Advanced Risk

Management
Only Study Guide for

SMA3701

university
of south africa
Authors:
CL Rielander
L Ravazzolo
© 2022 University of South Africa

All rights reserved

Printed and published by the

University of South Africa
Muckleneuk, Pretoria

SMA3701/1/2023

10021213

HSY_Style
 CONTENTS

 Page

SMA3701 – ADVANCED RISK MANAGEMENT 1

Learning unit 1: SETTING THE SCENE 4
1.1 LEARNING OUTCOMES 4
1.2 ABBREVIATIONS AND CONCEPTS 4
1.3 INTRODUCTION5
1.4 RISK MANAGEMENT 5
1.5 REASONS TO MANAGE RISK 7
1.6 RISK MANAGEMENT APPROACHES/STRATEGIES 8
1.7 RISK MANAGEMENT STANDARDS 9
1.8 RISK CONTROL 10
1.9 RISK CONTROL MEASURES 11
1.10 SUMMARY12
1.11 SELF-ASSESSMENT QUESTIONS 12
1.12 RECOMMENDED READING 12
1.13 REFERENCES12
Learning unit 2: KEY ELEMENTS OF RISK
MANAGEMENT 14
2.1 LEARNING OUTCOMES 14
2.2 ABBREVIATIONS AND CONCEPTS 14
2.3 INTRODUCTION14
2.4 INTERNATIONAL ORGANIZATION FOR
STANDARDIZATION (ISO) 15
2.5 PLAN-DO-CHECK-ACT (PDCA) CYCLE 16
2.6 INTRODUCTION TO OCCUPATIONAL HEALTH
AND SAFETY MANAGEMENT SYSTEMS – SANS
(ISO) 45001 (2018) 18
2.7 OTHER MANAGEMENT SYSTEMS OF IMPORTANCE20
2.8 SUMMARY20
2.9 SELF-ASSESSMENT QUESTIONS 21
2.10 RECOMMENDED READING 21
2.11 REFERENCES21
Learning unit 3: RISK AND OPPORTUNITY
ASSESSMENT 23
3.1 LEARNING OUTCOMES 23
3.2 ABBREVIATIONS AND CONCEPTS 23
3.3 INTRODUCTION23
3.4 INVENTORY PREPARATION 24
3.5 INVENTORY ITEMS 24
3.6 RISK ASSESSMENT CONTEXT 25
3.6.1 Risk assessment pre-work 25
3.6.2 Identifying hazards and predicting hazardous events 26
3.7 RISK RATING 28
3.8 SUMMARY30

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 3.9 SELF-ASSESSMENT QUESTIONS 30
3.10 OTHER VIDEOS OF INTEREST 31
3.11 REFERENCES31
Learning unit 4: RISK CONTROL 32
4.1 LEARNING OUTCOMES 32
4.2 ABBREVIATIONS AND CONCEPTS 32
4.3 INTRODUCTION32
4.4 GENERAL RISK CONTROL PRINCIPLES 33
4.5 RISK CONTROL 33
4.6 RISK CONTROL CHOICES 35
4.7 RISK CONTROL ACTIONS 35
4.8 OTHER RISK CONTROL FACTORS 37
4.9 SAFE WORK SYSTEMS 38
4.10 SUMMARY40
4.11 SELF-ASSESSMENT QUESTIONS 40
4.12 RECOMMENDED READING 40
4.13 REFERENCES40
Learning unit 5: SAFE SYSTEMS OF WORK 42
5.1 LEARNING OUTCOMES 42
5.2 ABBREVIATIONS AND CONCEPTS 42
5.3 INTRODUCTION42
5.4 SAFE WORK SYSTEMS 43
5.5 DEVELOPING SAFE WORK SYSTEMS 43
5.6 THE PURPOSE OF SAFE WORK SYSTEM ELEMENTS46
5.6.1 Safe work procedures 46
5.6.2 Permit to work 46
5.6.3 Safety rules 47
5.7 SAFETY PROGRAMMES 50
5.8 TASK ANALYSIS 50
5.9 SUMMARY50
5.10 SELF-ASSESSMENT QUESTIONS 50
5.11 OTHER VIDEOS OF INTEREST 51
5.12 REFERENCES51
Learning unit 6: MONITORING AND MEASURING
LOSSES AND CONFORMITY 52
6.1 LEARNING OUTCOMES 52
6.2 ABBREVIATIONS AND CONCEPTS 52
6.3 INTRODUCTION52
6.4 LOSSES53
6.4.1 Choosing key losses 54
6.4.2 Identifying key losses 54
6.4.3 Monitoring key losses 56
6.5 MEASURING KEY LOSSES 57
6.5.1 Trend analysis 57
6.5.2 Incident rates 57
6.5.3 Frequency rates 57
6.5.4 Trend analysis with variable conditions 58
6.5.5 Incident and frequency rates 58
6.5.6 Comparative analysis of accident data 59
6.5.7 Key loss as a measure of risk 59
6.5.8 Spin-offs and side-effects 59

ii
 6.6 SUMMARY60
6.7 SELF-ASSESSMENT QUESTIONS 60
6.8 OTHER VIDEOS OF INTEREST 60
6.9 REFERENCES61
Learning unit 7: IDENTIFYING CAUSES AND
PATTERNS 62
7.1 LEARNING OUTCOMES 62
7.2 ABBREVIATIONS AND CONCEPTS 62
7.3 INTRODUCTION62
7.4 ACCIDENT TERMINOLOGY 63
7.5 THE ACCIDENT INVESTIGATION PROCESS 63
7.6 DISCOVERING THE ROOT CAUSE OF AN
ACCIDENT65
7.7 INTERVIEW TECHNIQUES 67
7.8 ACCIDENT CAUSATION MODELS 68
7.8.1 Hale and Hale model 69
7.8.2 The Domino Theory 69
7.8.3 The Swiss Cheese model 70
7.9 OTHER TYPES OF INVESTIGATIONS 70
7.10 ACCIDENT REPORTING 70
7.11 SUMMARY71
7.12 SELF-ASSESSMENT QUESTIONS 71
7.13 RECOMMENDED READING 72
7.14 OTHER VIDEOS OF INTEREST 72
7.15 REFERENCES72
Learning unit 8: MONITORING AND MEASURING
CONFORMITY AND ACHIEVEMENT 74
8.1 LEARNING OUTCOMES 74
8.2 ABBREVIATIONS AND CONCEPTS 74
8.3 INTRODUCTION74
8.4 THE DIFFERENCE BETWEEN MONITORING
AND MEASURING 74
8.5 THE PURPOSE OF MONITORING 75
8.6 MONITORING TECHNIQUES 77
8.7 FREQUENCY MONITORING 79
8.8 MONITORING AND MEASURING FAILURES 79
8.9 CONFORMITY AND NON-CONFORMITY 80
8.10 SUMMARY81
8.11 SELF-ASSESSMENT QUESTIONS 81
8.12 RECOMMENDED READING 81
8.13 OTHER VIDEOS OF INTEREST 82
8.14 REFERENCES82
Learning unit 9: OTHER ELEMENTS OF
OCCUPATIONAL HEALTH AND
SAFETY MANAGEMENT SYSTEMS 83
9.1 LEARNING OUTCOMES 83
9.2 ABBREVIATIONS AND CONCEPTS 83
9.3 INTRODUCTION83
9.4 NEEDS AND EXPECTATIONS 85
9.5 POLICY86
9.5.1 Developing a health and safety policy 86

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 9.6 OCCUPATIONAL HEALTH AND SAFETY RISKS
AND OPPORTUNITIES 87
9.7 DOCUMENTED INFORMATION 89
9.7.1 General requirements 89
9.7.2 Creating and updating documentation 90
9.7.3 Control of documented information 90
9.8 OPERATIONS91
9.9 AUDIT92
9.9.1 Pre-defined standards 93
9.9.2 Structured approach 93
9.9.3 Independence94
9.9.4 Competence95
9.10 MANAGEMENT REVIEW 95
9.10.1 The importance of a review 95
9.10.2 Closing the feedback loop 96
9.10.2.1 Continual improvement96
9.10.3 The functions of a review 97
9.10.4 Analysis of combined data 97
9.11 OTHER POINTS ON REVIEW 97
9.12 SUMMARY98
9.13 SELF-ASSESSMENT QUESTIONS 98
9.14 RECOMMENDED READING 98
9.15 OTHER VIDEOS OF INTEREST 98
9.16 REFERENCES99
Learning unit 10: COMMUNICATION AND TR AINING 101
10.1 LEARNING OUTCOMES 101
10.2 ABBREVIATIONS AND CONCEPTS 101
10.3 INTRODUCTION102
10.4 COMMUNICATION SKILLS 102
10.4.1 Effective communication 104
10.4.2 Communication media 105
10.4.3 Legal and other requirements 106
10.5 TRAINING107
10.6 COMPETENCE AND VOCATIONAL STANDARDS 109
10.6.1 Health and safety competences 110
10.6.2 Inadequate resource use 111
10.6.3 Health and safety professionals’ competence 111
10.6.4 Legal and other requirements for competence 112
10.7 SUMMARY113
10.8 SELF-ASSESSMENT QUESTIONS 113
10.9 RECOMMENDED READING 113
10.10 OTHER VIDEOS OF INTEREST 113
10.11 REFERENCES114
Learning unit 11: BASIC HUMAN FACTORS AND
THE ENVIRONMENT 115
11.1 LEARNING OUTCOMES 115
11.2 ABBREVIATIONS AND CONCEPTS 115
11.3 INTRODUCTION115
11.4 INDIVIDUAL DIFFERENCES 116
11.5 ATTITUDES, MOTIVATION, PERSONALITY
AND INTELLIGENCE 118
11.6 THE HUMAN FACTORS ENVIRONMENT 119

iv
 11.7 ORGANISATIONS AND GROUPS 120
11.8 SOCIETY121
11.9 SUMMARY122
11.10 SELF-ASSESSMENT QUESTIONS 122
11.11 RECOMMENDED READING 123
11.12 OTHER VIDEOS OF INTEREST 123
11.13 REFERENCES124
Learning unit 12: MANAGEMENT SYSTEMS 125
12.1 LEARNING OUTCOMES 125
12.2 ABBREVIATIONS AND CONCEPTS 125
12.3 INTRODUCTION125
12.4 MANAGEMENT SYSTEM OVERVIEW 126
12.5 MANAGEMENT OVERSIGHT AND RISK TREE
(MORT)132
12.6 EUROPEAN FOUNDATION FOR QUALITY
MANAGEMENT (EFQM) EXCELLENCE MODEL 133
12.7 OPERATIONAL EXCELLENCE MODEL (OPEX) 133
12.8 INTEGRATED MANAGEMENT SYSTEM 134
12.9 SUMMARY135
12.10 SELF-ASSESSMENT QUESTIONS 135
12.11 RECOMMENDED READING 135
12.12 OTHER VIDEOS OF INTEREST 136
12.13 REFERENCES136
Learning unit 13: MEASURING PERFORMANCE 137
13.1 LEARNING OUTCOMES 137
13.2 ABBREVIATIONS AND CONCEPTS 137
13.3 INTRODUCTION137
13.4 MEASURING SAFETY PERFORMANCE 138
13.5 WHAT IS TO BE MEASURED 139
13.5.1 Proactive monitoring 139
13.5.2 Reactive monitoring 139
13.6 LEADING AND LAGGING INDICATORS 140
13.6.1 Leading indicators 140
13.6.2 Lagging indicators 140
13.7 PERFORMANCE SCORECARD 142
13.8 NATURE OF DATA TYPES 142
13.9 PRESENTATION AND ANALYSIS OF
STATISTICAL DATA 143
13.9.1 Descriptive statistics 144
13.9.2 Summary statistics 144
13.9.3 Probability144
13.10 TREND ANALYSIS 145
13.11 EPIDEMIOLOGY145
13.12 SUMMARY146
13.13 SELF-ASSESSMENT QUESTIONS 146
13.14 RECOMMENDED READING 146
13.15 OTHER VIDEOS OF INTEREST 147
13.16 REFERENCES147

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 Learning unit 14: ADVANCED ACCIDENT
INVESTIGATION AND RISK
ASSESSMENT 149
14.1 LEARNING OUTCOMES 149
14.2 ABBREVIATIONS AND CONCEPTS 149
14.3 INTRODUCTION149
14.4 REASONS FOR CONDUCTING ACCIDENT
INVESTIGATIONS AND RISK ASSESSMENT 150
14.5 ADVANCED ACCIDENT INVESTIGATION 150
14.6 EVENT AND CAUSAL FACTOR ANALYSIS (ECFA) 151
14.7 MANAGEMENT OVERSIGHT AND RISK TREE
(MORT)152
14.8 ADVANCED RISK ASSESSMENT 154
14.9 ADVANCED RISK ASSESSMENT TECHNIQUES 154
14.9.1 Hazard and Operability Studies (HAZOP) 155
14.9.2 Failure Mode and Effects Analysis (FMEA) 156
14.9.3 Event Tree Analysis (ETA) 157
14.9.4 Fault Tree Analysis (FTA) 158
14.9.5 Human error 159
14.10 SWOT ANALYSIS 159
14.11 OTHER RISK ASSESSMENT TECHNIQUES 160
14.12 SUMMARY165
14.13 SELF-ASSESSMENT QUESTIONS 165
14.14 RECOMMENDED READING 165
14.15 OTHER VIDEOS OF INTEREST 166
14.16 REFERENCES166
Learning unit 15: ADVANCED RISK CONTROL
TECHNIQUES 168
15.1 LEARNING OUTCOMES 168
15.2 ABBREVIATIONS AND CONCEPTS 168
15.3 INTRODUCTION168
15.4 RISK CONTROL MEASURES 169
15.5 GENERATING RISK CONTROL IDEAS 171
15.6 SAFETY CULTURE 172
15.6.1 Measuring the safety culture 172
15.6.2 Influencing safety culture 173
15.7 SUMMARY174
15.8 SELF-ASSESSMENT QUESTIONS 174
15.9 RECOMMENDED READING 174
15.10 OTHER VIDEOS OF INTEREST 174
15.11 REFERENCES175
Learning unit 16: EMERGENCY PLANNING 176
16.1 LEARNING OUTCOMES 176
16.2 ABBREVIATIONS AND CONCEPTS 176
16.3 INTRODUCTION176
16.4 PLANNING FOR EMERGENCIES 177
16.4.1 Identifying emergency events 178
16.4.2 Identifying emergency management actions 179
16.5 RECORDING THE EMERGENCY PLAN 180
16.6 TESTING THE PLAN 182
16.7 RESPONDING TO AN EMERGENCY 182
16.8 RECOVERING FROM AN EMERGENCY 183

