/or records into

categories according to logically structured conventions, methods, and procedural rules
represented in a classification system.

A classification system is the set of terms and conventions applied in a particular

organisational setting to classify, title and retrieve records and other business information. It
controls the vocabulary used, generating consistency in the description of information
produced by business activities and improving retrieval of that information. The capabilities of
classification tools for records management can be extended to assist sentencing and
disposal

Imposing a classification system can also mitigate some organisational risks. AS ISO 15489
further explains the need for controlling titling and description, particularly in a large and
complex organisation:
The higher the level of accountability and/or public scrutiny, the greater the need for accuracy
and speed in locating individual records. The greater the risks in the business activity, for
example public safety concerning hazardous chemicals, the greater the need for precision
and control in retrieval

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Why classify business information by function

Classifying records and business information by functions and activities moves away from
traditional classification based on organisational structure or subject. Functions and activities
provide a more stable framework for classification than organisational structures that are
often subject to change through amalgamation, devolution and decentralisation. The structure
of an organisation may change many times, but the functions an organisation carries out
usually remain much the same over time. Within the government sector, administrative
change may periodically result in the loss or gain of functions between agencies. In these
instances, functional classification makes it much easier for agencies to identify records that
have to follow functions.

Classification by function is based on the context of a records creation and use, rather than
on the content of the record itself. This means the record will be classified according to why it
exists i.e., its function rather than what it is about i.e., its subject. Linking records to their
business context is a key requirement for making and capturing full and accurate records.
An analysis of business activity and processes will provide an understanding of the
relationship between an organisations business and its records

A functions-based classification has further advantages, as it helps organisations to:

• identify records that should be created because of their evidential value for business;
• recognise high priority records that should be captured because of their business
significance;
• make decisions on retention; and
• sentence records at the point of creation.

It is important to know the extent of a function, to ensure that business responsibilities are
met. Functions consist of component activities, which consist of component transactions.
These are supported by identifiable recordkeeping requirements. The sum of activities,
transactions and recordkeeping requirements provides the framework to ensure a function is
performed accountably

c. Unclassified documents

For the security of the state, many government secrets of the world are documented and then
marked as “classified”. But after many years, security threats fade and what was once
classed as top secret may become “declassified”. Some contain information that now seems
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mundane or trivial. Others have revealed secrets that have shocked nations to their very
core. We’ve compiled a list of the top 10 declassified documents that rocked the modern
world

d. Access control

As a business professional, it is vital to protect the sensitive business documents and

information that your business collects from customers. You need to protect this information
so that you do not have issues with identity theft.

Additionally, you will want to protect your research and sales information from rival
companies that may want to steal the information to help them get ahead.

Since you likely store information and documents in a number of ways, you need to have a
strategy in place to protect all of your information.

A solid strategy and following strict guidelines can protect your business

As a business, you have the responsibility to protect the private information of your
customers. You need to protect any credit card information that you collect from your
customers.

If you are a medical office, you need to follow HIPAA law and train your staff to protect the
information.

Although this may not be the first aspect of document management that you think of, it is a
very important aspect of successfully managing your business.

You do need to keep careful records for tax information and to protect yourself when you sign
contracts, but it is just as important that you keep this information secure.

Protecting Paper Documents

When you operate on a paper system, you need to take careful steps to keep the information
safe and private. You should have a system that allows you to see who is accessing the files
on a regular basis.

The storage area where you keep files on customers should be locked at night. Additionally, it
should be in an area where the public cannot accidentally wander into it.

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It is important to work to prevent thieves from stealing the information and exposing your
customers or employees to identity theft. You should also train your staff to lock all private,
sensitive, and confidential files away each day.

Although we have given you several tips to help secure your records at your office, you might
want to consider a secure offsite storage solution to help manage your records.

It’s perfect for records that haven’t passed their appropriate retention time but are no longer
useful in your day-to-day activities.

Not only will they be stored in a secure facility, a Records Management Company can give
you access to any of your stored records when you need them.

Protecting Digital Documents

It is also important for you to protect the information that you store digitally.

As more and more businesses turn to digital records, it can become easier for thieves to hack
into your system and find the information that they need.

One common example is when a business is hacked, and credit card numbers for customers
are stolen.

You need to be sure to use a strong encryption system for all of your digital documents. It is
worth paying extra for this system because it is protecting your business and your business
relationships.

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You should also carefully monitor the information that your employees take home to work on
or that they take with them for presentations outside of the office.

Digital documents and information can also be stolen from thumb drives and laptops- that’s
why it’s critical to encrypt them if you’re travelling.

Another important part of protecting sensitive business documents is learning how to dispose
of them properly. Many states require you to black out all personal information on documents
before you throw them away.

This information includes names, phone numbers, account numbers and social security
numbers. Another option to properly dispose of the document is to shred the documents so
that the information cannot be pieced back together.

If you are disposing of old computers and hard drives, you need to completely erase the hard
drives. You may also consider actually destroying the computer or drives physically if the
information on the drives is of a highly sensitive nature.

e. Physical security
Physical security covers all the devices, technologies and specialist materials for perimeter,
external and internal protection. This covers everything from sensors and closed-circuit
television to barriers, lighting and access controls

Why You Need It?

Integrated physical security is a must. Apart from the legal and liability issues, it just makes
sense to protect the facilities and people on whom you depend – to keep your enterprise safe
and secure so that you can, hopefully, prevent an attack or, if one does happen, survive it.

For many organizations there are added benefits from implementing IPS. During the risk and
threat assessment phases of developing an IPS, you frequently discover areas of
vulnerability that can be remedied and practices that can be improved. This can lead to
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improved productivity and efficiency and has an ongoing impact on your bottom line. So by
implementing an IPS, you might also increase efficiency and profitability.

The biggest benefit, however, is in increased safety for everyone using that facility. It is
essential to effectively communicate the need for IPS to all those concerned and to get them
actively involved in the process. After all, one of the cheapest forms of physical security – and
among the most effective – is the eyes and ears of the people using the facility.

The goal of physical security is to protect facilities and buildings and the assets they contain.
The most important of these assets are, of course, the people who work in and visit the
facility. The first things you need to find out are:
 The assets to be protected
 The threat to those assets
 The vulnerability of those assets
 Your priorities

What Am I Protecting?
Protective systems should always be developed for specific assets. You have to know the
core functions of your facility because that will enable you to identify the specific critical
infrastructure that you need to protect to continue in business in the event of an attack.

The goal of security is to protect facilities and buildings and the assets contained inside.
Various layers of security may be necessary in different parts of the building depending on
the assets located there. For instance, there should be relatively free access to the office
kitchen but restricted access to the computer network control room.

Asset value is determined by considering the following three elements:

• The criticality of the asset for its user and/or others
• How easily the asset can be replaced
• Some measure of the asset’s relative value

Assets are anything that can be destroyed, damaged or stolen. The risk-analysis procedure is
used to identify assets – everything from the building itself to hazardous materials,
equipment, supplies, furniture, computers and, of course, people.

Who Are My Adversaries?

It is important to identify and characterize the threat to these assets. This threat can come
from within or outside the building. Internal threats include pilfering of office equipment or

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theft of classified information. Internal threats also include disgruntled employees who may
sabotage equipment or attack other employees.

External threats range from vandalism and break-ins to acts of terrorism. You need to know
your adversaries and the various tactics they might use. You also need to know their
motivations and capabilities. Consult with your local police, the FBI and other agencies that
monitor these threats. They can advise on what threats you face, from whom and what
methods and weapons they might use against them.

Two other tools you can use are:

 Design Base Threat (DBT) analysis to help identify your likely adversaries, their
strengths and capabilities, what their targets might be and the likelihood of them
attacking you and, if so, how.

 Crime Prevention Through Environmental Design (CPTED) to take into account the
relationship between the physical environment and the users of that environment. It is
one of the tried and trusted methodologies available to you and is a useful tool in
identifying the “bad boys” and what crimes may affect your facility and personnel.

Where Am I Vulnerable?
Until you discover your areas of vulnerability, you cannot develop the strategies needed to
protect them. A useful way of identifying threats is to conduct scenario-based assessments.
This is very analytical process because you must be able to identify all critical flaws and weak
points in your current physical protection. You have to come up with multiple “what if”
scenarios and work them through. By working through the various scenarios and determining
the probable actions and consequences, you can then develop plans to counter or mitigate
them.

What Are My Priorities? Risk assessment must take into account the effect on your business
or operation if assets are destroyed or damaged. Part of that assessment is to rate the impact
of the loss of those assets on a scale of low, medium or high. This will identify the critical
assets that need maximum protection.

How Do I Compare?
Once you have established the above, you are in a position to do your Gap Analysis to
identify what needs to be done to reduce risk, increase safety and provide the necessary
physical security for your building and people. How do you compare to the model facility,
what are your threats and vulnerabilities? And, having identified these threats and

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vulnerabilities, how do you prioritize them? Which are the most critical and must be tackled
first?

– Gap Closure Having identified your shortfalls, you must then consider and evaluate all
available options to mitigate the threats. There is a vast array of external and internal systems
and devices available. You must determine which are the best options and combinations for
your particular circumstances. If you have questions, consult an independent security
consultant rather than a vendor with a vested interest in selling you its product.

The options are described in general terms in Step Three and in more detail in Security 101.
1) Perimeter Security Secure perimeter, perimeter surveillance, protection basics, defense
measures, stand-off distances and counter-measures to reduce security risks.
2) Vehicles Protect approaches, control access and parking, install barriers, surveillance and
other monitoring equipment.
3) Internal Security Access controls, alarms and barriers, authentication devices and
screening, access biometrics, closed-circuit television (CCTV), hot site protection, safe mail
rooms, coping with hazards.
4) Information Technology Integrate IT and physical security planning, provide
network/infrastructure protection and protect files, document and other critical resources. 5)
People
i. Security staff – needs/hiring/training, security programs and responses.
ii. Staff/visitors – screening/training/informing; drills/evacuation/safe
rooms; alarms/staging areas; communications and coping with and
recovering from an event.
iii. Special needs – Americans with Disabilities Act requirements and
special resources.
6) Building Design/Security Building Code laws; exits/fences/gates/doors/barriers/windows;
critical floor space/safe rooms/safe areas; devices/detectors; lighting; cameras; and
maintenance
7) Community Risk Assessment/Community Involvement Assess local risks and incorporate
into planning; work with fire/police/EMS; work with local businesses and the community.
8) Technology Solutions The handbook deals with the various security and defence devices
available to you. These are referred to in Security 101 and the Gap Analysis and Gap Closure
chapters, but not in as much technical detail as you may wish. References are provided
throughout the book to allow you to get more comprehensive information should you need it.

– Strategic Plan Having identified assets, adversaries, threats, vulnerabilities and determined
priorities and options, you are in a position to plan and strategize the security change

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process. This means developing a road map – you know where you are and have to plot how
you are going to get where you need to be.

The strategic plan sets out Steps Two and Three above – documenting your gap analysis,
identifying critical assets, threats and weaknesses and all areas needing to be addressed.
The gap closure documents how you plan to close those gaps, the justification for the actions
to be taken, costs involved and timeframe for implementation.

The strategic plan serves two critical functions: It is the marketing tool you need to get
management approval and it is the blueprint for your physical security plan.
– Implementation Once your strategic plan has been approved, it must be implemented. This
includes project management, bid contracting and vendor selection, quality assurance and
quality control, and revising policy procedures.

Integrated physical security planning is also an ongoing requirement. Once your system is in
place you must continuously test it for weaknesses and vulnerabilities. You must ensure your
employees understand the measures in place and what they must do in the event of an
emergency.

Re-analyse your current situation. Ask yourself what has changed and what new threats have
emerged. By constantly tracking and monitoring your integrated physical security system you
can close any gaps and introduce enhancements.

IAC0501
Given a range of Occupational health and Safety media, reports and documents. Be able
to: a. Classify the documents regarding the need for security and retention; b. Identify
deficiencies in the document control systems used; c. Indicate appropriate actions to

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improve the controls of the documents and media; d. Indicate how to continually optimise
the effectiveness of document control (15)

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KT0505 DESCRIBE THE CRITERIA FOR THE QUALITY OF OCCUPATIONAL HEALTH AND SAFETY DOCUMENTATION

The most effective strategy for managing health and safety in the health services and for
providing health care is to incorporate occupational health and safety into an institution’s
managerial objectives. Handling health and safety objectives in the same way that objectives
dealing with finances, the services, or quality are handled will help attain a high-performance
standard in health and safety.

It is management’s responsibility to ensure that the health care facility under its responsibility
establishes adequate policies and programs supplied with sufficient human and financial
resources to provide a healthy and safe workplace.

The extent to which employee activities are channelled toward a common goal depends on
the extent of the administration’s commitment and participation. In addition to directed
activities carried out by the director or by persons specifically assigned to the health care
facility’s occupational health and safety management system, other top-management actions
(in various areas) will demonstrate the support of the leaders to the management of
occupational health and safety. For example:

 conduct regular worksite visits to communicate with workers and identify deficiencies
to be resolved;
 promote and participate in regular meetings specifically held to discuss safety and
health issues or introduce the discussion of these issues in regular daily meetings;
 observe if and how workers adopt work routines that could have serious
consequences and set up a dialogue to discuss alternative ways of performing work;
 show an interest in the causes of occupational accidents and in how they have been
taken care of. After an accident, assure workers that management cares for them,
especially while victims are recovering;
 serve as an example by using personal protective equipment in work areas that
require it and always respect existing prevention standards;
 adopt a participatory leadership and heed the opinions of the members of the
organization as a way to establish the necessary confidence;
 establish and foster an organizational structure that supports activities of the risk
prevention and risk control programs; and
 secure the necessary financial and human resources to ensure that the occupational
health and safety system functions well.

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If necessary, one or more persons from top management should be given the responsibility,
authority, and duty to collaborate with workers’ representatives to:

develop, apply, and periodically monitor and evaluate the occupational health and safety
management system;
 periodically report on the operation of the occupational health and safety management
system to the highest management level; and
 promote the participation of all members of the organization
 conduct regular worksite visits to communicate with workers and identify deficiencies
to be resolved;
 promote and participate in regular meetings specifically held to discuss safety and
health issues or introduce the discussion of these issues in regular daily meetings;
 observe if and how workers adopt work routines that could have serious
consequences and set up a dialogue to discuss alternative ways of performing work;
 show an interest in the causes of occupational accidents and in how they have been
taken care of. After an accident, assure workers that management cares for them,
especially while victims are recovering;
 adopt a participatory leadership and heed the opinions of the members of the
organization as a way to establish the necessary confidence;
 establish and foster an organizational structure that supports activities of the risk
prevention and risk control programs; and
 secure the necessary financial and human resources to ensure that the occupational
health and safety system functions well.

Some Requirements for the Proper Functioning of the Occupational Health and Safety
Unit

• The Occupational Health and Safety Unit must have adequate space to carry out its
activities and so its staff can perform its administrative functions.
• The professional independence of the Unit’s members must be safeguarded in
accordance with national laws and with standards agreed upon between management
and workers.
• The Unit’s professionals must adhere to confidentiality standards concerning information
they receive on employees while performing their functions. Professional confidentiality
is subject to exceptions defined in the legislation and in national regulations.

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The Occupational Health and Safety Committee is an extraordinarily important tool in the
management of occupational health and safety. It is a permanent group composed of
representatives of employees and the employer who communicate and collaborate to identify
and solve health and safety problems at the workplace, providing orientation and support to
the occupational health and safety unit.

The Committee is charged with issuing recommendations to solve occupational health and
safety problems but is not responsible for implementing those recommendations. The
ultimate responsibility for guaranteeing worker safety rests with the employer; in other words,
the management or administration of the health care facility. The Committee may collaborate
in implementing the recommendations, provided that management has established
favourable conditions for the collaboration to occur (clear delegation of responsibilities,
training, support personnel, etc.).

Benefits of a Productive Occupational Health and Safety Committee

1. Accident reduction. Time lost due to accidents will decrease.
Additional expenses such as funds paid for overtime, retraining, and
compensation to other workers who stopped working or helped the
accident victim also will be cut down.
2. Prevention of occupational diseases. The adoption of adequate
preventative measures to protect workers can prevent the acute effects
of hazardous chemical substances such as headaches, dizziness,
nausea, disorientation, intoxication, and dermatological problems.
Long-term, chronic effects such as cancer, respiratory diseases and
neurological damage also can be prevented.
3. Morale boost in the workforce. This comes about as a result of
the committee’s calling of attention to the needs and improvements in
health and safety issues and providing a communication channel for
every worker to ensure that his or her concerns will be taken care of.
Workers see results and can verify that the employer is genuinely
interested in eliminating hazards. The worker then views his or her
workplace as cleaner, more orderly, and pleasant.
4. Damage reduction. The causes of damage to materials and
equipment are, by and large, the same as those of damage to the
worker’s physical integrity. Both imply high costs to the establishment
human costs due to the damage to the person and financial costs to
repair or replace equipment or material.
5. Productivity optimization. Time lost due to equipment failure or
poor work practices will be avoided.
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6. Reduction of material loss. Losses often result from precarious
work processes that can be controlled by health and safety practices.

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KM-03-KT06: CONCEPTS AND PRINCIPLES OF CAUSE AND

EFFECT ANALYSIS AND HOW THIS APPLIES TO
OCCUPATIONAL HAZARD IDENTIFICATION AND RISK
ASSESSMENT AND INCIDENT AND ACCIDENT
INVESTIGATION

On completion of this section you will be able to understand concepts and principles of
cause and effect analysis and how this applies to occupational hazard identification and
risk assessment and incident and accident investigation.

1. KT0601 Define what is meant by cause and effect and give examples of how this
applies to hazard identification, risk assessment and accident/incident investigation.
2. KT0602 Explain how a cause and effect analysis works and how it applies to risk
assessment, hazard identification and incident/accident investigation.
3. KT0603 Explain what is meant by preventative, corrective and contingency actions and
give examples of how this is applied in hazard identification, risk assessment and
accident/incident investigations. a. Cover pre-contact, contact and post contact controls.

KT0601 DEFINE WHAT IS MEANT BY CAUSE AND EFFECT AND GIVE EXAMPLES OF HOW THIS APPLIES TO HAZARD

IDENTIFICATION, RISK ASSESSMENT AND ACCIDENT/INCIDENT INVESTIGATION

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Risk factors need to be stated clearly and concisely to support effective management of risk.
Summarising risk identification and analysis in a statement is not a science and there is no
specific formula to get it right; The key to writing a good risk statement is having a
foundational understanding of risk components and their interrelationships. Understanding
key risk-related terms and their definitions, as well as the business and its objectives, will
result in more impactful risk articulation.

What is a cause and effect

When two or more events occur in a way that one event is the result of another, they have a
cause-and-effect relationship

To illustrate the application of these definitions in practice, one can consider a fictional bank
with an objective to “keep confidential customer information secure” that is implementing a
change to a highly complex customer account management system that handles customer
information

The key definitions are:

 Risk is the effect of uncertainty on objectives.

 An effect is a deviation from the expected. The effect in the example is the deviation
from the expected condition of customer information being kept secure. Expected
conditions are those conditions that are expected by the bank’s stated objectives and
policies.
 Uncertainty is the state, even partial, of deficiency of information related to
understanding or knowledge of an event, its consequence, or likelihood. Uncertainty in
the example is from not fully understanding the consequences of the change due to
the customer account management system being highly complex and inherently
difficult to understand. The greater the complexity of the at-risk area, the greater the
inherent uncertainty. The objective in the example is for the bank to keep confidential
customer information secure.
 An event is an occurrence or change of a particular set of circumstances and can
have several causes. In the example, the event may appear to be the system change
itself, but there is no direct effect on objectives if the change goes through without a
problem. An event must have an effect on objectives. Data leakage related to
problems with the change would be an event, as this directly affects the objective to
keep confidential customer information secure.
 A cause is that which gives rise to any action, phenomenon or condition. It is
important not to mix up the cause and the event. In the example, defective changes,

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such as encryption algorithms not encrypting data as expected, cause data leakage.
Defective changes do not have a direct effect on the objective of safeguarding
customer information in and of themselves, and so should not be seen as an event in
this case, but rather a cause. Data leakage, on the other hand, does have a direct
impact on objectives so it would not be a cause in this scenario. A risk statement can
contain multiple causes when applicable.
 A consequence is the outcome of an event affecting objectives. This element of the
risk statement is important because it highlights why one should care about the risk. It
is crucial that this is relevant, plausible and, ideally, quantified to give this element
meaning in real terms. A vague statement of “damage to reputation” is not enough.
How will this damage to the organisation’s reputation impact the organisation? If the
organisation is an effective monopoly, reputational damage may not be an issue.

The consequence ideally needs to be quantified using industry research data, internal
management information or known cause-and-effect relationships, such as known
fixed fines levied by regulators or known customer impacts for instances of customer
data leakage. A good example of this is the maximum fine of UK £500,000 that can be
levied by the UK Information Commissioner’s Office for confidential customer data
leakage incidents or alternatively customer churn of 6.4 percent derived from industry
research reports.

 Likelihood is the chance of something happening; risk is a combination of potential

events and consequences along with the associated likelihood of occurrence. In the
example, “something” refers to the combination of potential events and
consequences. Likelihood can be reasonably estimated through frequency analysis of
similar events in the industry, specific technology from internal organisation incident or
issue databases and consultation with subject matter experts. So, considering the
example, the risk analyst might look at the number of loss events in the past 12
months registered in an internal loss event database, an external database such as
the Privacy Rights Clearinghouse, or a media scan, where causes related to poorly
controlled changes are recorded. Looking at the frequency of these events over the
total number of changes made would give a basic estimation of the likelihood of the
event recurring.

Based on these definitions, a risk statement should look something like:

[Event that has an effect on objectives] caused by [cause/s] resulting

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in [consequence/s].

An alternative two statement version is:

[Event that has an effect on objectives] caused by [cause/s]. This may

result in [consequence/s].

The latter version is better to use if the risk statement sentence would be too long and needs
to be broken up to improve clarity. This might happen, for example, if there are a large
number of key risk causes.

Taking the previous example to illustrate this, if the bank’s objective is to “keep confidential
customer information secure” and the event is customer data leakage, corruption or
unavailability caused by defective system changes, the risk statement could be:

Customer data leakage, corruption or unavailability caused by defective

system changes resulting in financial fraud losses of UK £1 million and
an Information Commissioner’s Office fine of UK £500,000, customer
churn of 6.4 percent, and regulatory sanction by the Prudential
Regulation Authority.

Data leakage, corruption and unavailability are information security failure events. That is,
keeping information secure (the objective) has deviated from (the effect). The unauthorised,
defective or unfit changes are the causes of this effect on objectives, while the consequences
are defined in terms of what happens if the organisation fails to meet its objective.

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IAC0601 Given descriptions of various accidents and incidents in different industries and work
environments. Be able to:
a. Indicate how these situations explain the concept of cause and effect[8]
b. Describe how a cause and effect analysis should be done in each of the given situations; [5]
c. Through examples explain each step in a typical cause and effect process. [10]

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KT0602 EXPLAIN HOW A CAUSE AND EFFECT ANALYSIS WORKS AND HOW IT APPLIES TO RISK ASSESSMENT, HAZARD

IDENTIFICATION AND INCIDENT/ACCIDENT INVESTIGATION.

Business process improvements, the grail of any company’s operations, translate directly into
better profits by cutting costs and increasing competitiveness at the same time. In many
cases, business process improvements have accelerating cumulative effects on company
profits. If an insurance company, for example, can underwrite policies faster or settle claims
faster, it is providing better service and can do it at a lower cost; thus, competing better with
nimbler, smaller online competitors.

Unfortunately, any company has a limited amount of money to spend on business process
improvement, and that budget has to compete with many other priorities. If those in charge of
operations had the choice, they would put in new hardware and software, hire better qualified
people, provide them more training, and have a better work environment. However, practical
considerations force every company to pick and choose how much to spend on which
priorities. The question is – what are the right priorities? How does a company know that the
training course on people skills will actually make a difference in customer satisfaction? How
does the company know that the expensive CRM (customer relationship management)
system it is considering is going to make any difference? How does it know which one to do
first?

This is where cause-and-effect analysis, combined with careful design of experiments (DOE),
can provide a Six Sigma company with the data to make the most cost-effective decisions.
Many companies perform design of experiments without realizing it. For example, before
deciding whether to acquire a new CRM software application, a company may have a small
group of customer service agents try it out first. Or a company may decide to send a small
group of agents to a new training course to test whether the training makes any difference in
the quality of service they provide. A combination of cause-and-effect analysis and DOE is a
formal and more scientific approach to doing the same things a company may have been
doing informally.

Cause-and-effect analysis is a systematic way of generating and sorting hypotheses about

possible causes of a problem. Once the root causes of problems are identified, they can be
addressed rather than just the symptoms.

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A DOE is a structured, organized method for determining the relationship between factors
affecting a process and the output of that process. The output of the process is the
dependent variable that depends upon the independent variables to determine its outcome.

Cause-and-effect Analysis
A customer service business process is a good example. The company is trying to track
down the causes for poor customer service and fix them. A simple cause-and-effect analysis
could look something like Figure 1.

Figure 1: Cause-and Effect Analysis (3M&P) for Customer Service

Here, the root causes that determine how good or how bad the end product of customer
service might be are hypothesized and sorted into a standard 3M&P model:

Methods: Methods are the processes and procedures used by customer service to deliver its
services. These could be:

 Call workflow – Poor customer service, real or perceived by the customer, could be an
artifact of how call workflow is implemented within the organization. How annoying is it
to wait on hold or be passed from person to person when calling for customer
service?
 Call assignment – How are calls assigned? Does the customer reach the right person
who can solve the problem, the very first time?

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 Call escalation – If the first customer service person cannot solve the problem, who
does the customer talk to next? Does that help?

Materials: In the context of customer service, these are the policies, work environment,
incentive and reward structures set up within the company for the customer service agents:

 Work environment – Customer service is bound to be poor if the work environment of

the person delivering it is poor.
 Incentive structure – Metrics drive behavior. If customer service agents are measured
on how fast they close calls alone (average handling time), their incentive is to close
calls whether or not they have solved the customer’s problem.

Machine: In the context of customer service, these are the tools available to the agents to do
their jobs:

 CRM application – These days, most customer service agents use a customer
relationship management system to keep track of all customer interactions. How good
customer service is depending upon how well the CRM system is set up and fulfills
the precise needs of the agents when providing service.
 Problem knowledge base – Many organizations use a problem knowledge base to see
if the same problem has been solved for another customer.

People: For customer service to be good, the agents must have certain skills:

 Domain skills – A customer service person trying to resolve a computer hardware

problem needs to have the particular domain knowledge to be of help.
 Problem-solving skills – Customer service delivered over the phone requires a rather
systematic approach to problem-solving – eliminating obvious causes for a problem in
narrowing it down to the root causes.
 People skills – Perception of the quality of customer service depends to a large extent
upon the people skills of the agent.
 Under the 3M&P cause-and-effect analysis, the quality of customer service can
depend upon many factors. How does this relate to design of experiments? Good
customer service depends to a large extent on the above factors, but how does a
company decide that spending money on training is a more prudent investment than

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investing in a new CRM system? This is where DOE provides a way of measuring the
relative efficacies of one cause over another.

Design of Experiments
The Pareto principle (the 80/20 rule) applies to customer service as much as to any other
process within a company. Thus, 80 percent of the improvement in customer service is likely
to come from 20 percent of the causes above. The question is, which 20 percent?

To address this question with an example DOE exercise, consider the quality of customer
service provided as the dependent variable and the factors identified in the cause-and-effect
analysis as the independent variables. The experiments which could be done include the
following:

 Selective training of a sub-group of agents – A sub-group of agents become the

experimental group while the rest of the agents become the control group. Now if the
company can measure the quality of customer service in some objective way (say, a
comprehensive customer satisfaction survey), the company could compare the results
of the experimental group with that of the control group to see the extent to which a
training course improves agent performance.
 Sub-group of agents using a new CRM system – If the company is implementing a
pilot project of a new CRM system, have a sub-group of agents use it initially. Their
quality of service compared with the rest of the agents will give the company some
idea of the real effects of the CRM system on agent performance.
 Trying out a proposed incentive structure on a sub-group of agents – Before
rolling out a new incentive structure to all agents, try it out on a sub-group of agents
and see how it affects agent performance.
 Trying out a new workflow or escalation process – New workflow processes or
escalation processes are constantly experimented with in companies. Performing a
process as a DOE exercise helps the company measure the results in as scientific a
way as possible.
 Setting up of a proof of concept of a new knowledge base system – Try out a
new knowledge base system on a few agents first and measure their performance as
a DOE exercise.
This is a gross simplification of the kinds of information that DOE can provide. The above
correlations of single factors as a determinant of quality of customer service can be analyzed
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using analysis of variance (ANOVA) to see how related quality of customer service is to any
of the above factors. One-way ANOVA relates one of the independent variables to the
dependent variable – in this case, quality of customer service. Sometimes in practice, the
combination of two factors is really worth more than just the two factors added up together.
For example, experienced customer service managers know that good problem-solving skills,
combined with a powerful knowledge base, can improve the quality of service dramatically.
Two-way ANOVA can help consider two factors together and analyze their effects on the
quality of service on the whole, with proof obtained from data collected when processes are
executed.

The key in the above analyses is collection of data. When collecting process execution data,
it is just a simple additional step to collect data that has details such as the agent, years of
experience, skill levels, which CRM system was used (older or the newer one being
considered), etc. When process execution data is collected this way, doing DOE becomes
just extracting subsets of data already in hand and analyzing them.

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KT0603 EXPLAIN WHAT IS MEANT BY PREVENTATIVE, CORRECTIVE AND CONTINGENCY ACTIONS AND GIVE EXAMPLES OF

HOW THIS IS APPLIED IN HAZARD IDENTIFICATION, RISK ASSESSMENT AND ACCIDENT/INCIDENT INVESTIGATIONS.

Root Cause Corrective Action for non-conformances has long been a requirement for those
working in industries with critical processes. It is a process of determining the causes that led
to a nonconformance or event and implementing corrective actions to prevent a recurrence of
the event. Submitting full and complete responses will aid in acceptance of your responses,
shorten the cycle time for accreditation/approval, and provide you with a powerful continual
improvement tool.

Definition: Correction “Correction” action to eliminate a detected nonconformity.

1. A correction can be made in conjunction with a corrective action.
2. A correction can be, for example, rework or regrade

Definition: Corrective Action “Corrective action” action to eliminate the cause of a detected
non-conformity or other undesirable situation.
1. There can be more than one cause for a nonconformity.
2. Corrective action is taken to prevent recurrence.
3. There is a difference between correction and corrective action.

Corrective Action
Corrective action requests are the usual system companies use to fix problems when they
are found, whether they are discovered on the production line or by a customer. The goal is
to eliminate defective product and to take appropriate action to prevent the same problem
from recurring.

Most companies with quality management systems are pretty good with corrective action.
They have a system in place that tracks corrective actions needed, who is in charge of them,
and the deadline for action, and documents to track all of this. They have a system for doing
root cause analysis in place to get to the bottom of problems and truly solve them rather than
doing corrections on an ongoing basis.

Root cause analysis is what separates corrective actions from corrections (rework, refunds to
a dissatisfied customer, etc). Auditors will say that if your identified root cause is that an
employee needs more training, you probably haven’t found the root of the problem. Why
didn’t they have the training? What procedure or lay-out needs to be changed to prevent that
problem from occurring again? Done well, root cause analysis prevents more of the same
problems from recurring in the future, improving quality. One place companies can have
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trouble with corrective action is in verification of effectiveness. A corrective action doesn’t
actually correct the problem unless it is effective, and there is no way to know this without
checking on it later, usually 1-4 months after the change is implemented. A problem corrected
on the spot is not a closed corrective action because there is no time to verify effectiveness.

Preventive Action
Corrective action is easy in some ways because it is a reaction to a known problem.
Preventive action is harder because there isn’t a problem yet. Preventive action is hunting
down the problems before they occur, before anyone notices. It isn’t finding a method for
catch out of tolerance errors during final inspection, it is a procedure for checking machine
tolerances during production and catching them before they are out of spec.