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 16.9 SUMMARY184
16.10 SELF-ASSESSMENT QUESTIONS 184
16.11 RECOMMENDED READING 184
16.12 OTHER VIDEOS OF INTEREST 184
16.13 REFERENCES185
Learning unit 17: ADVANCED AUDIT AND REVIEW 186
17.1 LEARNING OUTCOMES 186
17.2 ABBREVIATIONS AND CONCEPTS 186
17.3 INTRODUCTION186
17.4 OVERVIEW OF THE AUDIT PROCESS 187
17.5 AUDIT OBJECTIVES, SCOPE AND CRITERIA 188
17.5.1 Audit objectives 189
17.5.2 Audit scope 189
17.5.3 Audit criteria 189
17.6 INITIATING AN AUDIT 190
17.6.1 Determining the feasibility of the audit 190
17.6.2 Preparing audit activities 191
17.7 AUDIT PLANNING 191
17.8 PREPARING DOCUMENTED INFORMATION
FOR THE AUDIT 191
17.9 AUDIT ACTIVITIES 192
17.9.1 Opening meeting 192
17.9.2 Communication during the audit 193
17.9.3 Collecting and verifying information 193
17.9.4 Generating audit findings and determining audit conclusions193
17.9.5 Closing meeting 194
17.10 PREPARING THE AUDIT REPORT AND
COMPLETING THE AUDIT 194
17.10.1 Distribution of the audit report 195
17.10.2 Completing the audit 195
17.11 REVIEW195
17.12 NEW METHODS OF MEASUREMENT 196
17.13 USING COMPUTERS 196
17.14 SUMMARY196
17.15 SELF-ASSESSMENT QUESTIONS 197
17.16 RECOMMENDED READING 197
17.17 OTHER VIDEOS OF INTEREST 197
17.18 REFERENCES198
Learning unit 18: FINANCIAL ISSUES 199
18.1 LEARNING OUTCOMES 199
18.2 ABBREVIATIONS AND CONCEPTS 199
18.3 INTRODUCTION199
18.4 COST-BENEFIT ANALYSIS 200
18.4.1 Calculating costs 200
18.4.2 Calculating benefits 201
18.4.3 Comparing costs and benefits 201
18.5 BREAK-EVEN ANALYSIS 201
18.6 INSURANCE202
18.7 RISK MANAGEMENT TOOLS REVIEWED 203
18.8 SUMMARY203
18.9 SELF-ASSESSMENT QUESTIONS 204
18.10 RECOMMENDED READING 204

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 18.11 OTHER VIDEOS OF INTEREST 204
18.12 REFERENCES205
Learning unit 19: HUMAN FACTORS – ADVANCED 206
19.1 LEARNING OUTCOMES 206
19.2 ABBREVIATIONS AND CONCEPTS 206
19.3 INTRODUCTION206
19.4 HUMAN RELIABILITY FACTORS 206
19.5 INDIVIDUAL DIFFERENCES 207
19.5.1 Motivation207
19.5.2 Intelligence208
19.5.3 Personality209
19.5.4 Trait theory 210
19.5.5 Attitudes210
19.6 HUMAN ERROR 211
19.7 PERCEPTION AND DECISION-MAKING 212
19.8 EXTERNAL INFLUENCES ON HUMAN ERROR 213
19.8.1 Organisational factors 213
19.9 IMPROVING HUMAN RELIABILITY 214
19.10 SUMMARY215
19.11 SELF-ASSESSMENT QUESTIONS 215
19.12 OTHER VIDEOS OF INTEREST 215
19.13 REFERENCES216

viii
 

1 SMA3701 – ADVANCED RISK

MANAGEMENT

I would like to welcome you to Unisa and congratulate you on your choice of educational
institution. Also, welcome to SMA3701. I’m very excited to share this module with
you. As an adult student in distance education, you have to take full responsibility
for your studies. Whether you succeed or fail, is up to you.

This study guide serves the useful purpose of being an extension to the prescribed
book for SMA3701, Boyle T. 2019. Health and safety: Risk management. 5th
edition. New York: Routledge. The purpose of the study guide is not only to
supplement the prescribed book, but to introduce you to the practical aspects of
integrating risk management and human factors into workplace safety management
systems. The prescribed book of Boyle (2019) is divided into two parts and each of
these parts are further sub-divided into another two parts. Part one is to be used
in combination with part two.

This module will provide you with knowledge of key management functions, as
well as the principles and practices applied in safety risk management and safety
management systems.

Below, you will see an outline of the module’s content and the plan for the year:

SMA3701/11


As you work through this module, you will see that different learning units correspond
with different chapters in your prescribed textbook. These are outlined below.

Learning unit Chapter

Learning unit 1 Setting the scene
(Chapters 1–3)
Learning unit 2 Key elements of risk management
(Chapter 4)
Learning unit 3 Risk and opportunity assessment
(Chapter 5)
Learning unit 4 Risk control
(Chapter 6)
Learning unit 5 Safe systems of work
(Chapter 7)
Learning unit 6 Monitoring and measuring losses and conformity
(Chapter 8)
Learning unit 7 Identifying causes and patterns
(Chapter 9)
Learning unit 8 Monitoring and measuring conformity and
achievement
(Chapter 10)

2
 

Learning unit 9 Other elements of occupational health and

safety management systems
(Chapter 11)
Learning unit 10 Communication and training
(Chapter 12)
Learning unit 11 Basics human factors and the environment
(Chapters 13–16)
Learning unit 12 Management systems
(Chapter 18)
Learning unit 13 Measuring performance
(Chapter 19)
Learning unit 14 Advanced accident investigation and risk
assessment
(Chapter 20)
Learning unit 15 Advanced risk control techniques
(Chapter 21)
Learning unit 16 Emergency planning
(Chapter 22)
Learning unit 17 Advanced audit and review
(Chapter 23)
Learning unit 18 Financial issues
(Chapter 24)
Learning unit 19 Human factors – advanced
(Chapters 25–30)

The module begins with an introduction to risk management and setting the scene.

Let’s get started.

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1 LEARNING UNIT 1
1 SETTING THE SCENE

1.1 LEARNING OUTCOMES

After working through this learning unit and chapters 1 to 3 in the prescribed
textbook (Boyle T. 2019. Health and safety: Risk management. 5th edition.
New York: Routledge), you should be able to
(1) define safety and risk terminology and explain the application of the terms
in the field of safety
(2) identify and categorise the elements/facets of a risk management model
(3) distinguish between the different levels of management
(4) identify and explain reasons to manage risk
(5) apply the different risk management strategies/approaches in given scenarios
(6) apply aspects of risk control as a method to counter risk
(7) discuss risk control measures as a means to control risk
(8) categorise the types of risk control maintenance measures and identify the
two types of maintenance measures
(9) list the categories of risk reduction and control
(10) differentiate between the facets of the risk management model
(11) list the benefits of risk management
(12) compare the different risk management strategies
(13) describe the principles of a risk management process
(14) explain the target areas and principles of ISO 31000
(15) explain the management of residual risk and classify the means of managing
residual risk

1.2 ABBREVIATIONS AND CONCEPTS

At the beginning of each learning unit, you will be given a list of key concepts and
abbreviations. It is important that you familiarise yourself with these concepts, as
you will be applying them throughout the contents of this module. You can also
consult the multilingual glossary for definitions and descriptions of the concepts
and abbreviations.

Accident causation model Accident investigation

Communication skills Hazards
Hazardous events Loss
Monitoring Permit to work
Plan-do-check-act (PDCA) cycle Safety management system
Safety rules Safe work systems
Residual risk Risk
Risk assessment Risk control
Risk evaluation Risk identification
Risk financing Risk management
Enterprise-wide approach to risk management

4
 LEARNING UNIT 1: Setting the scene

1.3 INTRODUCTION
Exposure to risks are part of our lives and an everyday reality, regardless of the
activity in which we take part (whether getting out of bed or operating dangerous
machinery). From experience and your previous studies, you will know that people
sometimes use the terms ‘hazard’ and ‘risk’ in the same breath, without understanding
the difference. Should you wish to refresh your memory, you can watch the short
video clip below before you continue. Watch from the start of the video up to 1:30
– The difference between a hazard and a risk by Holmesglen (2:55): https://youtu.
be/ToaVW4nSdBA.

Let me explain the difference by means of another example from the safety field.
Suppose an electrician opens the door of a substation (high voltage) and enters. The
typical hazard will be the high-voltage electricity and the risk is that the electrician
can be harmed if he comes into contact with this high-voltage electricity, which can
result in electrocution and/or electrical burns.

Risk management can therefore be defined as the management of the unpredictable

and unstable environment in which all organisations – regardless of the type of
organisation (corporate companies, small businesses, schools, hospitals etc) – operate.
This requires an enterprise-wide approach to risk management that is comprehensive,
inclusive and proactive (Valsamakis, Vivian & Du Toit 2010:12).

The risk management programme of an organisation is unique to the needs of that

organisation (a transporter of hazardous chemical products will require a different
degree of risk management than what will be required by a stationery retailer or a
home appliance retailer), but certain elements are common to all risk management
programmes established within the risk management model (the process of identifying,
evaluating and controlling risks, measuring the effectiveness of the control and
implementing corrective actions as required).

In this learning unit, we will set the scene for risk management, explore what risk
management is, and look at the reasons to manage risk, risk management approaches,
and risk management standards, risk control and risk control actions. This learning
unit will utilise chapters 1, 2 and 3 of the prescribed book, Boyle T. 2019. Health
and safety: Risk management. 5th edition. New York: Routledge.

1.4 RISK MANAGEMENT

At this level, you should know safety and risk terminology such as ‘hazards’, ‘hazardous
events’, ‘risk’ and ‘loss’. These terms can be reviewed in Boyle (2019:9). Make sure
that you can explain the concept ‘risk management’, and that you can distinguish
between a hazard, hazardous event, risk and loss.

Risk management is concerned with the pure risk and ways of managing those risks.
It is a process consisting of many elements, like identifying, assessing and mitigating
the risks or threats that an organisation faces daily. These threats can typically be
grouped under business-process categories like ‘financial’, ‘legal’, ‘accidents’, ‘natural
disasters’, etc (searchcompliance.techtarget 2020). Risk management has a scientific
boundary when approaching pure risk with the aim of implementing procedures
to minimise the occurrence of losses and the financial impact of those losses. The
elements of the risk management model include:
• determining the objectives of the risk management function
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• risk identification
• risk evaluation and assessment
• risk control
• risk financing
• risk programme monitoring and administration (Valsamakis et al 2010:15–19)

These elements comprise the risk management function and are referred to as the
risk management model or the risk management process. Risk management needs
well-established principles of management to enable any organisation to manage
risk. ‘Management’ can be defined as the process of planning, organising, leading
and controlling the resources of the organisation to achieve goals as efficiently as
possible (Valsamakis et al 2010:13).

The term ‘manager’ refers to anybody who carries out the four fundamental functions
of management mentioned above, and who performs these functions at different
levels in an organisation. The levels of management can be divided into
• strategic level – top management
• operations level – middle management and lower management (Valsamakis et
al 2010:11).

Boyle (2019:11) discusses the issue of residual risk and ways of dealing with such
residual risks. A ‘residual risk’ is the risk that remains after the initial risk controls
have been implemented. For example, on a construction site, there is a risk of workers
being run over by heavy mobile equipment and the control implemented is that all
workers on site have to wear reflective vests to be more visible. This vest reduces
the risk of being run over by heavy mobile equipment, but it does not completely
remove the risk, since the vehicles have blind spots and a person can still be run over
by a vehicle. There are several ways to manage residual risk, such as risk acceptance
(where the risk of workers getting run over by heavy mobile equipment is low enough
not to need more control measures), applying secondary risk control measures (e.g.
implementing dedicated walkways and providing radio communication between
workers and heavy mobile equipment operators), or risk transfer (where workers from
a third party can be contracted to perform work on the construction site, instead of
the organisation’s own workers).

Aspects of risk control categories and measures are outlined in Boyle (2019:11),
where a distinction is made between reactive and preventative maintenance related
to risk control. Make sure that you understand and can explain what each of these
categories are and apply that to your current surroundings or an organisation that
you are familiar with.

Risk often has a contextual meaning and it has a different meaning for different
disciplines; therefore, no single definition covers all possible meanings. For example,
in the safety field, risk management is concerned with safety risks, for example
preventing occupational injuries like people falling from heights, whereas in the
financial field risk management is concerned with preventing significant financial
losses that can cripple the company, like having insufficient insurance and internal
risk financing available to recover from loss when a catastrophic event takes place
that damages equipment or the environment.

Risk is a deviation from the expected values and implies the presence of uncertainty.
Uncertainty may be the occurrence of an event producing a loss and the uncertainty
is then regarded as the outcome of the event. Reasons to manage risk is outlined in
Boyle (2019:12–13), where the degree of risk is interpreted in terms of the degree

6
 LEARNING UNIT 1: Setting the scene

of variability and not the probability that it will result in a particular outcome. The
standard deviation becomes a measure of risk. Risk management is concerned with
managing the possible future consequences or outcomes of risk in an organisation.
The following are a number of elements of risk:
• outcomes
• events
• sources
• environmental factors (Valsamakis et al 2010:26–27)
Before continuing with the rest of the learning unit, take time to participate in the
discussion activity below.

1 DISCUSSION 1.1: RISK MANAGEMENT

Watch the short video clip on risk management and explain in your own words
your understanding of what risk management is.

What is risk management and why is it important? by Eye on Tech (2:05), available
at: https://youtu.be/-Yd3gXb35kU.

Feedback will be given online.

ACTIVITY 1.1: RISK MANAGEMENT

Elaborate (in 100–150 words) on your understanding of what risk management is,
and how it is utilised in your organisation.

STUDY

Boyle (2019:9–11) and ensure that you understand the risk management process.

1.5 REASONS TO MANAGE RISK

Every organisation is exposed to the risk of unforeseen events that can have a
significant impact on the organisation’s financial stability, profit-generating capability
and business continuity to the point where the company can no longer stay in business.
The process of risk management is implemented to help organisations safeguard
against risk as far as practicable (searchcompliance.techtarget 2020).

Ensure that you are familiar with all the different reasons to manage risk and what
the consequences can be if an organisation fails to manage their risks, as outlined
in Boyle (2019:12). Make sure that you understand where safety risks fit into the
broader scheme of managing risks/reasons to manage risk.

ACTIVITY 1.2: REASONS TO MANAGE RISK

List five reasons why your organisation should manage their risks. In 250–300
words, elaborate on these reasons.

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2 FEEDBACK ON ACTIVITY 1.2

Compare your answer to the information in the prescribed textbook.

Specific decisions should be considered for the survival, growth and maximisation
of shareowner wealth, regardless of the kind of corporation. Risk and return are
interrelated and therefore a risk management programme to reduce risk should be
adopted and seen as an integral part of the existence of any organisation. A risk
management programme will feature in most codes of corporate governance.

The next step for a Safety Manager should be to make specific proposals aimed at
reducing risk, which will be reviewed by the management team for implementation.
The criteria identified for reducing risk will include
• legal requirements
• ethical and moral considerations
• financial considerations
• that steps taken will be cost beneficial
• business considerations related to risk aversion and policy-based decisions (Boyle
2019:12)

Risk can be classified in several ways where the risk management model identifies
two underlying facets, namely (1) the management or control of risk and (2) the
financing of risk.

Important benefits of risk management may include

• creating a work environment for staff that is safe and secure
• improving operational stability
• achieving a decrease in legal liability
• safeguarding against unforeseen circumstances that can negatively impact the
organisation, its people or the environment in which it operates
• preventing accidents that can result in occupational injuries and illnesses etc
• reducing insurance premiums (searchcompliance.techtarget 2020)

STUDY

Boyle (2019:12) and ensure that you understand the reasons to manage risk.

Ensure that you know what risk control measures are and what residual risk is and
that you can identify a residual risk in your current surroundings.

1.6 RISK MANAGEMENT APPROACHES/STRATEGIES

Organisations use different strategies to manage the different kinds of risks to which
they are exposed. Risks are firstly identified, and then managed accordingly. Typical
risk management strategies include:

• Risk avoidance
This strategy is designed to avoid as many threats as possible and, in doing so,
it allows the organisation to avoid the consequences of a loss/damaging event.

8
 LEARNING UNIT 1: Setting the scene

• Risk reduction
The organisation will sometimes be able to reduce the impact that certain risks
can have on its business processes. This is achieved by making changes to the
organisational scope or activities.

• Risk sharing
Sometimes a risk is managed by distributing the consequences among several
of the project’s participants or business departments, or by external risk sharing
with a third party like a vendor, subcontractor or business partner.

• Risk retaining
If a risk is worth it from a business point of view, an organisation can decide
to keep the risk and deal with any potential consequences arising from the risk.
Companies can retain a certain level of risk if the anticipated profit is greater than
the costs of the potential risk (searchcompliance.techtarget 2020).

ACTIVITY 1.3: RISK MANAGEMENT STRATEGIES

Study the practical scenarios in the table below. Then identify the type of risk
management strategy that was applied in each scenario. Also, remember to
substantiate in 250–300 words why you selected the specific strategy.

PRACTICAL SCENARIOS TYPE OF RISK MANAGEMENT

STRATEGY
Scenario 1: Company XYZ decides to use
a water-based paint rather than an oil-based
paint because it has less OHS hazards and
risks.
Scenario 2: A high-risk process such as the
loading and transport of hazardous material is
contracted out to another company that spe-
cialises in the process.
Scenario 3: The production of a toxic product
is discontinued.
Scenario 4: A company decides that the risk
of people falling from heights is acceptable
after providing the workers with all relevant
training, issuing them with safety harnesses
and lifelines where required, and ensuring
there is competent supervision at all times.

Feedback will be given online.

1.7 RISK MANAGEMENT STANDARDS

The International Organization for Standardization (ISO) has developed international
management standards for different kinds of processes such as audits, risk management,
and many more. Organisations are required to adhere to these standards in order to
receive ISO certification for a relevant standard.

SMA3701/19


The ISO standard that provides the framework for risk management principles is
ISO 31000, which was updated in 2018. The principles outlined in ISO 31000 (2018)
and its improvement opportunities can be used by any organisation in any sector.
ISO 31000 (2018) was designed to “increase the likelihood of achieving objectives,
improve the identification of opportunities and threats, and effectively allocate and
use resources for risk treatment”, according to the ISO website. ISO 31000 (2018)
can only be used to provide guidance for internal or external risk audits, and it
allows organisations to benchmark their risk management practices against those
of other organisations. Target areas, or principles, that should be part of the overall
risk management process according to the ISO requirements include:
• creating value for the organisation
• forming an integral part of the overall organisational process
• factoring into the company’s overall decision-making process
• addressing any uncertainties around risk management
• ensuring a systematic and structured process
• incorporating the best available information
• tailoring risk management to the business requirements
• taking into account human factors impacting the organisation
• forming a transparent and holistic process
• adaptability to change
• making provision for continuous monitoring, review and improvements
The International Management Standards assist organisations to systematically
implement risk management processes aligned with best practices by guiding them
to establish a common framework and standardised process (searchcompliance.
techtarget 2020).

For an additional explanation, you can view the short and informative video clip on
ISO 31000 by Wissen Akademie (2:47),: https://youtu.be/VD1pCB95bZ8.

1.8 RISK CONTROL

Risk control is the step that follows once hazard identification and analysis have
been completed. Once the organisation is aware of what its risks are, it needs to decide
on control measures that will protect the organisation from loss and this is a critical
step in every risk management programme, regardless of the type of organisation.

Risk control is the process by which an organisation identifies the events that can
cause a loss to occur and puts mitigating measures in place to prevent or reduce
the losses. (www.marketing91.com 2019). Risk control is also seen as a method of
countering risk, which includes all activities conducted for the purpose of eliminating
or reducing factors that may cause loss and minimising the actual loss that occurs
when preventive methods have not been fully effective. Risk control was developed
from loss-control areas such as fire, explosions and industrial accidents. Early risk
control programmes addressed a specific risk and did not involve a holistic approach
to risk control and risk management techniques. Boyle (2019:11) divides risk control
into three basic categories:
• measures designed to reduce the likelihood of risk
• measures designed to reduce the severity of risk
• measures designed to reduce the likelihood and severity of risk
Risk control is not always obvious; however, the result is always evaluated and judged.
After a safety incident has occurred, there is usually a comprehensive investigation

10
 LEARNING UNIT 1: Setting the scene

that looks at all the risk control measures that have to be established, as well as which
ones have failed and contributed to the incident. That is when we become aware of
all the control measures that we might not have been aware of, such as procedures,
training, task observations, risk assessments, permits to work etc, that had been
implemented. Many risk control measures require maintenance to ensure that the
measures remain effective. Boyle (2019:11) identifies two types of maintenance:
• reactive maintenance
• preventive maintenance
Regardless of the type of risk control and maintenance applied, there is always
the possibility that it might be ineffective. Uncertainty arises from our knowledge
concerning a future event, and the level of uncertainty depends on the information
that is available to evaluate the likelihood of outcomes. Uncertainty revolves around
whether an event will occur and if the event does occur, what the outcome of the
event will be. Risk and uncertainty are interrelated, as uncertainty gives rise to risk.
The modern tendency is to interpret risk as the absence of certainty. There are several
ways to deal with risk, where risk classifications are made to assist in managing risks
within an organisation. This means that the organisation would break down the risks
into more manageable sections. Risks can be divided into two categories, namely
future risks (strategic risks) and day-to-day risks (operational risks). One such risk of
concern is the residual risk, or remaining risk after risk control has been implemented.
There are several ways to manage residual risk, such as
• risk acceptance
• applying secondary risk control measures (treat and tolerate the risk)
• risk transfer
STUDY

Boyle (2019:11) and make sure that you can explain what risk control is and how
it is used and evaluated for effectiveness in organisations to prevent loss.

In the next section we will focus on a few measures that are implemented by
organisations to control the risks to which they are exposed, in order to prevent loss.

1.9 RISK CONTROL MEASURES

Regular inspections are performed on various organisational assets like equipment,
buildings, etc and maintenance to buildings and equipment is a common risk control
measure. Equipment failure can be a huge risk to a firm and the maintenance of
the equipment used in production is an example of risk control. The organisation’s
clients are also provided due diligence for credit risks by carefully validating credit
applications.

Safety policies and procedures govern which personal protective equipment should
be worn in order to reduce the safety risks to which employees are exposed at work
sites. Management decisions are made to consciously reduce all identified risks and to
ensure that measures are in place to control the risks (www.marketing91.com 2019).

STUDY

Boyle (2019:10) and make sure that you can explain what risk control measures
are and how they are used in organisations to prevent loss from occurring.

SMA3701/111


1.10 SUMMARY
This learning unit gave you an overview and introduction to risk management and
risk control and the importance of these aspects. We defined risk management and
reviewed the reason why organisations manage risk. We briefly touched on the
ISO standard that regulates risk management, namely ISO 31000 (2018). This was
followed by a brief discussion of risk control. In the next learning unit, we will look
at the key elements of risk management.

You should now be able to apply the concepts that you have learned by selecting
a local organisation of any kind and establishing what risks they are exposed to,
identifying at least one control measure that they may have implemented to manage
those risks, and explaining how they can assess the effectiveness of that control
measure and if it will help them prevent loss.

1.11 SELF-ASSESSMENT QUESTIONS

(1) List the elements of a risk management model.
(2) What are the categories of the levels of management?
(3) Debate the reasons to manage risk.
(4) List the criteria used to reduce risk.
(5) The risk management model identifies two underlying facets. What are these
two facets?
(6) Discuss the aspects of risk control as a method to counter risk.
(7) List the benefits of risk management.
(8) Compare the different risk managed strategies.
(9) Elaborate on the principles of a risk management process.
(10) What are the three basic categories of risk control?
(11) Distinguish between the two types of risk control maintenance measures.
(12) Classify the ways of managing residual risk.

1.12 RECOMMENDED READING

Bhasin, H. 2019. What is risk control? The importance of risk control. [Online] Avail-
able from https://www.marketing91.com/what-is-risk-control/ [Accessed on
16 March 2020].
Health and Safety Executive (HSE). 2013. Managing for health and safety. [Online]
Available from https://www.hse.gov.uk/pubns/books/hsg65.htm [Accessed
on 4 December 2018].
HSE. See Health and Safety Executive.
Rouse, M. 2020. Risk management. [Online] Available from https://searchcompliance.
techtarget.com/definition/risk-management [Accessed on 16 March 2020].

1.13 REFERENCES
Bhasin, H. 2019. What is risk control? The importance of risk control. [Online] Avail-
able from https://www.marketing91.com/what-is-risk-control/ [Accessed on
16 March 2020].
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Eye on Tech. What is risk management and why is it important? [Online] Available from
https://youtu.be/-Yd3gXb35kU [Accessed on 16 March 2020].
Holmesglen. The difference between a hazard and a risk. [Online] Available from https://
youtu.be/ToaVW4nSdBA [Accessed on 16 March 2020].

12
 LEARNING UNIT 1: Setting the scene

Rouse, M. 2020. Risk management. [Online] Available from https://searchcompliance.

techtarget.com/definition/risk-management [Accessed on 16 March 2020].
SABC Digital News. Risk management profession. [Online] Available from https://
youtu.be/yVR04akOdbY [Accessed on 6 April 2020].
Valsamakis, AC, Vivian, RW & Du Toit, GS. 2010. Risk management. 4th edition.
Sandton: Heinemann.
Wissen Akademie. ISO 31000 risk management. [Online] Available from https://youtu.
be/VD1pCB95bZ8. [Accessed on 16 March 2020].

SMA3701/113


2 LEARNING UNIT 2
2 KEY ELEMENTS OF RISK MANAGEMENT

2.1 LEARNING OUTCOMES

After working through this learning unit and chapter 4 in the prescribed textbook,
you should be able to
(1) elaborate on the Deming cycle and how this is linked to the risk management
model
(2) illustrate a PDCA cycle
(3) tabulate the risk management levels
(4) illustrate the risk and opportunity management model
(5) summarise the differences between OHSAS 18001 (2011) and ISO 45001 (2018)
(6) examine the purpose of SANS (ISO) 45001 (2018)
(7) list the key factors of SANS (ISO) 45001 (2018)
(8) review other management systems that are compatible with SANS (ISO)
45001 (2018)

2.2 ABBREVIATIONS AND CONCEPTS

IMS Integrated Management System
ISO  International Standards Organisation (International Organization for
Standardization)
SA South Africa(n)
SABS South African Bureau of Standards
SANS South African National Standards
PDCA Plan-Do-Check-Act

International Standards
Operational risk management level
Risk management
Risk management model
Safety management system

2.3 INTRODUCTION
To be able to establish, implement, and maintain a risk management programme and
system, it is essential to understand the key elements of risk management. These key
elements are based on the plan-do-check-act (PDCA) cycle of most management
systems developed under the banner of the International Standards for Organization
(ISO). In learning unit 1, you were introduced to some basic risk terminology and
reasons why organisations would want to manage their risks. Now that you understand
the importance of risk management in any kind of organisation/industry, the next
step is to see how the process of risk management works in practice.

This learning unit is based on chapter 4 of the prescribed textbook and for the
purpose of this learning unit we will make use of the International Standard (ISO)

14
 LEARNING UNIT 2: Key elements of risk management

45001 of 2018, known to South Africans as the South African National Standard
(SANS) 45001.

2.4 INTERNATIONAL ORGANIZATION FOR STANDARDIZATION

(ISO)
The International Organization for Standardization (ISO) is an independent
organisation that has members from across the globe. The ISO story began in
1946, when 25 countries met in London. During this meeting the Institute for Civil
Engineers was established. ISO officially came into existence on 23 February 1947.
By 2016, 163 national standards bodies and 3 368 technical bodies were members
of ISO, and the organisation employed more than 135 full-time employees. ISO
has published more than 21 000 international standards and other documents for a
variety of industries, with the aim of ensuring quality, safety and efficiency (ISO n.d.).