Preventive action is related to risk analysis. It is asking, what could go wrong? And how do
we prevent it? Preventive actions can come from analysing data or from line worker
suggestions. Customer comments that aren’t really complaints are another useful source of
information. Analyse warranty data and look for trends. Analyse root causes of
nonconformances and look for trends. Do customer complaints seem to cluster around some
underlying issue? If so, then preventive action can be used to address the problem.

PRE-CONTACT METHOD

Elimination
Elimination of a specific hazard or hazardous work process, or preventing it from entering the
workplace, is the most effective method of control.

Eliminate hazards at the “development stage”

It is important to consider worker health and safety when work processes are still in the
planning stages. For example, when purchasing machines, safety should be the first concern,
not cost. Machines should conform to national safety standards — they should be designed
with the correct guard on them to eliminate the danger of a worker getting caught in the
machine while using it. Machines that are not produced with the proper guards on them may
cost less to purchase, but cost more in terms of accidents, loss of production, compensation,
etc. Unfortunately, many used machines that do not meet safety standards are exported to
developing countries, causing workers to pay the price with accidents, hearing loss from
noise, etc.

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Some kinds of preventive action:
 Disaster recovery planning and contingency plans
 Risk analysis, FMEA
 New-hire training
 Improved employee training
 Procedures updated regularly
 Safety planning (because a safety problem often reflects a potential quality problem)
 Alarms to warn if a process is drifting toward instability
 Review of problems in similar companies or processes to see what has worked
 Lean systems
 Preventive maintenance and calibrations systems

Once the need for preventive action has been decided on, and the benefit is analysed to be
sure it is worth the effort and cost of making the fix, the actions can go through the same kind
of system (frequently the same system) as corrective actions, including a review of the
effectiveness of the actions. Both corrective actions and preventive actions may require an
iterated process to finally resolve the problems.

Corrective action is usually more urgent for companies and is a good place to start. But
ignoring the potential for improvements driven by preventive action keeps a company from
having the highest quality it can achieve.

Post Control Measures

Corrective Action Process

 Locate and document the root cause of the nonconformity.
 Scan the entire system to ensure no other similar nonconformity could occur.
 Analyse the effect such a nonconformity may have had on a product or service
produced before the nonconformity was discovered and take action appropriate to the
severity of the situation by either recalling the product, notifying the customer,
downgrading or scrapping product.
 Establish thorough follow-up to ensure the correction is effective and recurrence has
been prevented.

Preventive Action Process

 Take proactive steps to ensure a potential nonconformity does not occur.

 Employ process and system analysis to determine how to build in safeguards and process
changes to prevent nonconformance. For example, use a failure mode and effects
analysis to identify risks and potential deficiencies and to set priorities for improvement.

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Developmental Action Process (Treated as Preventive Actions)

 Initiate an improvement project, with project plans, justification for planned expenditures,
resource controls and evaluation.

 Contain a related series of actions, often separated by long periods so you can wait and
see progress and results.

 Use a variety of appropriate disciplines at different times during the project.

 Establish a means for communicating what has been done and what has to be done to
facilitate communication about changes to project team members.

 Include a clear trail of actions taken and decisions made to substantiate the decision to
proceed, document lessons learned and avoid needless reinvention on future similar
projects.

Documenting and controlling corrective and preventive actions ensure appropriate action is
taken within a reasonable timeframe and the resulting changes work.

Requirements for corrective action

Establishment and maintenance of documented procedures for implementing corrective and
preventive action.
 Corrective or preventive action taken to eliminate the causes of actual or potential
nonconformities to a degree appropriate to the magnitude of the problems and
commensurate with the risks encountered.
 Implementation and recording of changes to the documented procedures resulting
from corrective and preventive action.
 Effective handling of customer complaints and reports of product nonconformities
 Investigation of the cause of nonconformities relating to product, process and quality
system, and recording the results of the investigation.
 Determination of the corrective action needed to eliminate the cause of
nonconformities.
 Application of controls to ensure that corrective action is taken and that it is effective.

The response submitted must demonstrate compliance with each of these requirements.
Following the process described herein and documenting these steps will allow you to
demonstrate this compliance. All of these requirements are met within a corrective action
process that addresses:
 Containment
 Problem definition
 Analysis
 Solution
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 Assessment

Root Cause Corrective Action

There are numerous successful approaches to root cause corrective action and any of them
can be used. The requirements for response, are:
 Immediate Corrective Action Taken
 Root Cause of the Nonconformance
 Impact of All Identified Causes and the Root Cause
 Actions Taken to Prevent Recurrence
 Define and Attach Objective Evidence

The process described here is “a” process for identifying the information required by industry
managed accreditation programs as well as meeting corrective action requirements. The
steps described here encompass essential elements of any corrective action system but may
be accomplished with different tools or called by different names. For our purposes we will
use the term “event” to mean any of the following: audit finding, product failure, customer
complaint, customer return, scrap, rework, SPC special cause, accident, etc. Whatever
process you use, whatever terms you use, make certain you understand how and where your
responses fit into the submittal requirements.

Containment Action
Containment action is the first step in this process. These are the actions taken immediately
after you become aware of the event to stop the event from occurring and preventing or
minimizing any impact from the event. You contain the problem and the effects prior to
beginning corrective action. While these actions may be called specific corrective action,
please note that there are no actions here to correct the problem, they are just damage
control:

 Put out the fire: This step is where you stop the event from occurring.
 Assess the damage: Once you have stopped the event from occurring, determine
what and how much damage has been done.
 Contain all effects: Upon determination of the amount and extent of damage, prevent
everything that was affected from escaping, and determine if anything has escaped.
 Notify as appropriate: If it is determined that product may have escaped, notify any
impacted customers.

These steps are the actions taken to bring the noncompliance into compliance. This is the
immediate corrective action constituting the information to be supplied in the Immediate
Corrective Action. Each of these steps should be described in detail. Advise exactly what
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steps you took to stop the event from occurring, what was the impact and how you
determined this. Describe in detail the steps you took to contain any effects (while we are
critically concerned with hardware, effects may go beyond product). If product has, or may
have, been shipped to a customer, advise who and how you notified customers.

Problem Definition
Corrective action begins with clearly defining the actual problem. While this may seem
simple, many repetitive non-conformances result because the wrong problem was solved,
only the outcome was fixed, or only one problem was corrected when there were really two or
more problems. The steps involved in problem definition are:
 Forming the team
 Identifying the problem
 Gathering and verifying data

Forming the Team Assigning the wrong personnel to corrective action projects is a common
problem. Many times, the projects are assigned to Quality, when Quality did not make the
error, or it may be assigned to employees in charge of the area where the problem or
noncompliance was discovered when the noncompliance resulted from a systemic problem
that goes far beyond the area where the noncompliance was discovered. A team of
stakeholders in the problem should be assembled. Who owns the problem?

Who has a stake in the outcome and the solution to the problem? Who are the vested owners
of both the problem and the solution? These are the people who know the process, have the
data and experience, and they are the ones will have to implement the corrective actions.
Without the full support of the stakeholders, long-term solutions are not likely. Once the
stakeholders are identified, consider if additional expertise is needed.

If so, the team may need to include qualified team members or ad-hoc members who, while
not stakeholders, can contribute information, technical expertise, management support, or
offer advice. Please note that the stakeholders and qualified members may change as the
team gains more information and data. Clarifying the problem or additional problems may
surface involving additional stakeholders or require additional expertise. As the process
evolves, continue to assure that your team includes stakeholders and necessary experts and
resources.

Identifying the Problem(s)

In order to fix a problem, it must be clearly and appropriately defined. Frequently, the
nonconformance identified is not really the problem, but the symptom of the problem. If you
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have an expired gage, that is a symptom of a problem with your recall system. A flow-down
problem is generally a contract review or quality planning issue. Asking questions similar to
the following will help you to address the actual problem and not just the symptom that was
identified as the event.
 What is the scope of the problem?
 How many problems is it?
 What is affected by the problem?
 What is the impact on the company?
 How often does the problem occur?
Addressing these types of questions will assist you in clarifying and defining the problem(s).

“If you cannot say it simply, you do not understand the problem.”

Once the problem is defined, it must be clearly stated in simple terms. While some problems
might be “the unique, inherent metallurgical properties”, you aren’t going to be able to fix that,
but certainly there is some process variability that contributed to this and can be fixed. Do not
allow yourself to hide behind the technical, state-of-the-art nature of industries with critical
processes. Very few of our problems are actually technical or high-tech. When the problem is
known, the event question to be answered can be formed. This event question begins the “5-
Why” process.

An event question is:

Short
Simple
Concise
Focused on one problem
Is a question starting with Why………?
Is the first “Why” in the process

An event question does not:

Tell what caused the event
State what to do next
Explain the event

Gather and Verify Data

When the problem is identified, it is time to begin data collection. The factual information and
data necessary to assure a thorough cause analysis needs to be collected. Data may have to
be collected several times during this process, but the preliminary collection phase occurs
now and will guide the analysis process.
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Initial data gathering starts at the scene. Data has a shelf life, the longer you wait the more
difficult it becomes to obtain good information. When possible, go to the scene and take note
of who was present, what is in place, when the event occurred and where the event
happened. If the event is in the form of an audit finding, try to recover as much of the scene
as possible.

Types of data to collect:

 Location -the site, building, department, or field location where the event took place 
Names of Personnel -operations personnel, visitors, contractors
 Date and Time
 Specifications -what are the requirements?
 Operational Conditions -start up, shutdown, normal operations
 Environmental Conditions -noise levels, visual distractions, lighting, temperature, etc.
 Communications -verbal or written, what orders were being followed?
 Sequence of Events -in what order did things take place?
 Equipment -what was being operated?
 Physical Evidence -damaged equipment or parts, medical reports
 Recent Changes -in personnel, equipment or procedures
 Training -classroom, on-the-job, none
 Other Events -have there been similar occurrences?

Once gathered, verify the accuracy of the data. Cause analysis is performed based on fact.

Remember, if you don’t look, you will not find the problem. Make sure that gathered data is
correct and complete. Then go where the data takes you. Do not take the data where you
want it to go

Analysis

When the problem is identified, and preliminary data has been gathered and verified, the
analysis can begin. We will describe a “5-Why” process, but analysis may take other forms.
This process uses the Why – Why – etc. method to build a cause chain because it is a
natural, logical progression for thinking through a problem. The 5-Why process is called that
because, generally speaking, it takes 5 “whys” to get to the logical end of the cause chain.
Not all because chains will be complete in 5 whys, some will take 7 and others will reach their
end in 3.
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Example of Why-
Why Method of Questioning
The Event: I didn’t get to work on time.

Event related Question:

 Why was I late? (Simple Question)
 Car wouldn’t start (Simple Answer)
 Why didn’t the car start? (Simple Question) T
 he Battery was dead (Simple Answer)
 Why was the battery dead? (Simple Question)
 Dome light was on all night (Simple Answer)
 Battery was old (Answer to this chain)
 Why was the light on? (Simple Question)
 The car door was left open (Simple Answer)
 Why was the door open? (Simple Question)
 Kids played in car (Simple Answer)
 Why were Kids in car? (Simple Question)
 Car not locked (Simple Answer)
 Why was car unlocked? (Simple Question)
 Remote access failed to activate lock. (Simple Answer)

The answers to the “Why” questions form a chain of causes leading to the root cause. The
answer to the first Why is the direct cause. The logical end of each chain is a root cause
(each chain will have its own root) and the causes in between the direct cause and the root
cause are contributing causes. There may be no contributing causes, but there is always a
root cause – the best and logical place to stop as identified by the team. This place is where
continuing to ask Why adds no value to prevention of recurrence, variability reduction, or cost
savings.

For example, if the event is:

 A procedure does not exist or needs revision -- Why doesn’t it exist (and stating that
someone did not know is not acceptable) – What was the systemic reason for the lack
of knowledge
 Operator (or technician) not trained and/or qualified – Why was the operator not
trained (stating that training was not conducted only restates the finding) and Why is
an unqualified operator performing work

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There may be multiple branches and multiple root causes (each branch having its own root
cause). Each branch should be analyzed and worked down to its’ logical end. Many of these
identified causes, may not directly relate to the problem, but point to issues that still need to
be addressed to prevent future problems.

Some formal method of prioritizing causes will need to be developed to aid in determining
when an identified cause should be worked, as a large number of causes will be generated
and not all are worthy of much investment to fix. The figure below demonstrates a complete
5-why analysis with grayed out boxes being either causes not supported by data or causes
not to be fixed by some formal prioritization method.

Using the 5-Why approach provides a structured approach to corrective action and can form
the basis for a broad-based continual improvement and preventive action plan. This formal
process should capture and prioritize causes and address them as the basis for continual
improvement efforts. The issues identified through this process are obstacles within the
organization that are costing time, money, and frustration. This cause identification process,
coupled with a structured prioritization process will also satisfy the requirements for:

 Corrective action to a degree appropriate to the magnitude of the problems and

commensurate with the risks encountered
 Effective handling of customer complaints and reports of product nonconformities
 Investigation of the cause of nonconformities relating to product, process and quality
system, and recording the results of the investigation

The root cause of the chain with the highest priority should be identified as the Root Cause in
the format required. The contributing causes between the root cause and the direct cause
may be included to clarify your analysis process.

Impact
You should now re-examine your impact statement. While the impact and effects of the event
were addressed as part of your immediate corrective (or containment action), you have now
identified numerous causes that may also have impacted your products or processes.
Consider the effects that the entire cause chain has had and be certain that they get
addressed. If necessary, readdress the Impact statement. Be certain that this statement
addresses:

 Scope of non-conformance – limited to 1 part or 1 lot, or was it systemic and what

specific parts were affected
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 Description of what was done to review similar product to confirm or reject the
possibility of a systemic problem
 Evidence of customer notification and response
 Disposition of any nonconforming parts

Solution
It is now time to begin problem solving, and if you have built a good cause chain, you know
what needs to be fixed. Some of the problems have been fixed as part of containment, but
now it is time for root cause preventive action. Preventive Corrective Action can also be
thought of as Sustaining, as you cannot prevent the event at this juncture, it has already
happened. Actions taken now are to prevent recurrence of the event. They focus on breaking
the cause chain completely by fixing the contributing causes and the root cause.

A contributing cause, if not addressed, could be a future root cause. Preventive Action is a
series of actions that positively change or modify system performance. It focuses on the
systemic change and the places in the process where the potential for failure exists.
Preventive Action does not focus on individual mistakes or personnel shortcomings.

In determining solutions consider the following

 Feasibility: The solutions need to be within the company’s resources and schedule.
 Effectiveness: The solutions need to have a reasonable probability of solving the
problem.
 Budget: Solution costs must be within the budget of the company and appropriate for
the extent of the problem.
 Employee Involvement: The departments and personnel affected by the problem need
to be involved in creating the solution.
 Focus on Systems: The solutions should be focused on systemic issues. Operators
do make mistakes, but that is not usually the root cause of the problem.
 Contingency Planning: All solutions are developed with a certain expectation of
success. Critical elements of the solution should have contingency plans available to
prevent failure of the entire solution.

Guidelines for Solution Development:

 There is no absolute correct solution. Other solutions should be ranked based on
the degree of effectiveness and suitability for the company.
 Do not rush to a solution and be willing to think about alternatives over a
reasonable period of time.
 Always be willing to challenge the root cause as a symptom of a larger problem.

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 Never accept an assumption as fact without significant data. When devising a
corrective action, ask whether they lower the risk of the event recurrence to an
acceptable level, and if there are any adverse effects that might be caused to
make the action undesirable.

Assessment
The assessment portion of the corrective action process includes both:
 Follow-Up: A review done by a team member to ensure all corrective actions are
implemented as stated.
 Assessment: An independent review to determine if the corrective actions have been
effective in preventing recurrence.

Follow-Up
Corrective actions must be accomplished as stated and someone is responsible to assure
that the actions were implemented. When verifying implementation, it is important to take
things literally. Was everything accomplished as you stated in the report? Were the tasks
accomplished according to the established timeline? Do not commit to actions that the team
cannot deliver. Be careful in use of terms, such as everyone or all. Remember, you have to
show you have done what you said you would do and be able to show objective evidence.