The South African National Standards (SANS standards) are managed under the
banner of the South African Bureau of Standards (SABS), which is a statutory body
established in 1945 under the Standards Act No. 29 of 1945 as amended in 2008.
South African (SA) experts and members of the SABS are identified to serve on
the ISO council. The SABS has undertaken certain regulatory functions and offers
certification, testing, inspections and other services in compliance with international
best practices (sabs.co.za 2020). The ISO standards released by ISO are converted
by the SABS in South Africa to a SANS standard/code.

Many of the ISO/SANS standards make use of the Deming cycle, which is a
continuous quality improvement model and consists of a logical sequence of four
repetitive steps, namely plan, do, check, and act (PDCA), as illustrated in figure 2.1.
These steps are aimed at achieving learning and improvement in the management
(ISO) system (Rielander 2020:19).

FIGURE 2.1
Deming cycle (PDCA)

Source: Shutterstock ID: 442965844

Watch online the following explanation of the PDCA (Plan-Do-Check-Act) cycle

by Software Testing Material (1:00): https://youtu.be/-M6WhypN_SU

SMA3701/115


2.5 PLAN-DO-CHECK-ACT (PDCA) CYCLE

Now that you have the concept of the PDCA cycle, let’s review a few key elements of
risk management. We will align these key elements with the PDCA cycle and explain
how the SANS (ISO) standards can be used to form an Integrated Management
System (IMS).

If you review figure 4.1 in Boyle (2019:17), you will note the elements of a risk
management model (risk identification, risk evaluation, risk monitoring and risk
control) linked to the PDCA cycle as illustrated in figure 2.2.

FIGURE 2.2
The risk management mode linked to the PDCA cycle

Source: As developed by Rielander 2020

STUDY

Boyle (2019:16) and ensure that you understand the Plan-Do-Check-Act cycle.

3 DISCUSSION 2.1: R
 ISK MANAGEMENT MODEL VERSUS THE
PDCA CYCLE

Discuss amongst yourselves the integration of the risk management process and
the PDCA cycle in your organisation.

Feedback will be given online.

16
 LEARNING UNIT 2: Key elements of risk management

The SANS safety management system (ISO 45001, 2018) will be discussed in greater
detail later in the module. For the purpose of this learning unit, the PDCA cycle of
SANS (ISO 45001, 2018:vii) is outlined in table 2.1.

TABLE 2.1
The SANS (ISO 45001, 2018) PDCA cycle

Source: Adapted by Rielander CL from SABS 2018:vii

STUDY

Boyle (2019:16) for an explanation of how the PDCA cycle is applied at the strategic
and operational levels in an organisation.

ACTIVITY 2.1: RISK MANAGEMENT LEVELS

Tabulate the risk management levels and substantiate your answers.

Scenario Risk management Comments

level applied
A take-away restaurant performs a risk assess-
ment to identify all the risks to which they are
exposed and need to manage.
A company that produces household deter-
gents incorporates the wearing of gloves into
their chemical decanting procedure to prevent
chemical exposure to workers while decanting
the chemicals into plastic containers.
A local spaza shop hires a new driver to collect
stock from a large retailer in town. The owner
of the shop requires the driver to provide them
with a valid driver’s licence and informs him
that he needs to do a short vehicle inspection
whenever he will be using the vehicle.

SMA3701/117


Scenario Risk management Comments

level applied
Clothing store ABC holds a management meet-
ing with the managers of all its departments
(financial, sales, procurement etc) to discuss all
the risks that pose a threat to the clothing store.

STUDY

Boyle (2019:16), figure 4.1 – the core elements of the risk and opportunity
management model. Ensure that you understand each element and that you can
apply them within your organisation or in your research of an organisation on the
internet.

ACTIVITY 2.2: R
 ISK AND OPPORTUNITY MANAGEMENT
MODEL

Illustrate the risk and opportunity management model and elaborate (in 200–250
words) on your understanding of the purpose of each of the elements of the model.

Boyle (2019:17) links the aspect of ‘check’ from the PDCA cycle with two additional
types of monitoring, namely: (1) monitoring of planned effects such as accident and
near-miss monitoring and the achievement of improvements; and (2) monitoring of
unplanned effects such as side-effects and spin-offs. Although measuring forms
part of monitoring, do not confuse this with the separate process of measurement.
Most things that are monitored can also be measured, as outlined in Boyle (2019:18).
Monitoring and measuring will be dealt with in more detail in learning unit 8.

Let us review how the PDCA cycle is linked in SANS (ISO) 45001 (2018).

2.6 INTRODUCTION TO OCCUPATIONAL HEALTH AND SAFETY

MANAGEMENT SYSTEMS – SANS (ISO) 45001 (2018)
As indicated previously, the ISO standards are adopted in South Africa by the
South African Bureau of Standards (SABS) as South African National Standards
(SANS). SANS (ISO) 45001 (2018) is an upgraded ISO standard from the previous
Occupational Health and Safety (OHS) management system, namely OHSAS 18001
(2011). As such, organisations are required to review their current OHS management
systems that have been based on OHSAS 18001 (2011) and to bring them in line
with the new SANS (ISO) 45001 (2018). ISO has allowed for a three-year phasing-in
period for organisations to adopt the new SANS (ISO) 45001 (2018). Organisations
will therefore need to revise their current thinking and work practices in order to
maintain organisational compliance (ISO 2018).

Watch online the following video clip where the BSI Group gives an introduction
to ISO 45001 (4:13): https://youtu.be/2Wt4O4_0tZY.

So, what is the difference between OHSAS 18001 (2011) and ISO 45001 (2018)?

Watch online a comparison between ISO 45001 and ISO 18001, presented by EHS
Trainings (2:16): https://youtu.be/3P2tsqbciKE.

18
 LEARNING UNIT 2: Key elements of risk management

The main change is that ISO 45001 concentrates on the interaction within an
organisation’s business environment, while OHSAS 18001 focused primarily on
managing the organisation’s OHS hazards and other internal issues. ISO 45001
(2018) also differs in a number of other ways, such as those listed in table 2.2:

TABLE 2.2
Difference between ISO 45001 (2018) and ISO 18001 (2011)
ISO 45001 (2018) ISO 18001 (2011)
Process-based Procedure-based
Dynamic in all clauses Not dynamic in all clauses
Considers both risks and opportunities Dealt exclusively with risk
Includes the views of interested parties Did not include the views of interested parties

Source: ISO 45001 2018

SANS (ISO) 45001 (2018) addresses the following key factors:

• management commitment, accountability, responsibility, and leadership
• management’s commitment to developing, promoting and leading an organisational
culture that supports the OHS management system
• communication and consultation
• employee participation
• resource allocation
• OHS policies that are aligned with the organisation
• OHS objectives that take the OHS hazards and risks into account
• planning for hazard identification, risk assessment and risk control
• continual performance monitoring and evaluation
• integration of the OHS management system into the organisation’s processes
• legal compliance (SABS 2018:vi–vii).
The development of SANS (ISO) 45001 (2018) has ensured that Occupational Health
and Safety (OHS) is no longer treated as a “stand-alone” process, but is viewed
within the framework of a comprehensive and sustainable organisation. Although
the two standards differ in their approach, the OHS management system established
in accordance with OHSAS 18001 (2011) created a solid platform for migration to
ISO 45001 (2018) (ISO.org 2018).

STUDY

Boyle (2019:19–20) to see how the PDCA cycle is applied within the framework
of ISO 45001 (2018).

The OHS management system, SANS (ISO) 45001 (2018), is a specific standard
designed to eliminate or minimise the risk to employees and other parties who may
be exposed to occupational health and safety risks associated with the activities of
a business. SANS (ISO) 45001 (2018) contains the following clauses, which will be
dealt with in greater detail later in the module:
• Clause 1: Scope
• Clause 2: Normative reference
• Clause 3: Terms and definitions
• Clause 4: Context of the organisation
• Clause 5: Leadership
• Clause 6: Planning
• Clause 7: Support
SMA3701/119


• Clause 8: Operations
• Clause 9: Performance evaluation
• Clause 10: Improvement

This is, however, not the only standard implemented in organisations. The aim is
to integrate all standards to form one integrated management system which will be
of great benefit to the organisation.

STUDY

Boyle (2019:19–22) and ensure that you understand how the clauses of ISO 45001
fit into the PDCA cycle, as well what other management systems could be utilised
in an organisation.

ACTIVITY 2.3: O
 CCUPATIONAL HEALTH AND SAFETY
MANAGEMENT SYSTEMS – SANS (ISO) 45001
(2018)

Elaborate (in 100–150 words) on your understanding of what the purpose of the
SANS (ISO) 45001 (2018) standard is and list the key factors of the standard.

2.7 OTHER MANAGEMENT SYSTEMS OF IMPORTANCE

SANS (ISO) 45001 (2018) is compatible with other SANS (ISO) standards such as
the SANS (ISO) 9001 (2015) standard for quality management, SANS (ISO) 14001
(2015) for environmental management, and SANS (ISO) 31000 (2009) for risk
management. In addition, SANS (ISO) 19011 (2015) for the auditing of management
systems should be consulted. SANS (ISO) 45001 (2018) represents a progression
of a management system philosophy, from quality to environmental, continuing to
occupational health and safety. It focuses on the identification and elimination of
hazards and risks in the work environment and the continual improvement of work
conditions, organisational processes and its management systems.

STUDY

Boyle (2019:21) and ensure that you understand the other management systems
of importance.

When all these elements are incorporated into a single management system, it is
referred to as an Integrated Management System (IMS) and can make an organisation
more effective and efficient. By reducing compliance effort, it reduces the impact
on operations and management time and achieves more cost-efficient certification
due to fewer audits being required (NQA, 2020).

2.8 SUMMARY
This learning unit gave you an overview of and introduction to the newly promulgated
SANS (ISO) 45001 (2018) standard, and referred to other safety management standards
that should be integrated with SANS (ISO) 45001 (2018) into one management system.
We also looked at how the Plan-Do-Check-Act (PDCA) cycle can be applied in an
organisation.

20
 LEARNING UNIT 2: Key elements of risk management

In the next learning unit, we will look at risk and opportunity assessment.

2.9 SELF-ASSESSMENT QUESTIONS

(1) Discuss the PDCA cycle.
(2) What is your understanding of the Deming cycle and how is this linked to
the risk management model?
(3) State the differences between OHSAS 18001 (2011) and ISO 45001 (2018).
(4) Tabulate the risk management levels and elaborate on each level.
(5) Illustrate the risk and opportunity management model.
(6) Elaborate on your understanding of the purpose of the risk and opportunity
management model.
(7) What is your understanding of the purpose of SANS (ISO) 45001 (2018)?
(8) List the key factors of SANS (ISO) 45001 (2018).
(9) Identify other management systems that are compatible with of SANS (ISO)
45001 (2018).

2.10 RECOMMENDED READING

Conquip.com. 2019. Why is ISO important? [Online] Available from https://cqe-
group.com/uk/blog/2018/08/01/why-is-iso-important/ [Accessed on 3 April
2020].
ISO. International Organization for Standardization. n.d. Benefits of standards. [Online]
Available from https://www.iso.org/benefits-of-standards.html [Accessed on
3 April 2020].

2.11 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
BSI Group. 2018. Introducing ISO 45001. [Online] Available from https://youtu.
be/2Wt4O4_0tZY [Accessed on 16 April 2020].
EHS Trainings. Difference between ISO 45001 and OHSAS 18001. [Online] Available
from https://youtu.be/3P2tsqbciKE [Accessed on 16 April 2020].
International Organization for Standardization. n.d. About ISO. [Online] Available
from http://www.iso.org/iso/home/about.htm [Accessed on 24 November
2020].
International Organization for Standardization. 2018. ISO 45001 is now published.
[Online] Available from https://www.iso.org/news/ref2271.html [Accessed
on 27 November 2018].
ISO. See International Organization for Standardization.
Nqa.com (National Quality Assurance). 2020. Integrated management systems. [Online]
Available from https://www.nqa.com/en-za/certification/systems/integrated-
management-systems [Accessed on 3 April 2020].
Rielander, CL. 2020. Management of construction and mining: Study guide for SMA3704.
Pretoria: University of South Africa.
SABS. See South African Bureau of Standards.
Software Testing Material. PDCA cycle. [Online] Available from https://youtu.be/-
M6WhypN_SU [Accessed on 16 April 2020].

SMA3701/121


South African Bureau of Standards. 2018. SANS. South African National Standards
(ISO) 45001 – Occupational health and safety management systems – Requirements with
guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2020. SABS notice. [Online] Available from
https://www.sabs.co.za/# [Accessed on 21 April 2020].
Swa.gov. 2020. Template and example Covid-19 risk register. Available from: https://
covid19.swa.gov.au/doc/template-and-example-covid-19-risk-register. [Ac-
cessed on 5 May 2020].

22
 3 LEARNING UNIT 3
3 RISK AND OPPORTUNITY ASSESSMENT

3.1 LEARNING OUTCOMES

After working through this learning unit and chapter 5 in the prescribed textbook,
you should be able to
(1) list and explain the types of inventory items
(2) elaborate on the purpose of a risk inventory/register
(3) elaborate on what a risk inventory/register is
(4) consider questions related to the review of inventory items
(5) categorise the types of inventory preparation
(6) differentiate between task and location hazard identification
(7) perform a documented risk assessment
(8) review risk matrix evaluation tables
(9) decide which of the rated risks are acceptable

3.2 ABBREVIATIONS AND CONCEPTS

FMEA Failure Modes Effects Analysis
FTA Fault Tree Analysis
HAZOP Hazard and Operability Study

Inventory Loss
Macro-risk identification methods Micro-risk identification methods
Monitoring Nonconformities
Risk Risk management
Safety management system

3.3 INTRODUCTION
Reviewing the previous learning units, you should understand the importance of risk
management and the key elements of a risk management programme making use
of the PDCA cycle. It can be noted from these learning units that this approach is
applicable to any type of organisation, whether corporate, a small business, a hospital,
a local spaza shop or even a school.

This learning unit corresponds with chapter 5 in Boyle (2019:23–35) and we will
examine how an effective risk and opportunity assessment is done in practice. As an
introduction, let’s watch a few video clips related to risk and opportunities as dealt
with in the following ISO standards:

Watch online for an explanation of how risks and opportunities are addressed in
an organisation:
• ISO 9001
ISO 9001 (2015) Clause 6.1 Addressing risks and opportunities, by Shaehand.com
(17:23). https://www.youtube.com/watch?v=BRIHpFI6cHQ

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• ISO 14001
ISO 14001 (2015) Clause 6.1. How to identify risks and opportunities, by @Bestprac-
ticeTV (9:36). https://www.youtube.com/watch?v=W1tYbyC_HLU

• ISO 45001
ISO 45001 (2018) Clause 6.1.2. Hazard identification and assessment of risks and
opportunities, by Quality.com Solutions (8:43). https://www.youtube.com/
watch?v=0LiBs43qPKw

Website of interest

Intelex: https://www.intelex.com/resources/health-safety. This website contains a

wealth of information on various topics and industries.

3.4 INVENTORY PREPARATION

Reflecting on the three video clips you have watched in the introduction, it can
be noted that each of the ISO standards list risk and opportunity assessments as
essential to business operations. Each ISO also defines its terminology relating to
hazards types, hazard identification and risk.

Boyle (2019:23) refers to an inventory. The inventory needs to be created to know

exactly what the hazards and risks are. The inventory will become a list of all the
potential sources of hazards and the required controls to mitigate risks. These risk
controls are then used to prevent safety incidents from occurring.

Note: The inventory can refer to either a task or a location in which work is
conducted and can vary in the degrees of risk that are present.

A common way that organisations prepare an inventory is by first creating an

inventory at a very high level, before taking it further down to the location. Lastly,
a task inventory is developed. The high-level business risk inventory is also referred
to as a risk register in some organisations, as you will see in the YouTube video below.

Watch online an explanation of what a risk register is and why it is used in

organisations, by RiskDoctorVideo (4:18): https://youtu.be/OXmjT3UI3a4.

4 DISCUSSION 3.1: WHAT IS A RISK REGISTER?

Together with your fellow students:

• Discuss your understanding of what a risk register is.
• Indicate whether the organisation you work for or researched uses risk registers.
• Elaborate on what you see as the purpose of a risk register.

Feedback will be given online.

3.5 INVENTORY ITEMS

An inventory item is presumed to be a task; however, it could be any type of inventory
item.

24
 LEARNING UNIT 3: Risk and opportunity assessment

Review figure 5.1 in Boyle (2019:24), which summarises the risk and opportunity
assessment process. Everything in an organisation must be managed – from the
equipment and facilities, to the employees (people). If an organisation does not
know what needs to be managed, it will not be able to identify its hazards and risks.
The process of identifying what must be managed, is referred to as an inventory
preparation. Boyle (2019:25) lists several inventory preparation categories. You can
review these categories in you prescribed book.

Developing an inventory is one aspect of identifying the hazards and risk in the
organisation; another aspect is reviewing the inventory. An inventory is a working
document, meaning it must be continually updated. When doing an inventory
review, the nature of the inventory should be considered. Boyle (2019:26) outlines
some questions to consider when conducting a task inventory review/assessment.

STUDY

Boyle (2019:23–27) and ensure that you are able to elaborate on the stages
prescribed to conduct a risk and opportunity assessment.

5 DISCUSSION 3.2: WHAT IS A RISK ASSESSMENT?

Before we continue with the theory of risk assessment, share your understanding
of a risk assessment with your fellow classmates online. Does your organisation
conduct risk assessments? Why/why not?

Feedback will be given online.

3.6 RISK ASSESSMENT CONTEXT

A risk assessment is the process used to identify all hazards, analyse and evaluate
risks, and identify the required control measures to prevent loss from occurring. Risk
assessments form an essential part of an organisation’s Occupational Health and Safety
(OHS) Management Programme, because the safety of an organisation depends on
all the risks being identified and controlled. The main aim of a risk assessment is to
enable the organisation to operate safely at all times. To achieve this, risk assessments
have to be conducted thoroughly and revised as necessary, to ensure that the control
measures are effective and sufficient. Opportunities for improvement are assessed as
part of this process to establish what can be done better, safer and more efficiently
(Canadian Centre for Occupational Health and Safety 2020).

3.6.1 Risk assessment pre-work

Risk and opportunity assessment requires planning and a lot of pre-work before it
can be conducted. Planning involves identifying the scope of your risk assessment
(what will be assessed, for example a task or process), the required resources (e.g.,
subject matter experts and what types of information will be required), and the
stakeholders who will be/should be involved (e.g., the safety representative/safety
officer) (CCOHS 2020).

SMA3701/125


ACTIVITY 3.1: R
 ISK AND OPPORTUNITY ASSESSMENT
PROCESS

We have previously looked at the risk and opportunity assessment process. Review
figure 5.1 in Boyle (2019:24) and discuss the following:

(1) The flow between non-conformities identified and the changes in legal
requirements (100–150 words).
(2) The flow between previous incidents that occurred and the changes in legal
requirements (100–150 words).

ACTIVITY 3.2: TASK RISK ASSESSMENT

Evaluate the scenarios in the table below and indicate if they are relevant to the
risk assessment to be done on the task of digging a trench with a shovel next to
an underground pipeline.

Scenario Relevant Y/N? Comments

A worker brought a ladder to use during the
digging process to exit the trench during an
emergency.
The legal requirements for allowing workers to
dig close to underground piping were updated
to state that no trench may be closer than 2 m
to a pipeline.
A worker was injured when the handle of the
shovel he was using broke off while digging, caus-
ing abrasions to his right arm.
The type of shovel to be used for digging trenches
was changed after a previous injury had occurred.
An internal audit finding identified that workers
were not properly trained in the ergonomic use
of shovels while digging trenches.

3.6.2 Identifying hazards and predicting hazardous events

Risk identification must be viewed as the single most important function of the risk
management process. Also, it should be approached in a systematic way by considering
risks on both the macro- and micro-levels.

• Macro-risk identification is the identification of major risks that can have a

significant impact on the organisation. Macro-risk identification methods to be
considered are:
– Insurance reviews
Insurance reviews are done by the insurance company to ensure that the or-
ganisation is sufficiently covered for any losses that may occur. Uninsured risks
can be discussed during these reviews to see if it would be sensible to insure
them, depending on the premiums charged for the insurance of these risks.
– Organisational charts and flow charts
These assist in providing an overview of the organisation on a macro-level.
Additional risks facing the organisation can be identified by drawing or-
ganisational charts that show the different aspects of the organisation. The
organisational structure and its activities must be taken into consideration.

26
 LEARNING UNIT 3: Risk and opportunity assessment

– Analysis of financial statements

Risks to the organisation can be identified by analysing the financial state-
ments. All losses have a negative effect on the organisation’s balance sheet.
Risk to the balance sheet must be identified and controlled
• Micro-risk identification is the identification of sub-risks within the macro-
risks that were identified to pose a significant risk to the organisation. Micro-risk
identification methods to be considered are:
– Risk inspections
Physical site inspections are conducted to become familiar with the site and
to identify hazards.
– Hazard and operability studies (HAZOP)
A HAZOP is an enquiry into the operations of a plant to identify which
hazards it is exposed to.
– Failure Modes Effects Analysis (FMEA)
This type of analysis is concerned with the consequences of failures and
the frequency at which they occur. This analysis does not focus as much on
identifying the sources of risks as other methods do.
– Fault Tree Analysis (FTA)
This is primarily used as a technique to analyse identified risks. The prob-
ability or frequency of the unwanted loss-creating event occurring can be
determined this way.
– Hazard indices
Hazard indices express hazards as a number, varying according to the degree
of risk being expressed. This highlights the areas with the highest risk of
incurring loss.
– Safety audits
General safety audits are commonly used to identify safety risks. General
safety inspections and health and safety representative inspections also fall
under this category.
– Legislation and codes of practice
Implementing codes of practice and established legislation assists the organi-
sation in achieving compliance and risk control. They also serve as a means
to identify risk.
– Risk sourcing
Possible sources of risk are identified and not the risks themselves, as com-
monly found in other methods. This method provides valuable data that
influences how risks will be measured and which control measures will be
used to control risk (Valsamakis et al 2010:108–121).

The identification of both of these classes of risks is key to achieving risk control
objectives (Valsamakis et al 2010:108).

After the inventory has been developed and the pre-work has been done, the hazards
are identified. Hazardous events are recognised by listing every hazard related to the
task or process being assessed. A person familiar with the risk assessment process
can do this by interviewing colleagues/employees who perform work in the area

SMA3701/127


or who perform the task that is being assessed. Observing the workplace area or
the task being assessed through a site walk-through or inspection is another way in
which hazards can be identified. It is critical that every piece of information used
in the hazard identification process be thoroughly documented. One of the major
concerns when conducting a task hazard identification is the identification of unsafe
acts, as direct observation is more difficult. This is due to the fact that the tasks are
usually of short duration and that when a worker is being watched, their behaviour
usually changes. Another aspect of consideration is that of location, as a certain
amount of knowledge is required for the identification of hazards and the location
may be unknown to the observer.

STUDY

Boyle (2019:27–28) and ensure that you know what kinds of information must be
documented when performing a risk assessment.

Watch online more information on the steps involved in a risk assessment, as

discussed by Diana Smith (1:46): https://youtu.be/DV48730ypn0.

Other videos of interest:

How to do a health and safety risk assessment, by Safeti (2:48): https://www.youtube.com/

watch?v=b9dtWEN8VTs.

Hazard, risk and safety – Understanding risk assessment management and perception, by
GreenFacts.org: https://www.youtube.com/watch?v=PZmNZi8bon8.

Refer to Boyle (2019:27–28) for more detail on how hazard identification is used
when assessing risks in locations, or related to specific tasks. A hazard identification
must be qualified, and this is done by conducting a risk rating process.

3.7 RISK RATING

After all hazards have been identified, or after a review of a risk assessment due to
procedural or legal changes, or the occurrence of a safety incident, a risk rating is done
using a risk matrix. As you may be aware, there are several variations of risk ratings
and it is important to select the risk rating that is best suited to your organisation.
Boyle (2019:29–31) sets out a number of risk rating tables as examples of what can
be used, namely:
• Table 5.1 – Scale for rating the likelihood of a hazardous event
• Table 5.2 – Scale for rating the severity of most likely harm
• Table 5.3 – Sample risk calculation
• Table 5.4 – Qualitative risk rating
• Table 5.5 – Sample guidance on actions required
The purpose of a risk rating is to see which risks are rated at the highest level, both
before and again after identified risk control measures have been put in place. This
enables the organisation to make a judgement on which risks to prioritise. The
organisation can also judge if the risk level is acceptable or if additional risk control
measures are required. It also indicates whether the risk control measures that were
implemented are sufficient and effective (CCOHS 2020).

28
 LEARNING UNIT 3: Risk and opportunity assessment

STUDY

Boyle (2019:28–32) for more detail on risk rating and ensure that you understand
how a risk rating is implemented and how an organisation will decide which risks
should be prioritised and which are acceptable.

ACTIVITY 3.3: RISK ACCEPTANCE DECISION

Complete the activity below to indicate which of the risks are acceptable and which
require additional risk control measures. Substantiate your answers.

Severity Likelihood Risk acceptable Y/N

Serious injury Unlikely
No injury or trivial injury Likely
Disabling injury or fatality Likely
Minor injury Almost certain
Very serious injury Unlikely

For the rest of the activities in this learning unit, you will be required to complete
a risk register for Covid-19 in the workplace. Use the supplied template, which
you can download from Additional Resources on the SMA3701 module site.

ACTIVITY 3.4: HAZARD IDENTIFICATION

You are going to complete a basic risk register for Covid-19 for your own
fictitious company. Download the example of a risk register template from
Additional Resources on the SMA3701 module site to complete activities 3.4 to
3.8. Remember, there is no set template. This is merely an example that can be
adapted to suit a company’s needs.

(1) Give your fictitious company a name and indicate the type of business (e.g.,
retail or food).
(2) Identify and list the Covid-19 hazards in the appropriate column of the
template.

ACTIVITY 3.5: RISK IDENTIFICATION

(1) Identify all the risks/possible harm that can be associated with the hazard.
(2) For each of the risks, identify the type of risk (safety/health/environment).

ACTIVITY 3.6: C
 ALCULATE/ASSESS THE RISK (PURE/RAW
RISKS)

(1) Indicate the likelihood/probability that the risk/harm will occur.

(2) Based on the probability of occurrence and consequences identified, cat-
egorise the risks into high, medium or low.
(3) Decide whether the risk is acceptable/tolerable.

SMA3701/129


ACTIVITY 3.7: DETERMINE CONTROLS

(1) What are the current controls required to mitigate the risk?
(2) Link the controls with the legislative requirements (national, provincial, local
and standards).

ACTIVITY 3.8: RECALCULATE THE RISK (RESIDUAL RISK)

(1) Consider additional controls.

(2) Categorise the risks into high, medium or low.

ACTIVITY 3.9: MONITORING AND MEASUREMENT

(1) Allocate responsibility, and determine the frequency of monitoring/measur-

ing and reporting requirements.
(2) Document the monitoring requirements.

FEEDBACK

Compare your risk register with the example risk register that you can access and
download from Safe Work Australia: https://www.safeworkaustralia.gov.au/doc/
template-and-example-covid-19-risk-register.

3.8 SUMMARY
The risk and opportunity assessment process guides us through the various steps
required to conduct a thorough risk assessment. All the steps have to be included
and the process needs to be thoroughly documented.

This learning unit gave you an introduction to the risk assessment process, which
will be discussed in more detail in learning unit 4 and learning unit 14. The next
learning unit will address the aspect of risk control.