Assessment
Once the action has been implemented, you are required to determine that the actions taken
were effective. In order to determine effectiveness, you must define the criteria by which you
measure effectiveness and what is acceptable. Assessing effectiveness of actions taken will
be a significant step in reducing non-sustaining corrective actions.

i. Determine the criteria for and the frequency of evaluation

ii. Evaluate
iii. Close or return to the cause chain if necessary. Please note: The
effectiveness of your corrective actions will be verified during
subsequent audits. Ineffective or non-sustaining corrective action is
cause for removal from the Supplier Merit Program, where applicable.
Non-sustaining corrective actions are one of the biggest sources of
findings across all Task Groups

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Contingency Planning
Contingency planning is the act of preparing a plan, or a series of activities, should an
adverse risk occur. Having a contingency plan in place forces the project team to think in
advance as to a course of action if a risk event takes place.
 Identify the contingency plan tasks (or steps) that can be performed to implement the
mitigation strategy.
 Identify the necessary resources such as money, equipment and labour.
 Develop a contingency plan schedule. Since the date the plan will be implemented is
unknown, this schedule will be in the format of day 1, day 2, day 3, etc., rather than
containing specific start and end dates.
 Define emergency notification and escalation procedures, if appropriate. • Develop
contingency plan training materials, if appropriate.
 Review and update contingency plans if necessary.
 Publish the plan(s) and distribute the plan(s) to management and those directly
involved in executing the plan(s).

Contingency may also be reflected in the project budget, as a line item to cover unexpected
expenses. The amount to budget for contingency may be limited to just the high probability
risks. This is normally determined by estimating the cost if a risk occurs and multiplying it by
the probability. For example, assume a risk is estimated to result in an additional cost of
R50,000, and the probability of occurring is 80%. The amount that should be included in the
budget for this one item is R40,000.

Associated with a contingency plan, are start triggers and stop triggers. A start trigger is an
event that would activate the contingency plan, while a stop trigger is the criteria to resume
normal operations. Both should be identified in the Risk Register and can be embedded,
example; the stop trigger can be included in the contingency plan field.

Tracking and Reporting

As project activities are conducted and completed, risk factors and events will be monitored
to determine if in fact trigger events have occurred that would indicate the risk is now a
reality. Based on trigger events that have been documented during the risk analysis and
mitigation processes, the project team or project managers will have the authority to enact
contingency plans as deemed appropriate. Day to day risk mitigation activities will be enacted
and directed by the project managers.

Contingency plans that once approved and initiated will be added to the project work plan and
be tracked and reported along with all of the other project activities. Risk management is an
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ongoing activity that will continue throughout the life of the project. This process includes
continued activities of risk identification, risk assessment, planning for newly identified risks,
monitoring trigger conditions and contingency plans, and risk reporting on a regular basis.
Project status reporting contains a section on risk management, where new risks are
presented along with any status changes of existing risks. Some risk attributes, such as
probability and impact, could change during the life of a project and this should be reported
as well.

Processes to Address Immediate Unforeseen Risks

The individual identifying the risk will immediately notify the project managers. The individual
notified will assess the risk situation. If required, the project managers will identify a mitigating
strategy, and assign resources as necessary. The project risk manager will document the risk
factor and the mitigating strategy

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KM-03-KT07: PRINCIPLES, CONCEPTS AND PROCESSES

OF HAZARD IDENTIFICATION, RISK ASSESSMENT AND
CONTROL

On completion of this section you will be able to understand principles, concepts and
processes of hazard identification, risk assessment and control.

KT0701 Describe the process of hazard identification and risk assessment giving practical
a. Steps for identifying hazards; b. Different processes of classifying hazards; c. Typical
process for identifying the related risks; d. Methods of classifying and describing significant
risks; e. Scope (stakeholders, techniques and area); f. Various process steps for conducting
the assessment g. Implementation steps; h. Monitoring and reporting process. KT0702
Explain the difference and interrelationship between hazards and risks: a. Definition of a
Hazard; b. Definition of a Risk; c. The cause and effect relationship between hazards and
risks; KT0703 Describe what is meant by controls and give examples of controls to prevent
hazards from causing incidents as well as controls to mitigate the consequences when a
hazard does cause an accident/incident. Explain the hierarchy of control of hazards and
risks: a. Description as per the Health and safety regulations KT0704 Explain the legal
requirements regarding hazard identification and risk assessment. Describe the various
sources of hazards

THIS SECTION IS COVERED IN KT01

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KM-03-KT08: CONCEPTS, PRINCIPLES AND LEADING

PRACTICES ASSOCIATED WITH CONTINUOUS
IMPROVEMENT

On completion of this section you will be able to understand concepts, principles and
leading practices associated with continuous improvement

1. KT0801 Describe what is meant by continuous improvement and how it manifests in

the plan, do, check, act cycle: a. Comparison with the management functions
(POLC); b. Discuss the principles of effective controls within the management
functions (ISMECC)
2. KT0802 Give examples of continuous improvement processes in various work
places.
3. KT0803 Describe the advantages and implications of the effective use of continuous
improvement processes.
4. KT0804 Explain the typical practices associated with continuous improvement
processes: a. Occurrence management; b. Deviation and non-conformance
management; c. Lessons learnt and organisation wide implementation; d.
Modification management; e. Proper commissioning and change management.
5. KT0805 Explain the importance of standards and specifications in ensuring
continuous improvement.
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KT0801 DESCRIBE WHAT IS MEANT BY CONTINUOUS IMPROVEMENT AND HOW IT MANIFESTS IN THE PLAN, DO, CHECK, ACT

CYCLE

Although many quality improvement issues involve complex systems that impact numerous
processes, functions, and departments within an organization, managers must also
implement quality improvements at a much smaller scale within their work units. There are
numerous issues involving work flow, customer service, communication, data management,
and other matters that are solely within your team’s purview that can make a big difference in
enhancing the functioning of your team.

One tool you can use to implement continuous improvement in your team is the plan-do-
check-act model, also called the Deming Cycle or the Shewhart Cycle. This model is
described as:
 Plan: Identify an opportunity and plan for change.
 Do: Implement the change on a small scale.
 Check: Use data to analyze the results of the change and determine whether it made
a difference.
 Act: If the change was successful, implement it on a wider scale and continuously
assess the results. If unsuccessful, begin the cycle again.

To engage in a continuous improvement effort with your team, consider these basic steps:
1. Assemble the team to identify a specific process issue requiring improvement.
2. Engage in processes to identify root causes of the problem. Many of the tools listed
in this chapter may assist you to do this.

3. Chart the current process used. Typically, some form of flowcharting will assist you to
do this. The most commonly used symbols in flowcharting are as follows:

a) To illustrate the basic flowchart process, the diagram that follows provides a rather
exaggerated process that a short-order cook at a delicatessen might go through to
prepare an order for a pastrami sandwich on rye with potato chips to go. Though
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flowcharting systems in your work are undoubtedly more complex than this, this
example illustrates the many seemingly simple steps that must be accounted for when
flowcharting. You must be careful to chart each step-in order to identify whether each
step is necessary or if some steps are redundant or otherwise unnecessary.

4. Chart the ideal process that the team envisions will improve the process. Typically,
when compared to the current process, this will reveal the opportunity to eliminate
steps that are redundant, time-consuming, or inefficient in other ways.

5. Agree on the ideal model and identify the barriers and bottlenecks that may prevent
its implementation and discuss how to address them. Are there arbitrary policies,
practices,and procedures that need to be corrected? Are there others outside the
team who have some control or ownership over the current process with whom the
team must negotiate? Are there impacts upstream or downstream that must also be
addressed in order to realize this new model?

6. Determine who will address the barriers and bottlenecks identified, the timeline and
deadlines for addressing them, and then proceed to address them.

7. Implement the change. Determine how you will measure the effectiveness of the
change and evaluate the new process accordingly.

8. Check progress at the agreed-upon time. Make modifications as necessary. If

change proves ineffective, return to the initial steps to identify causes and create a
new ideal process. Note: If significant change is still needed beyond minor
modifications, chances are that sufficient time was not spent to identify causes. For
example, it is possible that the process itself is sufficient, but factors like personality
clashes, lack of sufficient resources, or a lack of commitment among team members
or others outside the team needed to implement the process are the true culprits of
the inefficiencies.

a. Comparison with the management functions

A manager’s primary challenge is to solve problems creatively. While drawing from a variety
of academic disciplines, and to help managers respond to the challenge of creative problem
solving, principles of management have long been categorized into the four major functions of
planning, organizing, leading, and controlling (the P-O-L-C framework). The four functions,
summarized in the P-O-L-C figure, are actually highly integrated when carried out in the day-
to-day realities of running an organization. Therefore, you should not get caught up in trying
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to analyze and understand a complete, clear rationale for categorizing skills and practices
that compose the whole of the P-O-L-C framework.

It is important to note that this framework is not without criticism. Specifically, these criticisms
stem from the observation that the P-O-L-C functions might be ideal but that they do not
accurately depict the day-to-day actions of actual managers. The typical day in the life of a
manager at any level can be fragmented and hectic, with the constant threat of having
priorities dictated by the law of the trivial many and important few (i.e., the 80/20 rule).
However, the general conclusion seems to be that the P-O-L-C functions of management still
provide a very useful way of classifying the activities managers engage in as they attempt to
achieve organizational goals.

The P-O-L-C Framework

Planning Organising Loading Controlling

1. Vision and mission 1. Organising 1. Leadership 1. Systems
2. Strategizing Design 2. Decision making Processes
3. Goals and 2. Culture 3. Communications 2. Strategic
objectives 3. Social 4. Groups/Teams Human
Networks 5. Motivation Resource

Planning

Planning is the function of management that involves setting objectives and determining a
course of action for achieving those objectives. Planning requires that managers be aware of
environmental conditions facing their organization and forecast future conditions. It also
requires that managers be good decision makers.

Planning is a process consisting of several steps. The process begins with environmental
scanning which simply means that planners must be aware of the critical contingencies facing
their organization in terms of economic conditions, their competitors, and their customers.
Planners must then attempt to forecast future conditions. These forecasts form the basis for
planning.

Planners must establish objectives, which are statements of what needs to be achieved and
when. Planners must then identify alternative courses of action for achieving objectives. After

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evaluating the various alternatives, planners must make decisions about the best courses of
action for achieving objectives. They must then formulate necessary steps and ensure
effective implementation of plans. Finally, planners must constantly evaluate the success of
their plans and take corrective action when necessary.

There are many different types of plans and planning

Strategic planning involves analyzing competitive opportunities and threats, as well as the
strengths and weaknesses of the organization, and then determining how to position the
organization to compete effectively in their environment. Strategic planning has a long-time
frame, often three years or more. Strategic planning generally includes the entire organization
and includes formulation of objectives. Strategic planning is often based on the organization’s
mission, which is its fundamental reason for existence. An organization’s top management
most often conducts strategic planning.

Tactical planning is intermediate-range (one to three years) planning that is designed to

develop relatively concrete and specific means to implement the strategic plan. Middle-level
managers often engage in tactical planning.

Operational planning generally assumes the existence of organization-wide or subunit goals

and objectives and specifies ways to achieve them. Operational planning is short-range (less
than a year) planning that is designed to develop specific action steps that support the
strategic and tactical plans.

Organizing
Organizing is the function of management that involves developing an organizational
structure and allocating human resources to ensure the accomplishment of objectives. The
structure of the organization is the framework within which effort is coordinated. The structure
is usually represented by an organization chart, which provides a graphic representation of
the chain of command within an organization. Decisions made about the structure of an
organization are generally referred to as organizational design decisions.

Organizing also involves the design of individual jobs within the organization. Decisions must
be made about the duties and responsibilities of individual jobs, as well as the manner in
which the duties should be carried out. Decisions made about the nature of jobs within the
organization are generally called “job design” decisions.
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Organizing at the level of the organization involves deciding how best to departmentalize, or
cluster, jobs into departments to coordinate effort effectively. There are many different ways
to departmentalize, including organizing by function, product, geography, or customer. Many
larger organizations use multiple methods of departmentalization.

Organizing at the level of a particular job involves how best to design individual jobs to most
effectively use human resources. Traditionally, job design was based on principles of division
of labor and specialization, which assumed that the more narrow the job content, the more
proficient the individual performing the job could become. However, experience has shown
that it is possible for jobs to become too narrow and specialized. For example, how would you
like to screw lids on jars one day after another, as you might have done many decades ago if
you worked in company that made and sold jellies and jams? When this happens, negative
outcomes result, including decreased job satisfaction and organizational commitment,
increased absenteeism, and turnover.

Recently, many organizations have attempted to strike a balance between the need for
worker specialization and the need for workers to have jobs that entail variety and autonomy.
Many jobs are now designed based on such principles as empowerment, job enrichment and
teamwork. For example, HUI Manufacturing, a custom sheet metal fabricator, has done away
with traditional “departments” to focus on listening and responding to customer needs.

Leading
Leading involves the social and informal sources of influence that you use to inspire action
taken by others. If managers are effective leaders, their subordinates will be enthusiastic
about exerting effort to attain organizational objectives.

The behavioral sciences have made many contributions to understanding this function of
management. Personality research and studies of job attitudes provide important information
as to how managers can most effectively lead subordinates. For example, this research tells
us that to become effective at leading, managers must first understand their subordinates’
personalities, values, attitudes, and emotions.

Studies of motivation and motivation theory provide important information about the ways in
which workers can be energized to put forth productive effort. Studies of communication
provide direction as to how managers can effectively and persuasively communicate. Studies
of leadership and leadership style provide information regarding questions, such as, “What

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makes a manager a good leader?” and “In what situations are certain leadership styles most
appropriate and effective?”

Controlling
Controlling involves ensuring that performance does not deviate from standards. Controlling
consists of three steps, which include

(1) establishing performance standards,

(2) comparing actual performance against standards,

(3) taking corrective action when necessary. Performance standards are often stated in
monetary terms such as revenue, costs, or profits but may also be stated in other terms, such
as units produced, number of defective products, or levels of quality or customer service.

The measurement of performance can be done in several ways, depending on the

performance standards, including financial statements, sales reports, production results,
customer satisfaction, and formal performance appraisals. Managers at all levels engage in
the managerial function of controlling to some degree.

The managerial function of controlling should not be confused with control in the behavioral or
manipulative sense. This function does not imply that managers should attempt to control or
to manipulate the personalities, values, attitudes, or emotions of their subordinates. Instead,
this function of management concerns the manager’s role in taking necessary actions to
ensure that the work-related activities of subordinates are consistent with and contributing
toward the accomplishment of organizational and departmental objectives.

Effective controlling requires the existence of plans, since planning provides the necessary
performance standards or objectives. Controlling also requires a clear understanding of
where responsibility for deviations from standards lies. Two traditional control techniques are
budget and performance audits.

An audit involves an examination and verification of records and supporting documents. A

budget audit provides information about where the organization is with respect to what was
planned or budgeted for, whereas a performance audit might try to determine whether the
figures reported are a reflection of actual performance. Although controlling is often thought of
in terms of financial criteria, managers must also control production and operations
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processes, procedures for delivery of services, compliance with company policies, and many
other activities within the organization.

The management functions of planning, organizing, leading, and controlling are widely
considered to be the best means of describing the manager’s job, as well as the best way to
classify accumulated knowledge about the study of management. Although there have been
tremendous changes in the environment faced by managers and the tools used by managers
to perform their roles, managers still perform these essential functions.

b. Discuss the principles of effective controls within the management functions

(ISMECC)
After strategies are set and plans are made, management's primary task is to take steps to
ensure that these plans are carried out, or, if conditions warrant, that the plans are modified.
This is the critical control function of management. And since management involves directing
the activities of others, a major part of the control function is making sure other people do
what should be done.

The basic control process, wherever it is found and whatever it is found and whatever it
controls, involves three steps:
(1) establishing standards.
(2) measuring performance against these standards. and
(3) correcting deviations from standards and plans

 A good management control system stimulates action by spotting the significant

variations from the original plan and highlighting them for the people who can set
things right.2

Controls need to focus on results

This focus on measurement and feedback, however, can be seriously misleading. In

many circumstances, a control system built around measurement and feedback is not
feasible. And even when feasibility is not a limitation, use of a feedback-oriented
control system is often an inferior solution. Yet, good controls can be established and
maintained using other techniques.
What is needed is a broader perspective on control as a management function: this
article addresses such a perspective. The first part summarizes the general control
problem by discussing the underlying reasons for implementing controls and by
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describing what can realistically be achieved. In the second part, the various types of
controls available are identified. The last part discusses why the appropriate choice of
controls is and should be different in different settings.

Why Are Controls Needed?

If all personnel always did what was best for the organization, control — and even
management — would not be needed. But, obviously individuals are sometimes unable or
unwilling to act in the organization's best interest, and a set of controls must be implemented
to guard against undesirable behavior and to encourage desirable actions.

One important class of problems against which control systems guard may be called personal
limitations. People do not always understand what is expected of them nor how they can best
perform their jobs, as they may lack some requisite ability, training, or information. In addition,
human beings have a number of innate perceptual and cognitive biases, such as an inability
to process new information optimally or to make consistent decisions, and these biases can
reduce organizational effectiveness.4 Some of these personal limitations are correctable or
avoidable, but for others, controls are required to guard against their deleterious effects.

Even if employees are properly equipped to perform a job well, some choose not to do so,
because individual goals and organizational goals may not coincide perfectly. In other words,
there is a lack of goal congruence. Steps must often be taken either to increase goal
congruence or to prevent employees from acting in their own interest where goal
incongruence exists.

If nothing is done to protect the organization against the possible occurrence of undesirable
behavior or the omission of desirable behavior caused by these personal limitations and
motivational problems, severe repercussions may result. At a minimum, inadequate control
can result in lower performance or higher risk of poor performance. At the extreme, if
performance is not controlled on one or more critical performance dimensions, the outcome
could be organizational failure.

What Is Good Control?

Perfect control, meaning complete assurance that actual accomplishment will proceed
according to plan, is never possible because of the likely occurrence of unforeseen events.
However, good control should mean that an informed person could be reasonably confident
that no major unpleasant surprises will occur. A high probability of forthcoming poor

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performance, despite a reasonable operating plan, sometimes is given the label “out of
control.”

Some important characteristics of this desirable state of good control should be highlighted.
First, control is future-oriented: the goal is to have no unpleasant surprises in the future. The
past is not relevant except as a guide to the future,

Second, control is multidimensional, and good control cannot be established over an activity
with multiple objectives unless performance on all significant dimensions has been
considered. Thus, for example, control of a production department cannot be considered
good unless all the major performance dimensions, including quality, efficiency, and asset
management, are well controlled.

Third, the assessment of whether good performance assurance has been achieved is difficult
and subjective. An informed expert might judge that the control system in place is adequate
because no major bad surprises are likely, but this judgment is subject to error because
adequacy must be measured against a future that can be very difficult to assess.

Fourth, better control is not always economically desirable. Like any other economic good,
the control tools are costly and should be implemented only if the expected benefits exceed
the costs.

How Can Good Control Be Achieved?

Good control can be achieved by avoiding some behavioral problems and/or by implementing
one or more types of control to protect against the remaining problems. The following
sections discuss the major control options.

Characteristics of a control system

Controls at every level focus on inputs, processes and outputs. It is very important to have
effective controls at each of these three stages.

Effective control systems tend to have certain common characteristics. The importance of
these characteristics varies with the situation, but in general effective control systems have
following characteristics.

1. Accuracy
Effective controls generate accurate data and information. Accurate information is essential
for effective managerial decisions. Inaccurate controls would divert management efforts and
energies on problems that do not exist or have a low priority and would fail to alert managers
to serious problems that do require attention.
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2. Timeliness:
There are many problems that require immediate attention. If information about such
problems does not reach management in a timely manner, then such information may
become useless and damage may occur. Accordingly, controls must ensure that information
reaches the decision makers when they need it so that a meaningful response can follow.

3. Flexibility:
The business and economic environment is highly dynamic in nature. Technological changes
occur very fast. A rigid control system would not be suitable for a changing environment.
These changes highlight the need for flexibility in planning as well as in control Strategic
planning must allow for adjustments for unanticipated threats and opportunities. Similarly,
managers must make modifications in controlling methods, techniques and systems as they
become necessary. An effective control system is one that can be updated quickly as the
need arises.

4. Acceptability:
Controls should be such that all people who are affected by it are able to understand them
fully and accept them. A control system that is difficult to understand can cause unnecessary
mistakes and frustration and may be resented by workers.
Accordingly, employees must agree that such controls are necessary and appropriate and will
not have any negative effects on their efforts to achieve their personal as well as
organizational goals.

5. Integration:
When the controls are consistent with corporate values and culture, they work in harmony
with organizational policies and hence are easier to enforce. These controls become an
integrated part of the organizational environment and thus become effective.

6. Economic feasibility:
The cost of a control system must be balanced against its benefits. The system must be
economically feasible and reasonable to operate. For example, a high security system to
safeguard nuclear secrets may be justified but the same system to safeguard office supplies
in a store would not be economically justified. Accordingly, the benefits received must
outweigh the cost of implementing a control system.

7. Strategic placement:

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Effective controls should be placed and emphasized at such critical and strategic control
points where failures cannot be tolerated and where time and money costs of failures are
greatest.
The objective is to apply controls to the essential aspect of a business where a deviation from
the expected standards will do the greatest harm. These control areas include production,
sales, finance and customer service.

8. Corrective action:
An effective control system not only checks for and identifies deviation but also is
programmed to suggest solutions to correct such a deviation. For example, a computer
keeping a record of inventories can be programmed to establish “if-then” guidelines. For
example, if inventory of a particular item drops below five percent of maximum inventory at
hand, then the computer will signal for replenishment for such items.

9. Emphasis on exception:
A good system of control should work on the exception principle, so that only important
deviations are brought to the attention of management, In other words, management does not
have to bother with activities that are running smoothly. This will ensure that managerial
attention is directed towards error and not towards conformity. This would eliminate
unnecessary and uneconomic supervision, marginally beneficial reporting and a waste of
managerial time.

Control-Problem Avoidance

In most situations, managers can avoid some control problems by allowing no opportunities
for improper behavior. One possibility is automation. Computers and other means of
automation reduce the organization's exposure to control problems because they can be set
to perform appropriately (that is, as the organization desires), and they will perform more
consistently than do human beings. Consequently, control is improved.

Another avoidance possibility is centralization, such as that which takes place with very
critical decisions at most organization levels. If a manager makes all the decisions in certain
areas, those areas cease to be control problems in a managerial sense because no other
persons are involved.

A third avoidance possibility is risk-sharing with an outside body, such as an insurance

company. Many companies bond employees in sensitive positions, and in so doing, they
reduce the probability that the employees' behavior will cause significant harm to the firm.

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Finally, some control problems can and should be avoided by elimination of a business or an
operation entirely. Managers without the means to control certain activities, perhaps because
they do not understand the processes well, can eliminate the associated control problems by
turning over their potential profits and the associated risk to a third party, for example, by
subcontracting or divesting.

If management cannot or chooses not to avoid the control problems caused by relying on
other individuals, they must address the problems by implementing one or more control
tactics. The large number of tactics that are available to help achieve good control can be
classified usefully into three main categories, according to the object of control; that is,
whether control is exercised over specific actions, results, or personnel. Table 1 shows many
common controls classified according to their control object; these controls are described in
the following sections.

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KT0802 GIVE EXAMPLES OF CONTINUOUS IMPROVEMENT PROCESSES IN VARIOUS WORK PLACES.

Well-run businesses strive to find examples of continuous improvements in the workplace. As

these improvements increase the bottom line, managers look for methods to find a
measurable gain that can serve as a foundation to future business decisions. Continuous
improvements are favourable to stakeholders including potential investors, current investors
and stockowners

What is continuous improvement processes?

is an ongoing effort to improve products, services, or processes? These efforts can seek
"incremental" improvement over time or "breakthrough" improvement all at once

An example of continuous movement

Tough times call for bold actions. The manufacturing sector is going through a challenging
period. So, what can you do? The first step is to take a hard look at your business. Do you
really know what your customers want? Are your operations capable of delivering products
that delight your customers? Is your business process optimized to provide customers with a
friendly and easy business transaction? If you are brutally honest, your answer is probably
“no.” So how do you achieve a competitive advantage?

The brutal reality is that the selling price for most products is set by the market. In many
applications, price erosion has been significant. But you can compete. Look at the diagram
below. What are the parameters you can control?

You usually can’t influence the selling price unless you have a unique product or a niche
application. In order to increase profits, you must vigorously eliminate cost in your
manufacturing and business transaction processes. Time for a gut check. Do you have the
courage to commit some talented resources to reduce defects and eliminate non-value added
manufacturing operations? Are you willing to take a fresh look at how your customers place
an order or how customer service is handled? Or how invoices are processed and you
answer the phones? This won’t be an easy task, but the failure to act is even more painful.

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The Drive for Continuous Improvement

Let’s look at the concept in the above figure in a different way. In Figure One, we show the
selling price and total cost as a function of time. There are two possible scenarios depicted in
Figure One. For both examples, the selling price decreases over time. The dashed line
shows the total cost over time. Without continuous improvement, the total cost will eventually
reach the selling price and subsequently exceed the selling price. Not a good situation.
Moving from left to right, the dashed-dot line shows the cost over time when the business
actively reduces both the manufacturing and business process costs.

The company that embarks on the continuous process improvement journey will always have
a profitable business unless the selling price decreases faster than the cost reduction curve.
In most cases, there is a point where the total costs cannot be reduced further. In this case, if
the price decrease does not stabilize, then the wise action is to get out of that product, or
have an improved new product ready where you can make a good profit again

Process Management Solution

The solution lies in the area of process management. All work activities are a process
whether they are in manufacturing or in the office. The process can be graphically described
using a technique called a process map or flow diagram. For each individual process step or
for the overall process, the key input and output variables are identified

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The controllable key process inputs are termed the X’s and the key process outputs are
termed the Y’s. The outputs (Y’s) are a function of the X’s. In mathematical terms, Y = f (X).
The process management approach is to identify and improve key Y’s.

The process improvement roadmap is:

a. Identify the key process outputs critical to customer satisfaction (find the key
Y’s)
b. Investigate how the input variables (the X’s) impact the critical Y’s
c. Prioritize the key X’s
d. Reduce variation and control the key process inputs (the X’s)

For example, in the manufacturing of a printed circuit board, the final thickness may be a key
output variable for a particular customer part. During the final lamination process, the key
input variables might be layer thickness, the amount of resin to bond the layers together, the
press heating rate, and lamination pressure. Design of Experiments (DOE’s) are typically
used to establish how the key input variables control or influence the key output variables.

In the printed circuit board case, the heating rate and pressure have a large influence on the
final part thickness. These variables can be controlled using a standard operating procedure
(SOP) such as a computer-controlled lamination process that is set for a given part number.
The key process variables are also measured and documented in a process log or traveller
that accompanies the order.

Noise variables are defined as inputs that will have an impact on the output variables but are
very difficult or very expensive to control. An example of a noise variable would be relative
humidity in the vicinity of a coating process. Moisture can affect the coating process by
changing the viscosity and impact the curing rate if moisture interacts with the catalyst. To
control noise variables, two approaches can be used:
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1. Install expensive temperature/humidity controls to minimize the impact

2. Use Robust Design techniques to design the material/process to be insensitive
to moisture, thus alleviating the need for expensive controls

Process Improvement Method

Six Sigma is a systematic process and management method for improving, building, and
sustaining business performance. Six Sigma uses a structured approach and toolset focused
on reducing variation and delivering near defect-free products and services. The Six Sigma
toolkit can be used for a variety of applications, including manufacturing cost reductions,
developing new products (Design for Six Sigma), and business process improvements
(Transactional Six Sigma).

A balanced approach addresses both customer focused and internal process improvement
projects. To maximize the potential gains, the project portfolio should contain a balance of
both short-term and long-term improvement projects.

The Four Elements of a Good Six Sigma Project

1. There is a gap between current and required/desired

performance in a key business process (manufacturing or
transactional process). Closing the gap will have a measurable
and large financial impact.
2. The cause of the problem or gap is not clearly understood.
3. There is not a predetermined solution or optimal improvement
method readily apparent.
4. The performance of the process can be measured and
quantified. The process improvement roadmap is:

 Identify the key process outputs critical to customer satisfaction (find the key Y’s) 2.
Investigate how the input variables (the X’s) impact the critical Y’s 3. Prioritize the key
X’s 4. Reduce variation and control the key process inputs (the X’s)

For example, in the manufacturing of a printed circuit board, the final thickness may be a key
output variable for a particular customer part. During the final lamination process, the key
input variables might be layer thickness, the amount of resin to bond the layers together, the
press heating rate, and lamination pressure. Design of Experiments (DOE’s) are typically
used to establish how the key input variables control or influence the key output variables.
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In the printed circuit board case, the heating rate and pressure have a large influence on the
final part thickness. These variables can be controlled using a standard operating procedure
(SOP) such as a computer-controlled lamination process that is set for a given part number.
The key process variables are also measured and documented in a process log or traveller
that accompanies the order.

Noise variables are defined as inputs that will have an impact on the output variables but are
very difficult or very expensive to control. An example of a noise variable would be relative
humidity in the vicinity of a coating process. Moisture can affect the coating process by
changing the viscosity and impact the curing rate if moisture interacts with the catalyst. To
control noise variables, two approaches can be used:

o Install expensive temperature/humidity controls to minimize the impact 2. Use

Robust Design techniques to design the material/process to be insensitive to
moisture, thus alleviating the need for expensive controls

Process Improvement Method

Six Sigma is a systematic process and management method for improving, building, and
sustaining business performance. Six Sigma uses a structured approach and toolset focused
on reducing variation and delivering near defect-free products and services. The Six Sigma
toolkit can be used for a variety of applications, including manufacturing cost reductions,
developing new products (Design for Six Sigma), and business process improvements
(Transactional Six Sigma).

A balanced approach addresses both customer focused and internal process improvement
projects. To maximize the potential gains, the project portfolio should contain a balance of
both short-term and long-term improvement projects.

The Four Elements of a Good Six Sigma Project

1. There is a gap between current and required/desired performance in a key business

process (manufacturing or transactional process). Closing the gap will have a
measurable and large financial impact.
2. The cause of the problem or gap is not clearly understood.
3. There is not a predetermined solution or optimal improvement method readily
apparent.
4. The performance of the process can be measured and quantified.
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The following is an example of a good Six Sigma project. Acme Widgets Inc. is the
manufacturer of a really cool new toy. There is tremendous market demand. To keep up
with the customer demand, Acme installed two new molding machines. The engineers found
that for one part of a subassembly, a critical part dimension was changing in a random way.
This caused problems at final assembly, since the parts wouldn’t fit properly.

The part variation was traced back to the two new machines. There also was variability
between the two new machines. Operators said that they had trouble keeping the new
machines running in spec and hated to run the new equipment. Scrap from the two new
machines is costing Acme $2,000 per day. Customers are upset because Acme can’t ship
enough of the cool new toys and some are defective.

Analysis:

 There clearly is a defined manufacturing problem with a large financial impact.

 The root cause of the problem is not clearly understood, but early data suggests the
two new machines are involved.
 There is not a readily available solution to the problem.
 The yield of the molding process can be measured and quantified.

Six Sigma Projects are led by Black Belts who are highly trained in all aspects of the DMAIC
process. Green belts are project team members and have training in most of the Six Sigma
tools and approaches.

Six Sigma utilizes a five-step process called DMAIC:

Define: Select the appropriate customer-focused defect or problem. Document the business
impact and the project deliverables in the project charter. Form a multidisciplinary team.

Measure: Develop a factual understanding of the current process and locate sources of
problems. Establish “as-is” process map, measure process capability, and collect data to
give a baseline of the current process.

Analyze: Identify potential root causes of defects or sources of variation. Investigate the
causes of defects using experiments (and statistical analysis). Verify the root cause(s) of the
problem.

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Improve: Eliminate the verified root cause(s) or reduce sources of variation. The goal is to
demonstrate with data that the problem is solved and leads to a measurable improvement.

Control: Implement methods to hold the gains such as standard operating procedures and
statistical process controls (SPC).

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KT0803 DESCRIBE THE ADVANTAGES AND IMPLICATIONS OF THE EFFECTIVE USE OF CONTINUOUS IMPROVEMENT

PROCESSES.

Small businesses often have difficulty competing with larger competitors that are able to
mass produce products at low costs. Continuous quality improvement is a business
management system that companies of all sizes can employ. Continuous quality
improvement focuses on identifying sub-optimal processes in a business and changing them
to reduce defects and improve quality.