3.9 SELF-ASSESSMENT QUESTIONS

(1) List and explain the types of inventory items.
(2) What is your understanding of a risk register and does your organisation make
use of safety risk registers?
(3) Explain the purpose of a risk inventory/risk register.
(4) List and discuss 10 types of inventory items.
(5) What questions can be asked when conducting a review of inventory items?
(6) Summarise the risk and opportunity assessment process in the context of non-
conformities identified, previous incidents that have occurred and changes
in legal requirements.
(7) Into which two levels can risk identification be divided?
(8) Discuss the micro-risk identification levels.
(9) Discuss the macro-risk identification levels.
(10) What are the types of inventory preparation?
(11) Differentiate between a task and location hazard identification.
(12) What is a risk rating and why is it used?
30
 3.10 OTHER VIDEOS OF INTEREST
GreenFacts.org. 2014. Hazard, risk and safety – Understanding risk assessment man-
agement and perception. [Online] Available from https://www.youtube.com/
watch?v=PZmNZi8bon8 [Accessed on 5 May 2020].
ISO 9001. 2015. Clause 6.1 Addressing risks and opportunities, by Shaehand.com (2017):
[Online] Available from https://www.youtube.com/watch?v=BRIHpFI6cHQ
[Accessed on 5 May 2020].
ISO 14001. 2015. Clause 6.1. How to identify risks and opportunities, by @BestpracticeTV
[Online] Available from https://www.youtube.com/watch?v=W1tYbyC_HLU
[Accessed on 5 May 2020].
ISO 45001. 2018. Clause 6.1.2. Hazard identification and assessment of risks and opportunities,
by Quality.com solutions: [Online] Available from https://www.youtube.com/
watch?v=0LiBs43qPKw [Accessed on 5 May 2020].
Safeti. 2018. How to do a health and safety risk assessment. [Online] Available from https://
www.youtube.com/watch?v=b9dtWEN8VTs [Accessed on 5 May 2020].
Smith, Diana. 2014. 5 Steps to Risk Assessments. [Online] Available from https://youtu.
be/DV48730ypn0 [Accessed on 18 April 2020].

3.11 REFERENCES
Boyle T. 2019. Health and Safety: Risk management. 5th edition. New York: Routledge.
Canadian Centre for Occupational Health & Safety (CCOHS). 2020. Risk assessment.
[Online] Available from https://www.ccohs.ca/oshanswers/hsprograms/
risk_assessment.html [Accessed on 19 April 2020].
CCOHS. See Canadian Centre for Occupational Health & Safety.
GreenFacts.org. Hazard, risk and safety – understanding risk assessment management
and perception. 2014. [Online] Available from https://www.youtube.com/
watch?v=PZmNZi8bon8 [Accessed on 5 May 2020].
ISO 9001. 2015. Clause 6.1 Addressing risks and opportunities. 2017. Shaehand.com.
[Online] Available from https://www.youtube.com/watch?v=BRIHpFI6cHQ
[Accessed on 5 May 2020].
ISO 14001. 2015. Clause 6.1. How to identify risks and opportunities. @BestpracticeTV.
[Online] Available from https://www.youtube.com/watch?v=W1tYbyC_HLU
[Accessed on 5 May 2020].
ISO 45001. 2018. Clause 6.1.2. Hazard identification and assessment of risks and opportunities.
Quality.com solutions. [Online] Available from https://www.youtube.com/
watch?v=0LiBs43qPKw [Accessed on 5 May 2020].
RiskDoctorVideo. 2018. 24. What is a risk register and why is it used. [Online] Available
from https://youtu.be/OXmjT3UI3a4 [Accessed on 18 April 2020].
Safeti. 2018. How to do a health and safety risk assessment. [Online] Available from https://
www.youtube.com/watch?v=b9dtWEN8VTs [Accessed on 5 May 2020].
Smith, Diana. 2014. 5 Steps to Risk Assessments. [Online] Available from https://youtu.
be/DV48730ypn0 [Accessed on 18 April 2020].
Swa.gov. 2020. Template and example Covid-19 risk register. Available from: https://
covid19.swa.gov.au/doc/template-and-example-covid-19-risk-register. [Ac-
cessed on 5 May 2020].
Valsamakis, AC, Vivian, RW & Du Toit, GS. 2010. Risk management. 4th edition.
Sandton: Heinemann.

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4 LEARNING UNIT 4
4 RISK CONTROL

4.1 LEARNING OUTCOMES

After working through this learning unit and chapter 6 in the prescribed textbook,
you should be able to
(1) elaborate on the different points of view used to examine risk control measures
(2) define the concept of risk
(3) elaborate on the ways that risk control measures can reduce risk
(4) examine methods of risk reduction
(5) interpret the risk control process
(6) classify risk response
(7) examine the physical control of risk
(8) explain risk control choices
(9) elaborate on the 4 T’s
(10) examine the hierarchies of control
(11) elaborate on the task analysis process
(12) elaborate on other risk control factors
(13) elaborate on safe work systems

4.2 ABBREVIATIONS AND CONCEPTS

ISO International Organization for Standardization (ISO)
SABS South African Bureau of Standards
SANS South African National Standards

Hierarchy of controls International Standards

Risk Risk acceptance
Risk control Risk control measures
Risk mitigation Risk reduction
Risk transfer Safe work systems

Website of interest

Read more about the importance of risk control measures in the workplace at https://
conserve.com.au/risk-control-measures-in-workplace/.

4.3 INTRODUCTION
This learning unit utilises chapter 6 in Boyle (2019:36–48), which outlines measures
that can be taken to control the risks that were identified and evaluated in the risk
and opportunity assessment (discussed in the previous learning units) and describes
various classifications of these risk control measures. After completing the risk rating
of a risk assessment, you will have to decide which additional or modified risk control
measures are required and you will need to choose which risk control measures to
implement (Boyle 2019:36).

32
 LEARNING UNIT 4: Risk control

You will be provided with information on the relative effectiveness of different

types of control measures and will be introduced to the cost implications involved.
Note that one important category of risk control measures is safe systems of work,
which will be discussed only briefly in this learning unit, but in detail in the next
learning unit.

4.4 GENERAL RISK CONTROL PRINCIPLES

According to Boyle (2019:36), risk control measures can be examined from a number
of different points of view. These are:
• the effects on likelihood and severity
• the methods of risk reduction
• the hierarchies of risk control measures
• the effects of risk control measures
These principles are applied to risk management as required, depending on the risks
present.

STUDY

Boyle (2019:36) and ensure that you understand the different points of view used
to examine risk control measures.

4.5 RISK CONTROL

Risk control measures are a critical part of the risk assessment process that aids in the
prevention of injuries, accidents and loss in any organisation (Conserve.com.au 2018).

Risk control is the method by which an organisation identifies all the risk to which
it is exposed.

The organisation then assesses these risks that can lead to potential losses and devises
strategies to reduce or terminate the losses proactively (Marketing91.com 2019).

Risk control is the process of designing, establishing, implementing and maintaining

measures to reduce the risks. Due to the dynamics of risk, various risk control systems
are needed. Each risk type has its own control design, establishment, implementation
and maintenance requirements (Boyle 2019:36).

Watch online a video by Academ lib (2015) for more information on what risk
control is (5:43): https://youtu.be/k69Sonospoo.

After identifying and evaluating risk, there needs to be a response to the risk. Risk
response can be classified into the following categories:
• acceptance of the risk
• transfer of the risk
• mitigation of the risk (Valsamakis et al 2010:152)
As safety professional, you should be aware of the 4 T’s in safety, namely Treat,
Terminate, Transfer or Tolerate. These 4 T’s may be seen in some of the risk
management standards. Holton (2014), on the other hand, believes that the 4 T’s
are incomplete.

SMA3701/133


6 DISCUSSION 4.1: WHAT IS MISSING?

The 4 T’s in safety are Treat, Terminate, Transfer or Tolerate. Discuss with your
fellow students which element could be added to complete the 4 T’s. Also expand
on the difference it will make.

Feedback will be given online.

Risk is reduced/eliminated by reducing/eliminating exposure. Identifying and

evaluating uncertainty is part of a risk assessment. The question now is how uncertainty
can be reduced by using the 4 T’s. Let’s consider an example such as the Covid-19
virus. As an employee, you are uncertain of whether the work environment is safe
and free from the potential of contracting Covid-19. The employer has a responsibility
to ensure that every employee entering the premises is healthy and free of Covid-19.
This may be accomplished, for example, by monitoring each employee’s temperature
on entering the premises daily, as well as having each employee complete a short
questionnaire about exposure, thereby reducing the risk/uncertainty of contracting
Covid-19. In this way, the risk is reduced by investigating potential exposure.

Coming back to the 4 T’s, we then need to add ‘Investigate’ to the acronym, thereby
creating 4 T’s and 1 I. According to Holden (2014), the T’s could also be converted
to the letter R, by creating the 5 R’s, as follows:
• Treat Reduce
• Terminate Remove
• Transfer Re-assign
• Tolerate Retain
• Investigate Research

Every workplace has safety risks, regardless of the type of organisation/workplace.

How these risks are identified and controlled is unique to each organisation/workplace
and many of these hazard/risks are not always visible/obvious and may only be
discovered after an incident has occurred. As the safety professional, it will be your
duty to identify and manage these risks. There are several ways in which hazards
and risks can be controlled in an organisation/workplace.

7 DISCUSSION 4.2: W
 AYS TO CONTROL HAZARDS AND
RISKS

Discuss with other students the ways in which your organisation/workplace controls
risks.

Feedback will be given online.

STUDY

Boyle (2019:36–37) and ensure that you can elaborate on what is meant by risk
control.

34
 LEARNING UNIT 4: Risk control

ACTIVITY 4.1: GENERAL RISK CONTROL PRINCIPLES

List the general principles associated with risk control measures by examining
risk control measures from a number of different points of view. Your answer need
not exceed 50 words.

4.6 RISK CONTROL CHOICES

A number of control measures are identified as part of the risk assessment process.
Not all of these controls can be implemented, due to cost implications and practicality.
Risk control choices require the selection of the best possible control measures in
any circumstance. Risk control measures vary in effectiveness and cost, and it is
preferable to implement ones with the greatest benefit for the least amount of cost.
Sometimes risk control requires using more than one method to ensure effective
control, to reduce the level of residual risk, and the cost of risk (Boyle 2019:38).

Two such methods are physical barriers and dose limitation. Physical barriers serve
to prevent physical contact between the hazard and the person and are often very
effective. Dose limitation works by reducing the exposure time to the risk, which
limits the impact on exposed persons. The risk control choices available fall under a
variety of hierarchies of control. This will be mentioned later on in the learning unit.

The effectiveness of risk control/reduction methods is reflected in the financial saving to

the organisation owing to reduced expenditure on environmental fines, compensation
paid out for occupational injuries, and costs of legal non-compliance (Boyle 2019:43).

STUDY

Boyle (2019:42–47) and ensure that you understand how risk control measures
are selected in an organisation.

8 DISCUSSION 4.3: RISK CONTROL CHOICES

Do you think that the same risk control choices can be applied to a local pizzeria,
a school and a clinic? Substantiate your answer.

Feedback will be given online.

As soon as the risk control decisions are made, it is implemented as risk control actions.

4.7 RISK CONTROL ACTIONS

Risk control actions are implemented to mitigate risks. These actions strive to
eliminate the risk of loss, or to minimise the loss or severity thereof. Loss is normally
an injury or environmental incident (Valsamakis et al 2010:153). Risk control actions
are largely dependent on whether the hazard reduction, separation, physical barrier
or dose limitation methods are used when risk reduction choices are made (Boyle
2019:37).

Examples of risk control actions include the following:

• inspections of equipment or the employees performing a task
• audits to ensure compliance with regulations and other requirements
SMA3701/135


• training
• site visits by management
• policies and procedures stating what PPE is required, or detailing the steps of a task
• revising risk assessments after incidents, or in the case of changes to the process,
to include any new risks and controls
• the implementation of behaviour observation systems and non-conformance
systems (Marketing91.com 2019)

Risk control actions largely depend on the type of risk hierarchy of controls that is
used to manage the organisation’s risks. There are six hierarchies discussed in Boyle
(2019:38–41), namely:
• Hierarchy 1 – Technical, procedural and behavioural
• Hierarchy 2 – Elimination to PPE
• Hierarchy 3 – Airborne hazardous substances
• Hierarchy 4 – Management regulations
• Hierarchy 5 – BS OHSAS 18001
• Hierarchy 6 – ISO 45001
Watch online for an explanation of the hierarchy of risk controls (watch from the
beginning up to 1:51) by Pertrain Pty Ltd (2:06): https://youtu.be/u7DtdfMuYT8.

Also watch Hierarchy of control, by SW MGT (2018) (3:21): https://www.youtube.com/

watch?v=ZQKgWbhRNjI.

As you can see from the videos, there are various kinds of controls that are available
to us. The risk control method selected must reduce the risk to an acceptable level
and the method used must be reliable and influence human behaviour in such a way
that employees select the safest way of performing a task instead of taking shortcuts
(Boyle 2019:44).

STUDY

Boyle (2019:37–38) and ensure that you are able to elaborate on the risk reduction
methods available to organisations.

STUDY

Boyle (2019:38–40) and ensure that you are able to elaborate on each of the six
hierarchies documented. You will note that the hierarchies have a similar flow,
each starting with elimination and ending with the issuing of PPE.

ACTIVITY 4.2: HAZARD REDUCTION METHODS

In 250 to 300 words, make use of the hazard reduction methods and indicate how
they can be applied to either the construction industry or a paper-manufacturing
organisation.

ACTIVITY 4.3: H
 IERARCHY OF CONTROL – SANS ISO 45001
(2018)

Tabulate the SANS ISO 45001 (2018) hierarchy of control pertaining to the scenario
provided and substantiate your answers:

36
 LEARNING UNIT 4: Risk control

Scenario Hierarchy of control Comments

used
The erection of asbestos huts is
stopped completely. The company no
longer erects asbestos huts at all.
A paraffin stove that is used inside a
residence for cooking is replaced with
an electric stove when the electricity is
restored to the area.
A ventilation system is installed in the
kitchen of a restaurant to extract the
cooking fumes. The restaurant no longer
has to leave their back door open for the
fumes to escape.
Workers are continuously injuring their
backs when they are loading and offload-
ing bricks at the construction site. The
employer provides ergonomics training
to all the workers.
The employer cannot reduce the noise
levels around the grinding bay any fur-
ther, since the machine guards are in-
stalled and the number of grinding units
operating at the same time are limited.
The employer issues the employees with
personal protective equipment.

Risk control measures are selected in accordance with the level of risk, the effectiveness
of the control measures and the cost of implementation, but there are also other risk
control factors to consider (Boyle 2019:44).