Error Reduction
Continuous quality improvement can reduce the number errors your business makes.
Defective products and mistakes made when providing services are examples of errors that
can be costly. Because small companies cannot produce goods and services in mass like
larger companies, errors can be especially costly. Focusing on continuously identifying
potential sources of errors and fixing them can avoid problems that might

Increased Adaptability
A philosophy of continuous quality improvement can make a business better equipped to
adapt to changes in an industry, take advantage of opportunities and avoid threats.
Processes in a company pursuing continuous quality improvement continually undergo
incremental changes. Companies used to continually implement changes are better equipped
to adapt their businesses to changing markets than those that employ rigid processes, such
companies engaged in mass production.

Increased Productivity
Continuous quality improvement can result in hiccups in productivity in the short term as
businesses implement better processes, but it can lead to increased productivity in the long
term. For example, a small business that revises its production processes might have to shut
down production for a day to implement the improvements, resulting in a day of lost
production. After the changes take effect, though, the company might have fewer production
slowdowns and higher productivity.

Improved Morale
Continuous quality improvement focuses on improving business processes as a means to
improve a company rather than blaming workers for sources of inefficiency. According to the
Louisiana Department of Children & Family Services, one of the main benefits of continuous
quality improvement is that it can improve staff morale. Workers with high morale tend to be
more productive and less likely to quit their jobs than workers with low morale. Reducing

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turnover is especially important for small business because owners must often recruit and
train new workers themselves

implications of the effective use of continuous improvement processes.

The problem is that over time these localized improvements can deliver results that actually
conflict with one another in a workflow or a process. Also, each improvement will have a
direct impact (good) and an indirect impact (maybe, bad) that is seldom considered. Both
types of impact will have a ripple effect on the business, the way people do work and the way
information systems support business.

The fact is that most changes are either just made to the business or made through more
formal focused changes to IT systems. They are made to help the requester and to be fair, IT
applications changes are often analyzed to see if they will cause problems with the
application and to see if the change will impact other applications.

However, business changes are seldom analyzed for their impact on other business units or
to the way a company works with internal and external collaborative partners.

Unfortunately, time has shown that even small changes can each cause disruptions in the
way work is performed. These small changes are usually ignored. People just make do and
get by. But these individually insignificant disruptions add to create a growing imbalance in
the business operation – the way people work and in the way applications and data are used.

This imbalance can eventually seriously impair operational effectiveness and efficiency, and
compliance with regulation. It can also require the addition of manual work to make the
workflow function at an acceptable level of performance.

This is an inevitable slow evolution to operational mediocrity.

Any business operation will have some elasticity and be able to absorb a certain amount of
change. I find that this is generally related to the creativity of the business area’s managers
and the flexibility of staff in adjusting to changes. But there comes a point where elasticity is
exceeded and the operation starts to become ineffective and inefficient.

I refer to this point as "operational thrashing".

Works gets done, but it is a messy process. However, reaching this point happens slowly and
it is often not noticed until staff needs to be added or quality becomes an issue.

If this is allowed to happen, continuous improvement can yield less than favourable results

What makes continuous change dangerous?

Every company is changing continuously. Like taxes, no one can avoid it for long. The issue
is that much of the change is unplanned, focused on a specific issue, and meant to get
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around problems caused by such things as other changes in the business unit, work volume
increase, IT support deficiencies, regulation changes, reporting requirements, and the effect
of changes in other parts of the business.

These changes just happen and they happen every day. Do they improve the operation?
Arguably they do since they get around problems. Do they introduce inefficiency and
ineffectiveness? Yes, they do. Are they destructive? Yes, they are. But, are they needed?
Yes, they are, since the company would have many more problems without them.

The real issue is that they are uncontrolled and while they are needed, they can introduce
quality problems into the operation. While these changes lead to operational issues, introduce
manual activity, and lead to error, they are necessary and they will be necessary until
technology finds a way to support very rapid, low cost, low impact business change.

Add to this somewhat chaotic change environment, the ripple effect of planned narrowly
focused improvements. While these small projects each provide some benefit, the project
teams usually pay little attention to upstream or downstream workflow or process impact. This
adds to an accumulating impact that will eventually ripple through the operation as a growing
inefficiency.

BPMS supported BPM is a step in the right direction, but it requires set up time and
investment. However, once in place it does deliver low cost rapid change. But even using
BPM, if changes are still focused on isolated issues they will still introduce minor
inconsistencies. When taken together, these inconsistencies will still eventually result in a
slow degradation of performance. I call this the "mediocrity cycle".

Unlike unplanned change, most planned and managed changes are the foundation for a
company’s continuous improvement effort. When applied in an ongoing manner, they are in
fact beneficial and continuous.

But - the infamous "but"! - when they are narrowly focused and fail to consider the real impact
of the changes on other parts of the work and on other parts of the business, they will begin
to change the work in unthought-of ways.

Scope is the king in these projects. Budgets are tight and only absolutely necessary work can
be applied included in the project – so as little as possible is really changed in any project.
That is the problem.

Scoping Consideration

This scope limitation issue can be a real problem. This is different than the inclusion of
additional "unnecessary" business areas or work to the scope needed to make the change. It
is also different from the "taboo" issue of "scope creep" – the constant addition of
requirements or considerations to a project once the scope has been agreed upon. But with

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BPMS supported BPM any scope requires more flexibility than the notorious "freezing" of
requirements while the solution is built. So, a new perspective is needed.

To avoid this scope creep, most improvement projects are performed in the same manner as
if the project manager had "blinders" on.

For younger readers, "blinders" were put on horses – those things we see on either side of
the horse’s eyes. Their purpose was to stop the horse from seeing anything but what is
straight ahead – they limit the field of vision or scope of vision. The horse cannot see to either
side so it just keeps moving forward. Project scope is the same idea. It limits what the project
manager can look at and stops him or her from straying to either side or outside their field of
vision – so they keep moving down the prescribed path.

But sometimes that causes problems. Without being able to see to either side, accidents
cannot be avoided and it is easy to set up conditions for problems that will happen in the
future. In doing this, they can drive unintended consequences in other areas – the ripple
effect.

The fact is that nothing in any company works in isolation. Everything is connected and every
change in one area can cause changes to work in other areas of the business. However,
these connections are not always apparent and finding them often requires an analysis of
workflow and connections across organization boundaries. This takes investigation and
analysis time – and time is one thing that is in short supply in most projects. So, this
investigation is one of the things that are often dropped from consideration.

But is it really optional?

Now please don’t misunderstand me. I am not saying that scope definition is a bad thing. I am
simply saying that the scope should be adjusted to include consideration for an analysis of
both upstream and downstream impact for any change in the process and its workflows.
Why? Because it is these impacts that introduce operational issues outside of scope as some
actions/input/rules/deliverables are changed. So, is this consideration of such a low value that
it should be optional?

Natural degradation of processes

The fact is that even small changes chip away at the validity of business rules/performance
standards, the ability to monitor compliance, and the ability to be both effective and efficient.
That is just a fact.

The reason is that a process is normally tens to hundreds of tasks long. Each process often
involves multiple business units and many are complex. Even many workflows within a
process can be long and complex. When anything changes, the change will impact the way
work is done – that is why the change is being made. You want a positive impact. But aside

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from delivering the list of requirements and declaring success, what impact has the change
really had? That is usually difficult to answer. It is also a question that is seldom asked.

Unfortunately, many business processes and workflows have little, poor, or no

documentation. So, accuracy in identifying everything that should be impacted by a change is
often based on a guess. I believe this fact makes the type of change control that I am
advocating challenging and, in some cases, costly.

That is why any consideration of increasing project scope to include an impact consideration
is not a trivial matter.

Controlling change

As noted above, unless the ripple impact of changes is controlled, sooner or later the result is
that the business operation will reach a point where it must undergo serious redesign. This
was recognized in the Business Process Reengineering move of the 1990s.

It was broadly recognized that work was inefficient and often ineffective. Much of it was
manual and the reason for many of the activities that were being performed had been lost.
The result was the call for "radical transformation". Some even said you needed to start with
a blank slate and redesign the business from scratch.

Of course, that didn’t work well for a lot of reasons, but it did recognize that change must
eventually be looked at from a broad and holistic perspective.

From recent history, we know that many who "reengineered" found that inefficiency was
creeping back into the operation or had already crept back into the operation. That was one
of the real reasons behind the recognition that companies needed to adopt continuous
improvement – trying to avoid this creeping degradation.

That was a great move and brought in a lot of advances – like Lean and Six Sigma. But we
are still seeing ineffectiveness and inefficiency creeping back in and we have to ask why it is
happening. Looking at that question is what this column is really all about.

So, while we have come a long way down the path to continuous improvement, I think we
have a long way yet to go. We need to find a way to get rid of the "mediocrity cycle".

One of the first steps may be to include ripple evaluation in all projects. (But that may be hard
to justify due to the time and resource cost.) A second step may be to revaluate the efficiency
and effectiveness of processes and workflows on a given cycle to "adjust" them and better
integrate all the business, legal, financial, and IT related changes that have been made over
the time of the cycle. This cycle, should not, however, be in years. It should be done at least
annually and every six months would be better.

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But to do that will require a cultural change as the business areas would need to be tasked
with this workflow model update. That is possible, and what should really happen, but it is not
going to be an easy sell to overstretched business managers.

Culture is key

Continuous Improvement is not simply an IT or process issue. All activity eventually comes
down to people. Any move to consider continuous improvement and the cultural changes
noted above requires that people from all areas and from senior officers to line managers to
factory workers, need to be engaged. It also requires that people be dedicated in different
aspects of a comprehensive program that evaluates ongoing change for its impact on other
parts of the business or IT operation.

This is the hardest part – just as dealing with culture is the hardest part of any program. Why?
Some people will accept, some will reject, some will fight, some will sabotage, and some will
just ignore.

As a general rule, most people resist change in some way. This is especially true when it
affects something they are evaluated on – everyone hates being evaluated. When people
have been successful with the way things are done, they will naturally be afraid of moving to
a different way – after all, they may not be successful in the new way.

For this reason, any move to include ripple impact evaluation in a project’s scope relies on
the participation of the people who will be involved. Control over the perception of this
evaluation is critical and will make or break this type of review. Formal human resource
change management is thus important and should be a long-term consideration in most
companies.

The fact is that if people perceive that they are being judged, they will be much less
cooperative. Culture thus plays a critical role in both continuous improvement and in any type
of operational ripple evaluation

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KT0804 EXPLAIN THE TYPICAL PRACTICES ASSOCIATED WITH CONTINUOUS IMPROVEMENT PROCESSES

In today's workplace, performance improvement and the role of performance management is

an increasingly popular topic. Why the intense focus on performance management now?
Business pressures are ever-increasing and organizations are now required to become even
more effective and efficient, execute better on business strategy, and do more with less in
order to remain competitive.

While human resources professionals clearly understand the importance of optimal

performance management, they often face significant internal obstacles. When someone
mentions performance management or reviews at your organization, what is the typical
response? Do employees and managers alike cringe? Do they avoid performance
management related tasks? Do visions of tracking down incomplete appraisal forms come to
mind? This can be changed.

Forward thinking companies are taking steps to successfully address this negative view of
performance management. They are implementing innovative solutions that ensure
processes deliver real results and improve performance. The purpose of this guide is to
provide concrete guidelines and practical steps that can be used to improve the performance
management processes at your organization. In addition, a new class of automated
performance management solutions has emerged to specifically address small- and medium-
sized businesses..

a. Occurrence management

Occurrence management is a central part of continual improvement. It is the process by

which errors, or near errors (also called near misses) are identified and handled. The goal of
an occurrence management program is to correct the errors in either testing or
communication that result from an event, and to change the process so that the error is
unlikely to happen again.

Definition- An occurrence is any event that has a negative impact on an organization,

including its personnel, the product of the organization, equipment, or the environment in
which it operates. All such events must be addressed in an occurrence management program

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Occurrence cycle includes investigation

A cycle of events reflects the process of occurrence management. When occurrences are
found, they must all be investigated to find the causes of the problem. The investigation will
help to identify the actions needed to correct the problem and to ensure that it does not occur
again. All necessary communication must take place, including informing any health care
providers whose clients are affected.

Detecting occurrences

occurrences
Occurrences are detected through a variety of investigative techniques. Monitoring of
complaints and satisfaction surveys will yield much information. Once the laboratory
establishes and monitors quality indicators, deficits will be noted. The tools of external
assessment, such as proficiency testing, external quality assessment, accreditation and
certification processes, will be very useful in occurrence management. A very valuable tool is
the use of the internal audit, which can be performed at any time in the laboratory. The
laboratory’s process improvement efforts will identify opportunities for improvement.
It is the responsibility of management to review all the information that results from use of
these tools, to look for underlying patterns and potential causes for persistent or repeated
error.

Investigation involves gathering complete and detailed information about events that led to a
problem, and a thorough analysis to determine all the factors that contributed to the problem
occurrence

Root cause analysis

The most aggressive and complete approach to addressing occurrences is to seek the root
cause of the problem. This is more than just a thorough examination but is a planned and
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organized approach toward finding not only the superficial causes of a problem, but also the
deeper, or core problems. With some occurrences, they are likely to occur and reoccur until
such time as the true root causes are discovered and addressed.

The example shown illustrates how root cause analysis was used to determine how a major
blood transfusion reaction could occur.

Rectifying and Managing Occurrences

As a reminder, an occurrence is any event that has a negative impact on an organization,

which includes personnel, product, equipment, or the environment.

There are several levels of action that may be undertaken to rectify occurrences, including
the following.
• Preventive actions involve a planned and organized evaluation of processes and
procedures to identify potential error points, so action can be taken to prevent the errors
from ever occurring. Preventive actions require planning and team participation.
• Remedial action, or remediation, is the fixing of any consequences that result from an
error. For example, if an erroneous result has been reported, it is essential to
immediately notify all persons concerned about this error, and to provide the correct
result.
• Corrective actions address the cause of the error. If a test was done incorrectly,
resulting in an incorrect result, corrective actions sort out why the test was not
performed properly, and steps are taken so that the error does not happen again. As an
example, a piece of equipment may have been malfunctioning, and the corrective
actions would be to recalibrate, repair, or otherwise address the equipment problem.

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Occurrence management process

The management process for dealing with errors or occurrences involves several steps. The
laboratory should develop a system for prompt investigation of every laboratory problem and
error.
a. Establish a process to detect all problems, using the tools that are available.
Remember that problems may go undetected unless there is an active system
for looking for them.
b. Keep a log of all problem events that records the error, any investigation
activities, and any actions taken.
c. Investigate the causes of any problem that is detected, and carefully analyze
the information that is available
d. Take the necessary action—remedial and corrective, and if the problem is
detected before the error actually occurs, preventive action.
e. Monitor and observe for any recurrence of the original problem, keeping in
mind that there may be a systemic problem.
f. Provide information to all those who need it, and to those who are affected by
the error.

Responsibilities
The responsibility for monitoring for occurrence belongs to everyone in the laboratory. It is
important, however, that someone be designated as the person responsible for marshalling
the energies and activities of all staff into an effective management process. In many
instances, this is the responsibility of the laboratory director, or laboratory manager, or the
quality manager.

b. Deviation and non-conformance management

The term “non-conformance” is synonymous with “Deviation”.

Nonconformances can be discovered during audits, data review, investigation, trend review,
routine operations which can impact product, facilities, equipment, data, systems, commercial
or clinical trials

Nonconformance Types
 Method
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 Manpower
 Machinery
 Materials
 Environment

Who is Responsible for Reporting an NC?

If a nonconformance is observed, it is important to report the event to Management as soon

as it is observed so the appropriate actions can be initiated

What are the consequences of not reporting an NC?

Not reporting, or a delay in reporting an NC can severely impact processes and result in an
observation. If unsure, take the conservative approach and report it anyways!

Classification

Determining the Level of Classification

Minor Nonconformance Minor Nonconformance
• Low or No Risk of product impact to SISPQ (Safety, Identity, Strength, Purity, Quality •
No product impact is immediately known or requires minimal evaluation
• Probability of future detection is HIGH
• Controls and testing in place to detect this event
• No probability of impact to Quality of subsequent lots

Major Nonconformance
o Moderate Risk of product impact to SISPQ (Safety, Identity, Strength, Purity,
Quality
o Product impact requires additional testing and is not immediately known
o Probability of future detection is MODERATE – HIGH
o Controls and testing in place to detect this event, however did not detect this
event
o Low - Medium probability of impact to Quality of subsequent lots

Critical Nonconformance
• High Risk of product impact to SISPQ (Safety, Identity, Strength, Purity, Quality
• Product impact requires additional testing and is not immediately known
• Probability of future detection is LOW
• Controls and testing in place to detect this event, however did not detect this event
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• High probability of impact to Quality of subsequent lots

c. Lessons learnt and organisation wide implementation

A Lessons Learned Process is one that crosses functional boundaries and allows an
organization to learn from both its mistakes and its successes. An effective Lessons Learned
process should prevent us from repeating our mistakes and allow us to repeat our successes.
It should be an instrumental part of any organization’s overall “continuous improvement”
process.

Leadership

“The lack of leadership involvement in and commitment to the learning process is the most
critical barrier.” An effective Lessons Learned process means having a disciplined procedure
that people are held accountable to follow. It means encouraging openness about making
mistakes or errors in judgment.

It often means cultural or organizational change, which does not come easy in most
organizations. It means leading by example. If management is unwilling to learn from their
mistakes, it is unlikely that the rest of the organization will be willing to admit to mistakes. In
fact, management must reward people for being open and admitting to making mistakes, bad
decisions, judgment errors, etc. This, of course, flies in the face of many corporate cultures.

Process Change versus Accountability

When something goes wrong on a project, there is someone accountable. One of the biggest
problems in implementing an effective Lessons Learned process is to separate the
“accountability” issue from the “process” issue. Accountability is important but is something to
be dealt with by management. Lessons Learned must deal with the process deficiency that
caused the problem (e.g., inadequate procedure, too much of a rush, inadequate training,
poor communications, etc.). Once a Lessons Learned process focuses on “blame” or “finger
pointing,” the process will soon fade into oblivion.

Capturing the Lessons -- Timing is Everything

On small projects, one can often wait until the end to capture and document the Lessons
Learned. On larger, longer term projects, the Lessons Learned should be captured during or
at the end of each project stage (e.g., Planning, Detail Design, Construction, Start-up, etc.).
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As time passes, memories fade, people leave the project and, if not captured in a timely
manner, significant lessons are likely to be lost. All projects should have a formal post-project
review.

The purpose of this review is to review the Lessons Learned on the project (i.e., confirm
those that have already been captured and/or add new ones). Post-project reviews can be
stressful, especially when the project failed to meet its stated objectives. On large projects
especially, it is essential that these reviews are effectively facilitated to ensure the focus is on
process improvement and not on “who to blame.” Norman Kerth expressed it well when he
stated, “.…we assume that everyone did the best job that they could, given what they knew at
the time. We are not here to pass judgment on what happened but to learn and grow from our
collective experience.”

Validation

For many problems, the root cause of the problem is not always apparent. Learning cannot
take place until the root cause(s) have been properly identified and appropriate corrective
action(s) taken. This requires that each Lesson Learned be analyzed and validated by a
subject matter expert (SME) before it is entered in the database. The validation process must
be simple and straight forward. “A major contributor to making things too complicated is
management’s insistence on a lengthy validation process. This discourages sustained,
meaningful contribution, because people quickly become frustrated with the formal system
and return to the simpler water-cooler method of knowledge sharing.”

The Lessons Learned Database: Solutions, Not Problems

Lessons Learned should be captured and placed in a database that is readily available to
everyone in the organization. Unfortunately, many well-meaning Lessons Learned databases
focus more on the problem than the solution, are difficult to search and provide little help to
future projects. Like any effective database, the Lessons Learned database must have an
administrator whose job is to ensure that:

• Each lesson has been validated by the appropriate SME

• Each lesson focuses on what was learned that will benefit the performance of future
projects. Future projects need to understand what went wrong on your project, but what
they really want to know is what to do to not make the same mistake.
• Each lesson is entered in the database in such a fashion that there is no finger pointing
or blame attached. Nothing will kill a Lessons Learned process quicker than finger
pointing.
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• The database is kept current, is easily accessible and is easily searchable. I have heard
numerous times from students that, in their corporate Lessons Learned database, they
could never find information that applied to their projects. It’s important that the data
entered in the database is clear, concise and has the appropriate key words to facilitate
effective searches. It also helps to reference the individuals who can be contacted for
more information.

Institutionalize the Lesson

Placing Lessons Learned in a database only means we have documented and communicated
the lessons. The “learning” part only comes when the lesson has been institutionalized (e.g.,
changing a policy, writing a procedure, revising a standard, issuing a new specification,
improving a work process, etc.). This is the tough part of Lessons Learned. As author Alvin
Toffler stated, “It is always easier to talk about change than to make it.” Until the learning has
become a part of the way we do business, we will always be prone to make the same
mistakes. The Lessons Learned database will contain many different types of learnings, but
the Lessons Learned process must ensure that the most significant lessons are
institutionalized.

In a survey of 36 owner and contractor companies, the Construction Industry Institute found
that a number of the companies had well-defined procedures for collecting Lessons Learned,
but most were considerably less effective in actually analysing and implementing solutions.

Don’t Forget the Good Stuff

Since Lessons Learned mostly come from the things that didn’t go well and need
improvement, we tend to focus on these “negative” learnings. Many times, however, our
project teams come up with imaginative and creative ways to do things that save time, money
and improve performance. These “positive” learnings also need to be institutionalized and
repeated. We need to make sure these “positive” learnings get in our Lessons Learned
database and, this time, it’s also okay to “point fingers.”

Legal Issues

If you document your mistakes, publish them in a database and make the database virtually
accessible to everyone, are you opening yourself up for legal action? In today’s litigious
society, there is certainly some risk. The Construction Industry Institute indicates that “most
legal experts agree that the possible use of lessons learned documentation during discovery
has legal consequences such as failure to follow standard processes or not taking corrective
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actions due to past mistakes.” I’m afraid, though, that if you get your lawyers involved in the
validation process, nothing will ever make its way through to the database. I believe this is an
issue where management must decide on how to handle the trade-off between improving
project performance and risking legal action.

Is It Working?

Periodically, management should review the organization’s Lessons Learned process to

ensure it is continuing to add value to the organization. The review should address the
following questions:
o Are all projects participating and following the organization’s Lessons Learned
procedure? This includes both incorporating and capturing Lessons Learned
on active projects.
o Do project teams “perceive” the Lessons Learned process is adding value?
o Are the Lessons Learned actually adding value to the organization? --- This
means we must have some way of measuring “value.” Measures might be
quantitative (e.g., cost savings, increased productivity, etc.) or qualitative
(lower risk, safer work environment, etc.)
o Are the significant Lessons Learned actually becoming institutionalized?
o Are we making sure Lessons Learned are not “pointing fingers”?
o How can the Lessons Learned process be improved?

d. Modification management

involves the selection of strategies to facilitate the transition of individuals, teams, or

organizations from a current state of operation to the new, desired state. More specifically, it
involves a process and set of techniques to manage the feelings, perceptions, and reactions
of the people affected by the change being introduced. The impetus of any organizational
change initiative is to improve some aspect of operations or longer-term outcomes.

Change projects result in new policies, processes, protocols, or systems to which staff must
become accustomed, and change management is used to facilitate the transition involves the
selection of strategies to facilitate the transition of individuals, teams, or organizations from a
current state of operation to the new, desired state. More specifically, it involves a process
and set of techniques to manage the feelings, perceptions, and reactions of the people
affected by the change being introduced. The impetus of any organizational change initiative
is to improve some aspect of operations or longer-term outcomes.

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Change projects result in new policies, processes, protocols, or systems to which staff must
become accustomed, and change management is used to facilitate the transition Modification
management is essential to sustaining a culture of quality.

Quality improvement (QI) is about designing system and process changes that lead to
operational improvements, and an organizational culture of quality is one in which concepts of
quality are ingrained in organizational values, goals, practices, and processes. In the context
of quality, change could be something as discrete as a revised contracts approval process
resulting from a QI project, or it could be something as transformational as a complete shift to
an organizational strategy and culture that embraces quality. In both cases, structural and
process changes are introduced and change management is key to facilitate employee
transition to the new state

The Process and Human Sides of Change

For successful organizational change, attention must be given to both the “process” and
“human” sides of change. The “process” side involves the specific project management
related activities required for moving from the current to desired state (e.g., develop plans,
build the infrastructure, change processes or systems, redefine job roles). In the example of a
revised contracts approval process, the “process” side of change may involve budgeting for
new technology, a revised contracting process map, or redefined employee responsibilities.

The “human” side of change involves strategies to help employees impacted by the change
understand and adopt it as a part of their jobs (e.g., alleviate staff resistance, meet training
needs, secure buy-in). In the contracting example, employees engaged in any aspect of
contracting must understand the urgency for a revised process, have input into the new
process, and be trained in the new process.

Both aspects of change should be integrated and occur simultaneously for successful
change, however, the change leader(s) may need to think of the “process” and “human”
changes distinctly when assessing and addressing roadblocks. For example, an organization
may have full employee buy-in for a particular change initiative but adequate resources and
planning efforts have not been put in place to support the change. Alternatively, appropriate
structures and processes may be in place but employees remain resistant to the initiative.

.e. Proper commissioning and change management

The change management process is the sequence of steps or activities that a change
management team or project leader follow to apply change management to a change in order
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to drive individual transitions and ensure the project meets its intended outcomes. The below
elements have been identified from research as key elements of a successful change
management process.

Phase 1-Praparing for change

Define your management strategy

Prepare your change of management

Develop your sponsorship model

Phase 2 managing your change

Develop change management plan

Take action and implement plans

Phase 3 reinforcing change

Collect and analyse feed back

Diagnose gaps and manage resistance

Implement corrective action and

celebrate successes

Here are the nine elements of a successful change management process:

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READINESS ASSESSMENTS

Assessments are tools used by a change management team or project leader to assess the
organization's readiness to change. Readiness assessments can include organizational
assessments, culture and history assessments, employee assessments, sponsor
assessments and change assessments. Each tool provides the project team with insights into
the challenges and opportunities they may face during the change process. What to assess:

Assess the scope of the change:

 How big is this change?

 How many people are affected?
 Is it a gradual or radical change?
 Assess the readiness of the organization impacted by the change:
 What is the value-system and background of the impacted groups?
 How much change is already going on?
 What type of resistance can be expected?

You will also need to assess the strengths of your change management team and change
sponsors, then take the first steps to enable them to effectively lead the change process.

COMMUNICATION AND COMMUNICATION PLANNING

Many managers assume that if they communicate clearly with their employees, their job is
done. However, there are many reasons why employees may not hear or understand what
their managers are saying the first time around. In fact, you may have heard that messages
need to be repeated five to seven times before they are cemented into the minds of
employees.

Three components of effective communication

Effective communicators carefully consider three components:

1. The audience
2. What is communicated

When it is communicated

For example, the first step in managing change is building awareness around the need for
change and creating a desire among employees. Therefore, initial communications are
typically designed to create awareness around the business reasons for change and the risk
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of not changing. Likewise, at each step in the process, communications should be designed
to share the right messages at the right time.

Communication planning, therefore, begins with a careful analysis of the audiences, key
messages and the timing for those messages. The change management team or project
leaders must design a communication plan that addresses the needs of frontline employees,
supervisors and executives. Each audience has particular needs for information based on
their role in the implementation of the change.

SPONSOR ACTIVITIES AND SPONSOR ROADMAPS

Business leaders and executives play a critical sponsor role in times of change. The change
management team must develop a plan for sponsor activities and help key business leaders
carry out these plans. Research shows that sponsorship is the most important success factor.

Avoid confusing the notion of sponsorship with support

The CEO of the company may support your project, but that is not the same as sponsoring
your initiative. Sponsorship involves active and visible participation by senior business
leaders throughout the process, building a coalition of support among other leaders and
communicating directly with employees. Unfortunately, many executives do not know what
this sponsorship looks like. A change manager or project leader's role includes helping senior
executives do the right things to sponsor the project.

CHANGE MANAGEMENT TRAINING FOR MANAGERS

Managers and supervisors play a key role in managing change. Ultimately, the manager has
more influence over an employee’s motivation to change than any other person.
Unfortunately, managers can be the most difficult group to convince of the need for change
and can be a source of resistance. It is vital for the change management team and executive
sponsors to gain the support of managers and supervisors. Individual change management
activities should be used to help these managers through the change process.
Once managers and supervisors are on board, the change management team must prepare
a strategy to equip managers to successfully coach their employees through the change.
They will need to provide training and guidance for managers, including how to use individual
change management tools with their employees.

TRAINING DEVELOPMENT AND DELIVERY

Training is the cornerstone for building knowledge about the change and the required skills to
succeed in the future state. Ensuring impacted people receive the training they need at the
right time is a primary role of change management. This means training should only be
delivered after steps have been taken to ensure impacted employees have the awareness of
the need for change and desire to support the change. Change management and project
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team members will develop training requirements based on the skills, knowledge and
behaviour necessary to implement the change. These training requirements will be the
starting point for the training group or the project team to develop and deliver training
programs.

RESISTANCE MANAGEMENT
Resistance from employees and managers is normal and can be proactively addressed.
Persistent resistance, however, can threaten a project. The change management team needs
to identify, understand and help leaders manage resistance throughout the organization.
Resistance management is the processes and tools used by managers and executives with
the support of the change team to manage employee resistance.

EMPLOYEE FEEDBACK AND CORRECTIVE ACTION

Managing change is not a one-way street; employee involvement is a necessary and integral
part of managing change. Feedback from employees as a change is being implemented is a
key element of the change management process. Change managers can analyze feedback
and implement corrective action based on this feedback to ensure full adoption of the
changes.

RECOGNIZING SUCCESS AND REINFORCING CHANGE

Early adoption, successes and long-term wins must be recognized and celebrated. Individual
and group recognition is a necessary component of change management in order to cement
and reinforce the change in the organization. Continued adoption needs to be monitored to
ensure employees do not slip back into their old ways of working.

AFTER-PROJECT REVIEW

The final step in the change management process is the after-action review. It is at this point
that you can stand back from the entire program, evaluate successes and failures, and
identify process changes for the next project. This is part of the ongoing, continuous
improvement of change management for your organization and ultimately leads to change
competency.

These elements comprise the areas or components of a change management program.

Along with the change management process, they create a system for managing change.
Good project managers apply these components effectively to ensure project success, avoid
the loss of valued employees and minimize the negative impact of the change on productivity
and a company's customers.
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KT0805 EXPLAIN THE IMPORTANCE OF STANDARDS AND SPECIFICATIONS IN ENSURING CONTINUOUS IMPROVEMENT.

Refining processes at all levels of your federation is part of continuous improvement. The
most successful organisations in the world – business, non-profit, political, etc. – have
developed formal continuous improvement programmes that aim to make all organisational
functions and resources work better and more efficiently over time.

What is continuous improvement?

Company executives and human resources professionals have various definitions of
continuous improvement. But despite all the theoretical and academic study of continuous
improvement, the concept is quite simple

A solid definition of continuous improvement is: The belief that an organisation must
constantly measure the effectiveness of its processes and strive to meet more difficult
objectives to satisfy customers.

In other words, continuous improvement is about setting clear goals, having ways to measure
progress toward those goals, refining goals and strategies based on those measurements
and setting new goals over time to satisfy your customers.

So, what are the basics of continuous improvement? It is more than just being committed to
doing a better job over time – it is about involving employees at all levels to make doing a
better job an inherent aspect of the way your federation functions.

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KM-03-KT09: CONCEPTS AND PRINCIPLES OF CHANGE

MANAGEMENT AND HOW TO APPLY THESE PRINCIPLES
WHEN IMPLEMENTING NEW SYSTEMS

On completion of this section you will be able to understand concepts and principles of
change management and how to apply these principles when implementing new systems

KT0901 Define change and give reasons why the implementation of changes in an
organisation must be managed;

KT0902 Explain the typical responses of people to change and how they impact on the
effectiveness of implementing changes in organisations.

KT0903 Describe a typical change management process and give examples of what must
be done to help people understand and accept change.