4.8 OTHER RISK CONTROL FACTORS

As much as risk control measures can be selected by risk control choices, there are
also other factors to consider. These include interim risk control measures and the
practicability of the risk control measures selected. Interim risk control measures
are usually implemented to mitigate a risk while the more permanent risk control is
being established or developed. An example of an interim risk control measure would
be when a trolley is utilised to move heavy bags across a production line while the
documentation for the installation of a conveyor system is being completed and the
project is set to go through for approval. The workers cannot manually carry the
heavy bags across the site and the trolley will mitigate the risk of injury in the interim.

The practicability of risk control measures must be borne in mind. For instance,
instructing a worker to use a forklift in a store where there is no space for it to
operate, makes the using of a forklift impractical.

ACTIVITY 4.4: OTHER RISK CONTROL FACTORS

You visit a relative living on the third floor in a block of flats. There is no lift and the
staircase that you normally use to get to the flat is partially blocked by a toolbox,
a bucket of paint and some tools that are scattered about.

SMA3701/137


In 50 to 100 words, identify a risk and propose an interim risk control measure
for the scenario provided.

Part of risk control is to ensure safe work systems (Boyle 2019:36) and we will
investigate this in the next section of this learning unit.

4.9 SAFE WORK SYSTEMS

It might not always be possible to completely eliminate risks, regardless of the risk
control measures implemented. That is why safe work systems are developed as
additional control measures. They are designed to ensure that all the steps necessary
for safe working have been identified and detailed in order to reduce human error.
They prevent situations where workers attempt to take shortcuts, rush through a
task or take unnecessary risks, thereby reducing the likelihood of accidents occurring
(Elliswhittam.com n.d.).

All elements in the workplace like people, equipment, substances and articles are
incorporated into the safe work system to ensure that all risk related to the work to be
done is addressed, so that the work can be done in a safe manner (Elliswhittam.com
n.d.). Developing a safe work system comprises five steps, as illustrated in figure 4.1.

FIGURE 4.1
Safe work systems

Source: Adapted from Elliswhittam.com n.d.

In most cases the majority of the risk control measures rely on safe systems of work,
but there is also a possibility that interim risk control measures may be required.
Procedures, permits to work, and safety rules are examples of such safe work systems
(Boyle 2019:49).

38
 LEARNING UNIT 4: Risk control

Although the term “safe systems” is part of systems theory terminology, safe systems
(as an essential component of risk control) are not related to systems as such. These
safe systems are categorised into three components, namely (1) safe work procedures,
(2) permit to work, and (3) safety rules. Safe systems of work are implemented
to ensure that whatever task is being executed will be performed safely. This is
applicable to a driving instructor teaching a student how to drive a car, a security
guard patrolling a local shopping complex, or a person preparing food for customers
(Elliswhittam.com n.d.).

To ensure an effective safe work system, communication is essential, so that

employees will understand the proposed safe work system and give it their support.
Without employee support, the system will face a lot of resistance and any controls
implemented will just be “more work”, which will lead to employees taking shortcuts
(Elliswhittam.com n.d.).

The elements of a safe work system include the following:

• Permit to work:
“Permit to work” is a system that forms part of the safe work system. The purpose
of permit to work is to specify specific conditions that must be met before a task
can be executed. This may include aspects like safety rules, equipment required
and gas monitoring to be done. This is key to ensuring safe task execution. More
detail will be shared in learning unit 5.
• Safe work procedures:
Safe work procedures are compiled after assessing the risks of each task. High-risk
tasks are identified through a task analysis and given priority when it comes to
risk control (Boyle 2019:49). More detail on safe work procedures will be shared
in learning unit 5. Let’s look at how a task analysis is done.
• Task analysis:
– All the tasks relevant to the workplace are listed.
– Tasks are broken down into steps (subtasks).
– Task steps are analysed and risks assessed.
– Where possible, high-risk steps should be removed or amended to reduce
the risk.
– When the removal of a high-risk task step is not possible, risk control measures
are devised.
– Risk control measures are documented in a safe work procedure (Boyle
2019:49).
• Safety rules:
Safety rules are an important part of safe work systems. These are specific in-
structions that are given to prevent unsafe acts during task execution. Typical
examples include “switch off the stove after removing the pot” or “wear your
safety belt when driving the forklift” (Boyle 2019:55). More detail will be given
in learning unit 5.

ACTIVITY 4.5: SAFE WORK SYSTEMS

Electrical lights need to be installed inside the shop where soaps and other solvents
are sold by a corporate organisation in an industrial area.

In 100 to 150 words, explain which of the safe work systems would be relevant to
this case study, according to your understanding.

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4.10 SUMMARY
Risk control is not only about controlling the risk. It is also about ensuring safe systems
of work. In this learning unit we discussed three categories of safe systems used to
ensure that employees conduct their tasks, activities and/or jobs in a specific manner.

This learning unit gave you an overview of the risk control process, the hierarchy
of risk controls, the decisions on which risk controls to implement, and a brief
introduction to safe work systems. In the next learning unit we will discuss safe
work systems in more detail.

4.11 SELF-ASSESSMENT QUESTIONS

(1) What activities are conducted for the purpose of risk control?
(2) What are the three risk response classifications?
(3) List the hierarchies of risk control measures.
(4) What are the criteria used for risk control methods?
(5) Discuss safe work systems and their elements.
(6) Examine the five steps used to develop safe work systems.
(7) Elaborate on other risk control factors to be considered.
(8) What are the steps to a task analysis?
(9) What are the 4 T’s?

4.12 RECOMMENDED READING

Canadian Centre for Occupational Health & Safety 2020. Hazard control. [Online]
Available from https://www.ccohs.ca/oshanswers/hsprograms/hazard_con-
trol.html [Accessed on 29 April 2020].
Conserve.com.au. 2018. The importance of risk control measures in the workplace. [Online]
Available from https://conserve.com.au/risk-control-measures-in-workplace/
[Accessed on 30 April 2020].
Hierarchy of controls. 2017. Pertrain Pty Ltd. [Online] Available from https://youtu.
be/u7DtdfMuYT8 [Accessed on 29 April 2020].
Hierarchy of controls. 2018. SW MGT. [Online] Available from https://www.youtube.com/
watch?v=ZQKgWbhRNjI [Accessed on 29 April 2020].

4.13 REFERENCES
Academ lib. 2015. What is risk control? [Online] Available from https://youtu.be/
k69Sonospoo [Accessed on 29 April 2020].
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Canadian Centre for Occupational Health & Safety. 2020. Hazard control. [Online]
Available from https://www.ccohs.ca/oshanswers/hsprograms/hazard_con-
trol.html [Accessed on 29 April 2020].
Conserve.com.au. 2018. The importance of risk control measures in the workplace. [Online]
Available from https://conserve.com.au/risk-control-measures-in-workplace/
[Accessed on 30 April 2020].
Elliswhittam.com. n.d. 5 steps. Developing safe systems of work. [Online] Available from
https://elliswhittam.com/blog/5-steps-developing-safe-systems-work/ [Ac-
cessed on 30 April 2020].
Hierarchy of controls. 2017. Pertrain Pty Ltd. [Online] Available from https://youtu.
be/u7DtdfMuYT8 [Accessed on 29 April 2020].

40
 Hierarchy of controls. 2018. SW MGT. [Online] Available from https://www.you-
tube.com/watch?v=ZQKgWbhRNjI. [Accessed on 29 April 2020].
Holton, G. 2014. What the 4 T’s overlook. [Online] Available from https://www.
glynholton.com/blog/risk-management/4-ts-overlook/ [Accessed on 11 May
2020].
Marketing91.com. n.d.; 2019. What is risk control? The importance of risk control. [Online]
Available from https://www.marketing91.com/what-is-risk-control/ [Accessed
on 29 April 2020].
Rielander, CL. 2020. Management of construction and mining: Study guide for SMA3704.
Pretoria: University of South Africa.
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2018. SANS (ISO) 45001 – Occupational health
and safety management systems – Requirements with guidance for use. Pretoria: SABS.
Valsamakis, AC, Vivian, RW & Du Toit, GS. 2010. Risk management. 4th edition.
Sandton: Heinemann.

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5 LEARNING UNIT 5
5 SAFE SYSTEMS OF WORK

5.1 LEARNING OUTCOMES

After working through this learning unit and chapter 7 in the prescribed textbook,
you should be able to
(1) discuss safe systems of work
(2) illustrate and apply the steps used to develop safe systems of work
(3) examine the elements of a safe system of work
(4) examine the aspects of permits to work
(5) list basic safety rules and describe aspects pertaining to safety rules
(6) develop basic safety rules for an organisation

5.2 ABBREVIATIONS AND CONCEPTS

Permit to work Risk
Risk control Risk control measures
Safe work systems Safe work procedures
Safety rules

5.3 INTRODUCTION
In the previous learning unit, we touched on safe work systems and the importance
thereof in the risk control process. In this learning unit, we will look at the steps to
develop safe work systems. Safe work procedures, safety rules and the permit-to-work
system are part of safe work systems and will also be examined.

Let’s recap the information shared in learning unit 4. All elements in the workplace,
like people, equipment, substances and articles, are incorporated into the safe work
system to ensure that all risk related to the work to be done is addressed, so that the
work can be done in a safe manner (Elliswhittam 2020). This learning unit is based
on chapter 7 in the prescribed textbook.

The majority of the risk control measures rely on the safe work system. There is
also a possibility that interim risk control measures may be required. Procedures,
permits to work and safety rules are examples of what constitutes safe work systems
(Boyle 2019:49).

STUDY

Boyle (2019:49) and ensure that you understand what the categories of risk control
are.

42
 LEARNING UNIT 5: Safe systems of work

5.4 SAFE WORK SYSTEMS

In learning unit 4 (section 4.9) you were introduced to the concept of safe work
systems. We will now look at these safe work systems in more detail. We will work
through what a safe work system is and what the steps are to develop one. These
steps include the following (Elliswhittam.com n.d.):
• Assess the work tasks.
• Identify the hazards and assess the risks.
• Define safe methods.
• Implement safe systems.
• Monitor the system.
The specific approaches to task risk assessments and the purpose of the elements
that make up a safe work system will also be reviewed. Before we continue, watch
the video for more information on safe work systems.

Watch online to gain an understanding of the elements of a safe system of work,

as presented by Health & Safety Management (2019) (2:24): https://youtu.be/
N5qMyWp1DJs.

A safe work system is a formal process developed for the systematic evaluation of a
task/activity to identify potential hazards. You may be asking whether that is not a
hazard identification and risk assessment. Well, let’s discuss this.

9 DISCUSSION 5.1: SAFE WORK SYSTEMS

Discuss with fellow students the difference between a hazard identification, risk
assessment and safe work systems.

Feedback will be given online.

Safe work systems are developed by considering the employees, the equipment/
machinery involved in conducting the task/activity and the identification of potential
hazards to be able to predict the risk (Elliswhittam 2020). There are basic steps to
developing a safe system of work. Let’s take a look at developing safe work systems.

5.5 DEVELOPING SAFE WORK SYSTEMS

According to Boyle (2019:49), the purpose of a safe work system is to get the work
done in a safe manner. Safe work systems are complex and are developed through a
number of steps. These steps are illustrated in figure 5.1 and will be discussed below.

SMA3701/143


FIGURE 5.1
Safe work systems

Source: Adapted from Elliswhittam 2020

Step 1: Assess the work tasks

A safe system of work is based on an in-depth assessment of the task, activity and/
or job and is conducted by management and supervisors. It is, however, essential for
employees to be consulted during the safe work assessments. The following aspects
should be considered when assessing the work tasks (Elliswhittam 2020):
• What equipment, substances, and machinery are used that could result in potential
failures?
• What are the electrical needs of the task, activity and/or job?
• What are the potential sources of error?
• What are the human factor failures?
• Have any shortcuts been implemented in the task, activity and/or job process?
• Where are these tasks, activities and/or jobs conducted and carried out?
• How are these tasks, activities and/or jobs carried out?
• What are the potential failures for these tasks, activities and/or jobs?
• What are the task, activity and/or job frequencies?
• What are the training needs?
The assessment of these tasks, activities and/or jobs is put in writing to ensure that
nothing is overlooked.

Step 2: Identify the hazards and assess the risks

All elements that are linked to the task, activity and/or job must be listed and each
hazard must be clearly identified. The OHS Act 85 of 1993 section 8(d) requires
employers to identify, as far as reasonably practicable, the hazards to the health and
safety of employees. The hazard analysis technique used is dependent upon the nature
of the tasks, activities and/or jobs. If the hazard and risk cannot be removed, then
procedures must be developed to ensure safe work practices (Elliswhittam 2020).

44
 LEARNING UNIT 5: Safe systems of work

Hazard analysis can be done according to macro- and micro-levels respectively. The
outcomes of these analyses are incorporated into safe work systems (Valsamakis et
al 2010:108–121).

Step 3: Define safe methods

Leaving employees to determine their own methods of work is not safe; therefore,
managers and supervisors should give instructions relating to safe work methods.
These methods should be put in writing and follow the risk levels of safe system types:
• Very high risk level: Permit to work
• High risk level: Written safe system procedure and/or permit to work
• Moderate risk level: Written safe system procedure
• Low risk level: Written safe system procedure
• Very low risk level: Verbal instruction with a written backup, such as safety rules
Written safe system procedure requires a clear, non-technical style, must be easy
to read, and should include a short summary of key points that should be used to
(Elliswhittam 2020)
• set up the task with any required authorisation
• plan the task, activity or job steps
• state the approved safe work procedures and methods, including how to move
between the work areas
• remove redundant equipment and machinery and dispose of waste
Step 4: Implement safe system

As previously indicated, the OHS Act 85 of 1993 section 8(d) requires of employers to
identify the hazards to the health and safety of employees, and as such the employer
has a responsibility to ensure that safe work systems are effectively implemented.
These systems must be reviewed, especially when changes have taken place, or an
incident/accident has occurred. Training is an important aspect of safe work systems
and employees must be
• trained in specific safe work systems
• competent to work safely
• aware of hazards and the systems developed to eliminate, reduce or remove the
hazards

To ensure an effective safe work system, communication is essential, as employees

have to understand the proposed safe work system (Elliswhittam 2020).

Step 5: Monitor the system

Effective monitoring is an important aspect in any system. Monitoring requires

regular checks to ensure that the safe system is still effective. Safe systems of work
are connected to the stronger prevention controls and safe procedures (Elliswhittam
2020).

STUDY

Boyle (2019:49–55) and ensure that you understand safe work systems and how
the elements are interlinked.