KT0904 Give examples of the use of change management in relation to occupational

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KT0901DEFINE CHANGE AND GIVE REASONS WHY THE IMPLEMENTATION OF CHANGES IN AN ORGANISATION MUST BE

MANAGED

Many examples of change are present in industry these days, from changing the way we
monitor condition of our equipment, to changing the way we manage and interact with our
people to changing the way we approach health and safety.

Determining what needs change is relatively easy – implementing that change, however, is
the difficult part. To be able to implement change, you need to manage it, and this
management is not as simple as sending the people on the training and showing them the
equipment that needs improvement. This management is required because a series of
complex interactions occur when we try and change something that is happening at our work
places.

Definition
Change is to make different in some particular: alter; to make radically different: transform

The life cycle of change initiatives can be described as in Figure 1.

The four stages which need to be understood are:

1. Rebirth – where a change to the way we do things needs to occur and the inertia to change
needs to be overcome. Performance may actually drop due to misunderstanding, mistrust or
even just the time it takes to get organized and train the personnel.
2. Stage 2 is the Growth when people start following the new processes and increasingly
come on board when they see that the changes implemented are effective or showing results.
3. Maturity then occurs when the issues being addressed are no longer the major issues on
site. Benefit gained from the new processes will appear to slow down – this is an indicator

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that the site is ready for a new set of tasks. Be careful though – it may also mean there is a
problem with the process or its usage.
4. The final stage offers three different scenarios:
a. the plan for the site can be refocused to different topics and a Renewal of
improvement can be stimulated;
b. additional effort can be placed on the existing tasks, although it won’t really
make a lot of difference (Stagnation), or
c. effort can be withdrawn as it appears all the benefits have been achieved, and
the achieved results will deteriorate (Decline). It is important to recognize
these stages, as they provide a lot of valuable information that can be
leveraged to maximize results at the site. Rebirth
d. Rebirth is the introduction of a new way to do things.

Not managing the introduction correctly can not only result in extended implementation time
but can seriously affect the total benefits from the initiative targeted. Issues contributing to
this lag in implementation (and possible initial deterioration) may include: Psychological

o Job insecurity de-motivates people (improvement thought to result in reducing

headcount)
o Mistrust due to previous failed attempts
o Personnel benefit is unclear
o Unwilling to admit there is a better way than what has been done until now
o Unwilling to risk status they have achieved
o No or low perceived incentives to execute, e.g. do not enjoy new method, lack
of recognition or standard recognition regardless of quality

Work
 Workload increases with new tasks but headcount stays the same (or decreases
with a new contract)
 Incorrect or inexperienced personnel allocated to initiative
 Learning curve for new method requires time
 Priority of task missing or wrong. Initiative either planned too early, or lower impact
tasks allowed to take preference

Major tasks that need to be incorporated to address these issues include: Communication –
awareness of new process, business case for it, how it aligns with other current initiatives and
how this will affect the individual personnel.

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Training – lower level for support people, detail for the facilitators and high level for the
managers. Organizational support - access to information and procedures, as well as the time
and resources to complete. Managers need to be seen to support the initiative or the workers
will see the priority as low.

Existing tasks should be evaluated and low impact tasks removed or postponed to make time
for the new initiative. The major objective for targeting this stage is to minimize the rebirth
disruption and duration and start getting the benefit from the initiative. In fig 2

Growth
Growth refers to the period where the site obtains the benefits the initiative is designed to
return (fig 3). By addressing Rebirth, the growth stage can occur earlier, but it is now
important to maximise the rate of growth so the site can achieve the results faster. Issues
contributing to a delay in gaining the full benefits are similar to the reasons behind the rebirth
lag:

 Personnel benefit is unclear

 No / low perceived incentives to execute, e.g. do not enjoy new method, lack of
recognition or standard recognition regardless of quality
 Incorrect personnel allocated to initiative
 Priority of task missing or wrong. Initiative either planned too early, or lower impact
tasks allowed to take preference
 Progress not followed / rewarded so emphasis and interest drop.
 Personnel are continually given new tasks from management, so time is increasingly
harder to make. Major tasks which need to be included to address this include:
 Communication – encourage ongoing progress reporting. Advertisement of the
results as they happen. Rewarding / recognizing employees for progress.
 Organizational support – Management is involved with the ‘Governance’ of the
project, and ongoing process support is available for the people executing the task,
so they can identify early if they are doing something wrong. Time and resources are
protected by the management, so the project can continue to plan. Set aims that are
easy to achieve – in bite-size chunks.

Maturity
Maturity refers to the time when the majority of the results are achieved from the particular
initiative (fig 4). Caution must be exercised as if the project is stopped completely, a
performance drop or decline can be expected. By recognizing maturity, the site plan can be
adjusted for the next phase of work.

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Problems will occur here as well if the site is not tracking results for the initiatives. In this
case, the employees will continue working, not knowing that they are no longer contributing
significantly. Issues contributing to the mis-identification of the maturity period relate to not
measuring progress at all or progress is measured incorrectly. There will be, for example, a
number of initiatives across the site to target improved plant performance. If this is the only
measure and OEE is improving, it will be hard to identify which initiatives are still in the
growth period and which have reached maturity

Major tasks which need to be addressed include: Organizational support – Review of KPIs to
ensure they are appropriate, accurate and have no unintended consequences.
Communication

– Monitor and discuss KPIs regularly Renewal / Stagnation / Decline Monitoring performance
is important to identify the maturity period. What happens at this point is critical. If nothing
changes, results will stagnate and frustration will build up due to lack of progress. If the site
believes the project is complete and stops it completely, the issues causing the problems in
the first place will slowly be re-introduced to the site and the results will decline – the benefit
will be lost and the project will have to be re-initiated at a later date. The maturity time should
trigger two actions:

i. The completion of the initiative as a full project, but the identification of

ongoing tasks required to maintain current benefits.
ii. The re-evaluation of losses at the site and the identification of the next
level tasks required to address. This evaluation will not only free up
people’s time by stopping work that no longer provides a high return, but a
new set of initiatives can be introduced to show that a long-term,
systematic plan is in place. Analysis of reasons why plans to change a
particular process or task fail show that poor communication, lack of

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planning, poor quality control and lack of management support accounts
for over 60% of failures. These can be addressed through the actions
above.

KT0902 EXPLAIN THE TYPICAL RESPONSES OF PEOPLE TO CHANGE AND HOW THEY IMPACT ON THE EFFECTIVENESS OF

IMPLEMENTING CHANGES IN ORGANISATIONS.

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Change today is more complex, often more transformational and the pace of change is ever
increasing. This means we need to spend more time making sense of it all, learning about
things that go well and not so well –and more time as managers helping people cope When
change hits us, it disrupts the status quo and can really de-stabilise people, especially if it
means giving up things they hold dear

Balancing Stability and Change

 When change hits us it disrupts the status quo
 Which results in feelings of disequilibrium (feeling off balance) and discord

Responding to Change Anxiety and disorientation is a normal response, and people need
time to deal with what is happening. There are four main stages people go through

The length of time it takes to move between the stages depends on:
• The state of the individual
• The scale of the change
• The way change has been managed before
• How much change they have had to cope with recently
• The way this change is being managed
• Their level of involvement
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• Support they get from others

If major change is needed its particularly important to contain (neither reject, nor reinforce
feelings and reactions). Anger, denial, anxiety, sadness and depression are all common.
As they are expressed and the realities of the situation are gradually absorbed more
considered responses and alternative proposals will emerge - that’s when it is time to offer
more detailed plans

Managers have a key role to play in helping people move through the stages

Understanding and Managing Resistance Terrorists and Champions

 This diagram is saying people react to change in different ways

 Some (the enthusiasts), see it as an opportunity. - get a buzz from the
challenge and a new sense of direction, and champion change.
 Some are a bit more cautious- they sit back and wait to see what happens

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 Others see it as a threat, may withdraw or resist until there is no other
option. There are the cynics- the “yes butters” ...” yes but that will never
work” ...” we tried that before”
 Others (the terrorists) might block or even sabotage.

There are usually a small number who have learned to live through change programmes
without really changing at all

It’s saying:
 5% of people will lead the change
 20% get involved at the first opportunity
 50% wait and see what happens
 20% will when there is no other option
 5% will never change

Identify your early adopters, the people who are passionate, will lead and drive change-use
them to bring the rest on board. If you can win round someone who is known to be cynical/not
on board to the point where they champion change that can have a powerful impact on
others. Go around the 5% that will never change like water over a stone- or give them an exit
strategy!

(Bear in mind the reality is there are those who start off as enthusiasts who are suffering from
initiative overload and become jaded having had to cope with one initiative after another –
find ways to give them some stability however small)

Reactions to Change Series

How People Deal with Change
Jungian theory (the one behind the MBTI personality type questionnaire you completed in the
first module) offers the following model on the way people react to change. Reactions to
Change Series How People Deal with Change Jungian theory (the one behind the MBTI
personality type questionnaire you completed in the first module) offers the following model
on the way people react to change.

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Drivers are proactive, task-orientated types who are always willing to lead. They love change
and will throw themselves into new and untested areas because they live in the present
moment. What they lack in reflective skills they make up for in energy. Pushed to the brink
they become tyrants.

Expressive are proactive, people orientated types who have a lot of imagination, intuition and
creativity. They are good at looking at the world in fresh ways and look forward for their
inspiration rather than back. Their lack of task orientation however, means that they are more
likely to talk a good change story than to deliver a good change. At the extreme, they can
become so enamoured of change that they can’t function in a stable environment.

Amiables are reactive, people orientated types, the kind everyone loves to have around.
They are nature’s diplomats. They resist change because they don't like what it does to
people. They are experts in maintaining relationships but their orientation is stability and
ensuring other people’s needs are met. When pushed, they cave in.

Analyticals are the reactive, task orientated types, perfectionists who want to bar entry to the
unknown until it is proven safe. Their change mode is denial. They are victims of their own
clarity of thinking. Their facts must be the right facts and the need for certainty causes havoc
with the need for experimentation during change programmes. They look backwards for
inspiration. At their worst, analyticals lose themselves in the task and lose perspective in the
process.

These four types are at the extremes and most of us can be plotted towards some other point
on the graph but it can be a useful pointer to help you work out how people on your team
might cope with change.

Reactions to Change Series

Why Do People Resist Change?

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People resist change for all sorts of reasons:

 The vision isn’t clear

 No one has outlined what change will mean for them in practice
 Communication is poor
 Low levels of involvement and engagement
 They don’t stand to gain or they stand to loose something
 Experience of badly managed changed
 Initiative overload
 It’s too complex
 They have no focus of control and feel done to
 Self interest
 They are in their comfort zone
 Threat to skill or competence
 Threat to power base, status, or autonomy
 It will lead to unintended consequences elsewhere
 It’s too sudden
 Reluctant to experiment
 They are in change shock
 They actually think there is a better way

How change impact on the effectiveness of implementing changes in organisations.

Radical change is a change that have an impact on the whole system of the organization and
fundamentally redefine what the organization is or change its basic framework, including
strategy, structure, people, processes and (in some cases) core values. Radical change or
approach is used to address more fundamental problems especially in some situations, such
as after a period of flux or unexpected rapid change in the environment

communication is the key factor for a successful change. many people will resist change,
especially if they do not understand why the change is being introduced. The resistance to
change could prevent the employee from adapting and progressing within the organisation.
Organisational change, such as the implementation of a new IT system, usually has a
negative impact on employees, especially since they perceive that they do not have any say
in the matter, and therefore, believe that such organisational change is not of their own
making, and it should, therefore, be feared

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Lower Morale
When staffers resist a change taking place at work, they may feel less optimistic and hopeful
about their professional future with the company. This is particularly so if there is a lack of
communication regarding the change. Among other negative effects of resistance to change,
lowered morale can spread throughout the entire staff, which can in turn cause issues with
both recruiting and retention.

Lessened Efficiency
When employees spend time focusing on resisting the changes taking place in the workplace,
they become less focused on doing the daily tasks associated with their jobs. This leads to a
reduced level of efficiency and output among staff, which can affect the company's bottom
line. In fact, a reduced level of efficiency may fly directly in the face of the reason for the
changes in the first place, as changes are often made to become a more effective and
productive company

Disruptive Work Environment

Another negative effect to resistance among staff to changes may be a more disruptive work
environment. Employees resisting changes may cause commotions with outbursts regarding
the changes or a combative attitude with management staff. They may spread that same
negativity among other staff members, encouraging them to act in a similar manner, which
can, in turn, end up causing greater unrest among staffers

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KT0903 DESCRIBE A TYPICAL CHANGE MANAGEMENT PROCESS AND GIVE EXAMPLES OF WHAT MUST BE DONE TO HELP

PEOPLE UNDERSTAND AND ACCEPT CHANGE.

All organisations need to deal with change events. Successful organisations are able to
manage change in a coherent manner and are able to generate the most benefit from
changes and improvements to the way they do business.

Definition of Change Management

Change management means defining and adopting corporate strategies, structures,
procedures and technologies to deal with changes in external conditions and the business
environment

Examples of Change Management

A company such as [Your Company] is likely to deal with a number of different types of
change events. These could include:
 Changes in scale – Where [Your Company] wins a large contract or opens a new
business line there will be a need to change the way the business works due to
the increasing size of the organisation (e.g. increases in employees, need for
new premises, need for additional vehicles, changes in management structures
etc.)
 Changes in personnel – A more common change event that all organisations will
face from time to time is the need to adapt to changes in the personnel in key
positions within the business. For example, a change in supervisor may change
team dynamics whilst a change in accountant could include the risk of losing
significant corporate knowledge.
 Changes in technology – Where there have been improvements in technology
(e.g. communications, IT or equipment) there will be a need for [Your Company]
to update their systems and train their employees to effectively manage the
change.
 Changes in service offerings
 In circumstances where [Your Company] was to change the business lines that
we service then there will be a need to manage a change process through
training existing staff, recruiting additional staff, updating the business plan and
potentially investing in new equipment and marketing literature.
 Legislative change – Changes in laws and regulations could have a significant
impact on how [Your Company] goes about undertaking its work.

Key elements in successful Change Management

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The key elements in [Your Company]’s approach to change management include:

 Planning: developing and documenting the objectives to be achieved by any change
and the means to achieve it.
 Defined Governance: establishing appropriate organisational structures, roles, and
responsibilities for the change that engage stakeholders and support the change effort
 Committed Leadership: ongoing commitment from the leadership of [Your Company]
and across the organisation to guide organisational behaviour, and lead by example.
 Informed Stakeholders: encouraging stakeholder participation and commitment to
the change, by employing open and consultative communication approaches to create
awareness and understanding of the change throughout [Your Company].
 Aligned Workforce: identifying the human impacts of the change, and developing
plans to align the [Your Company] workforce to support the changing organisation

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KT0904 GIVE EXAMPLES OF THE USE OF CHANGE MANAGEMENT IN RELATION TO OCCUPATIONAL HEALTH AND SAFETY

ISSUES.

Organizational change is a normal and inevitable part of business life. It is an opportunity to

improve business performance and can improve safety and health performance if properly
implemented. If not properly planned, assessed and implemented, organizational change
can result in not only reduced business performance but – more importantly – reduced health
and safety performance and even significant hazardous events.

Management of change is recognized as a key element in the control of major accident

hazards, and management of change for changes to process, technology, equipment, etc. is
well established for the process industries. Changes to facility organization and personnel
can have an equivalent effect upon the safety and health of a facility and yet such changes
are not as well addressed.

Such changes include:

 Reorganization or re-engineering
 Downsizing of the workforce
 Attrition and ageing of the workforce
 Outsourcing of critical services under contract
 Changes affecting the competence or performance of other organizations providing
critical services under contract (e.g. equipment design, process control software, hazard
and risk assessment)
 Loss of skills, knowledge or attitudes as a result of the above

It applies to changes in positions and functions considered to be safety critical. These would
be positions through which the exercise of normal roles and responsibilities can directly, by
lack of awareness, lack of training or negligence, cause a major incident involving a fatality,
fire, explosion, toxic release or community impact.

Examples are positions related to the safe design, operation and maintenance of a plant and
may include operators, line management and also support staff such as engineers,
maintenance, safety and emergency response and contractors performing safety critical
work. It does not generally apply to administrative personnel or groups not related to
production that have no impact on the safe operation of a process. (e.g. cost accounting),
though caution is advised in ensuring that there are no significant indirect safety and health
effects as responsibilities are transferred to others or eliminated.

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What have you learnt in this study manual?

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