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ACTIVITY 5.1: DEVELOPING A SAFE WORK SYSTEM

(1) Elaborate (in 150 –200 words) on your understanding of how an organisation
that manufactures safety gates for residences can implement steps 1 to 3
(in section 5.5 above) to develop a safe system of work. Apply this to the
activity of welding the steel together to create the safety gate.
(2) Explain how you will implement and monitor the safety system in this
organisation.

Watch online to get additional information on what a safe system of work is, as
explained in the health and safety tips provided by Reynolds Training Services Ltd
(3:42): https://youtu.be/9TAT80y7Cdk.

5.6 THE PURPOSE OF SAFE WORK SYSTEM ELEMENTS

Safe work systems consist of various elements, each with its own purpose. Let’s now
look at the purpose of each of the risk control items in the safe work system.

5.6.1 Safe work procedures

The purpose of safe work procedures is to define how to do a task safely. It is a written
document that details the steps required for safe task execution. The task referred to
can be baking bread, building a wall or transporting goods to a shop (Boyle 2019:49).

Watch online for more information on safe work procedures and the safety
management system toolbox in the talk by Dan Lee (0:46–4:21): https://youtu.
be/2eGacQgRBFI

Most tasks can be done in different ways and every individual has their own preference
when executing a task. A scaffold builder can, for instance, offload the scaffolding
steel, or the planks/grating, or the clips from the truck first. The end result will
still be that all the required scaffolding material will be offloaded before the task of
building the scaffold starts. The same is true in the field of safe work procedures.
There must be a compromise between the most productive, most cost-effective and
safest way of executing the task (Boyle 2019:49).

5.6.2 Permit to work

A permit to work is a formal written system that is used to control certain high-risk
tasks, activities and jobs. It provides instructions on the precautionary measures to
be taken while conducting that task, activity or job. Any task, activity, or job that
requires a permit to work must be in a written format, such as a work instruction, and
should include details of the specific location, time of day, the activity, the duration
and special precautions to be taken. Persons who are authorised to issue work permits
should be trained in hazard identification, risk assessment and risk control. A permit
will specify the donning of an airline mask before entering a vessel, or having electrical
equipment isolated before working on it (Boyle 2019:49). Before a permit to work
is issued, the following aspects should be considered (Worksafetyhub.com.au 2018):
• hazardous substances used
• dangerous goods used
• pressure vessels in use
• fumes, vapours and dusts
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 LEARNING UNIT 5: Safe systems of work

• electrical hazards
• radio-active substances
• confined space
• confined vision
• heights

A permit to work should specify hazard control measures and precautions to be

taken, such as the following (Worksafetyhub.com.au 2018):
• decontamination
• electrical isolation
• physical isolation
• precautions for working at heights
• precautions for excavation work
• precautions for high-voltage work
• precautions for blasting work
• personal protective equipment (PPE)
Watch online for more detail given by A Knowledge Searcher on what a permit to
work is and what its purpose is (3:41): https://youtu.be/j_uvjsWPl9s.

The permit-to-work principle is used in a variety of tasks, activities and jobs. However,
there are practicalities required in all permit-to-work procedures, to ensure that
every employee is trained and competent to carry out the task, activity and/or job
requirements.

STUDY

Boyle (2019:52–54) and ensure that you understand the use and aim of a permit
to work. You will also need to know the procedure for issuing and withdrawing a
permit to work.

5.6.3 Safety rules

Safety rules are more specific to a task that cannot necessarily be documented
in a procedure. Examples of this will be rules that state “Use forklift horn when
approaching store aisle 2”, or “Use a wooden ladder when working close to overhead
powerlines” (Boyle 2019:49). Irrespective of the type of task, activity or job being
conducted, there are certain rules that must be applied. Safety is not different in this
regard. The aim of a safety programme is to prevent injury and ensure the safety
of all employees. Everyone has an obligation and commitment to follow the safety
rules and safety practices as outlined in the safety programmes. Most work-related
incidents and injuries are the result of unsafe acts by employees (Safetyinfo.com 2018).

An unsafe condition is any condition that may influence employees in such a way
that they act in manner that is unsafe. These unsafe conditions include physical,
emotional and mental acts. Examples of unsafe acts are (Safetyinfo.com 2018):
• not being aware of task, activity and/or job hazards
• distraction from the task, activity and/or job hazards
• a low level of task, activity and/or job skill
• taking shortcuts to make up time or avoid extra effort
It is management’s and supervisors’ responsibility to enforce safety rules. There are
numerous safety rule categories that are used in organisations. These vary across

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sectors, but there are a few rules that are common to all sectors. The basic safety
rule categories are illustrated in figure 5.2 below.

FIGURE 5.2
Basic safety rules

Source: Adapted from uidaho.edu 2018

Watch online to see Total’s 12 Golden Safety Rules that you can apply in your
workplace, as explained by INX Software Pty Ltd (2:51): https://youtu.be/
AFfyMjBy3Qg.

TABLE 5.1
Basic safety rules
Basic safety rules
Stay alert, stay alive:

• Ensure that employees are aware of safe work practices.

• The more alert and awake an employee is, the less chance of injury.
Wear the correct clothing: alert, stay alive

• Wear the correct PPE as required.

• No loose clothing allowed near rotating equipment.
Use the correct tool for the job:

• Ensure that employees use tools for the tasks, activities and/or jobs as required.
Lift in the correct manner:

• Don’t lift objects that are too heavy by yourself – request help from a colleague.
Horseplay:

• Don’t be a prankster (joker), as practical jokes and horseplay is dangerous.

48
 LEARNING UNIT 5: Safe systems of work

Basic safety rules

Good housekeeping:

• Be tidy at home and in the workplace, as this will prevent unnecessary trips, slips
and falls.
Reporting:

• Reporting incidents, accidents and defective equipment and machinery is essential.

First aid:

• Seek first-aid assistance in the event of an injury, no matter how minor, as negligence
could result in infection, lost time and possible permanent injury.
Safety programme:

• Back your organisation’s safety programme and follow the safety rules.
• Voice ideas that could reduce incidents/accidents.
Never take chances:

• Never take shortcuts, as they are the biggest killer.

• Whatever you are doing, if you are not doing it safely, you are not doing it right.

Source: Adapted from Uidaho.edu 2018

ACTIVITY 5.2: SAFETY RULES

A local pharmacy has been plagued by injuries and has appointed you as their
safety official. Your first task is to set up safety rules for the pharmacy.

Develop five (5) of your own safety rules under the categories provided in table 5.1
above that will assist the pharmacy in preventing injuries. They have the following
hazards in the pharmacy:
• stairs
• open entrance doors
• slippery surfaces
• shelves
• boxes of product that must be carried and stacked
• sick patients that seek medicine
• nurses that inject patients with medicine
• safety notices

Category Safety rule

1
2
3
4
5

Now that you understand all the elements of a safe work system, it is time to look
at an overall safety programme. An organisation implements a safety programme
to manage its risks and monitor and measure performance of the programme.
Corrective actions are identified and implemented, and the system is reviewed by
top management to see if it is effective and adheres to all the OHS requirements.
Let’s look at how the effectiveness of a safety programme is assessed.

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5.7 SAFETY PROGRAMMES

To judge a safety programme’s effectiveness, certain questions must be answered:
• Does the organisation have written safety rules and procedures?
• Are these safety rules and procedures communicated to employees through
training?
• Are training records kept?
• What information was taught?
• When was it taught?
• Who provided the training?
• Are safety hazards identified through routine safety inspections?
• Are the safety hazards identified and corrected/eliminated?
• Are safety rules enforced and is this confirmed in safety documentation?
If management and supervisors take safety seriously, employees are more inclined to
have a positive attitude about management, the workplace and themselves. Teamwork
is required, that is, everyone’s co-operation in the achievement of a safe working
environment (Safetyinfo.com 2018).

STUDY

Boyle (2019:49–55) and ensure that you understand the main stages of compiling
a safe work procedure and know what the categories of safety rules are.

5.8 TASK ANALYSIS

General task analysis and health and safety task analysis should be done, detailing
each task step and listing the hazards. Control measures to mitigate these risks are
written into the safe work procedure (e.g., when hitting the slogging spanner to loosen
the valve, use a finger protector). Where possible, the task needs to be amended to
remove high-risk actions (Boyle 2019:51).

It is critical that employees are trained in these procedures and that their competency
is assessed at regular intervals.

5.9 SUMMARY
This learning unit highlighted three categories of risk control to ensure safe systems
of work. These three categories are based on a specific methodology to ensure
employees conduct their tasks, activities and/or jobs in a specific manner. The steps
involved in developing a safe work system were examined in detail and numerous
examples of safety rules were shared.

5.10 SELF-ASSESSMENT QUESTIONS

(1) Discuss safe work systems.
(2) Examine the five steps used to develop safe work systems.
(3) Explain the aspects to be considered when permits to work are being issued.
(4) List and discuss ten basic safety rules.
(5) What tests and elements should be considered to judge a safety programme’s
effectiveness?

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 LEARNING UNIT 5: Safe systems of work

5.11 OTHER VIDEOS OF INTEREST

A Knowledge Searcher. What is PTW? l Permit to work l Purpose of PTW l Prerequisite
of issuing PTW l Posting of PTW. 2019. [Online] Available from https://youtu.
be/j_uvjsWPl9s [Accessed on 10 May 2020].
Health & Safety Management. 04 Elements of safe system of work. 2019. [Online] Avail-
able from https://youtu.be/N5qMyWp1DJs [Accessed on 10 May 2020].
Lee, Dan. Safety management system toolbox Talk 5 – Safe working procedures. 2017. [Online]
Available from https://youtu.be/2eGacQgRBFI [Accessed on 10 May 2020].
Reynolds Training Services Ltd. What is a safe system of work? Health and safety tips.
2015. [Online] Available from https://youtu.be/9TAT80y7Cdk [Accessed on
10 May 2020].
Total’s 12 golden safety rules you can apply in your workplace. 2018. [Online] Available from
https://youtu.be/AFfyMjBy3Qg [Accessed on 10 May 2020].

5.12 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Elliswhittam, E. 2020. 5 steps. Developing safe systems of work. [Online] Available from
https://elliswhittam.com/blog/safe-systems-work/ [Accessed on 26 May 2020].
Haspod.com.2020. The difference between risk assessments and method statements. [Online]
Available from https://www.haspod.com/blog/paperwork/difference-be-
tween-risk-assessments-and-method-statements [Accessed on 28 May 2020].
Rielander, CL. 2020. Management of construction and mining: Study guide for SMA3704.
Pretoria: University of South Africa.
Safetyinfo.com. 2018. Workplace safety rules are essential elements in your safety program.
[Online] Available from https://www.safetyinfo.com/job-specific-safety-rules-
index/ [Accessed on 11 December 2018].
Uidaho.edu. 2018. Basic safety rules. [Online] Available from https://www.uidaho.edu/
infrastructure/pss/ehs/safety-tips/basic-safety-rules [Accessed on 10 May
2020].
Valsamakis, AC, Vivian, RW & Du Toit, GS. 2010. Risk management. 4th edition.
Sandton: Heinemann.
Worksafetyhub.com.au. 2018. Implementing an effective permit to work system. [Online]
Available from https://www.worksafetyhub.com.au/business-guides/how-to-
implement-an-effective-permit-to-work-system [Accessed on 10 May 2020].

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6 LEARNING UNIT 6
6 MONITORING AND MEASURING LOSSES
AND CONFORMITY

6.1 LEARNING OUTCOMES

After working through this learning unit and chapter 8 in the prescribed textbook,
you should be able to
(1) interpret loss in the context of quality and environmental losses
(2) categorise key losses
(3) identify three essential aspects when defining key losses
(4) investigate how companies choose the key losses that they prefer to manage
(5) identify all the factors (like incidents) that give rise to key losses and elaborate
on key loss criteria and the factors that influence decision-making
(6) explain the importance of monitoring key losses and mention the steps specific
to key loss monitoring
(7) examine the measuring of key losses
(8) calculate the incident and frequency rates
(9) use various principles to assess performance over time
(10) explain the different types of spin-offs and side-effects

6.2 ABBREVIATIONS AND CONCEPTS

Accidents Asset damage
Culture Environment
Health Incidents
Injuries Key loss
Loss Near-misses
Side-effects Spin-offs
Trend analysis Quality
User-friendly system

6.3 INTRODUCTION
All organisations are faced with losses at some point or another and, as such, require
an effective risk management policy and programme. An effective risk management
framework not only protects the organisation’s assets, but also protects the organisation
against losses. There are five (5) critical components of a risk management framework
that organisations should consider, namely risk identification, risk measurement and
assessment, risk mitigation, risk monitoring and reporting, and risk governance.
In this learning unit, we will focus on chapter 8 of Boyle (2019), Monitoring and
measuring losses. We will look at losses, identifying losses and monitoring key losses.
We will also consider the importance of having an accurate measure for losses, as
well as the measurement of losses. Let’s begin by defining losses.

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6.4 LOSSES
A loss to an organisation could be a decrease of income or a decrease in human
resources due to an unwanted event that results in loss outside of the normal business
operations. Today, risk management focuses more on managing risk in an organisation
than on preventing and funding losses. Preventing losses can, however, improve
the organisation’s profitability. The less you have to pay out in loss, the more profit
you make (Zurich 2016).

STUDY

Boyle (2019:58) and ensure that you understand what are classified as losses and
what types of losses there are.

10 DISCUSSION 6.1: LOSSES

Discuss with your fellow students what types of losses could be experienced in your
organisation.

Feedback will be given online.

ACTIVITY 6.1: LOSSES

In discussion 6.1 you highlighted several types of losses that could be found in an
organisation. Review the losses listed and categorise them under the following
headings:

Quality Environment Health Safety Injuries Asset dam-

age/ other
losses

Organisations typically have a variety of key losses. Boyle (2019:58–59) refers to key
losses as any type of loss which can be categorised as
• damage to people, inclusive of physical, emotional and mental damage, whether
instantaneously (injury) or developed over a period of time (illness/disease)
• damage to assets, inclusive of organisational assets and personal (employee) assets
as a result of the organisation’s activities and/or actions

For these key losses to be addressed effectively, in risk management each of the
losses identified must be clearly defined. Three essential aspects must be included
in defining these key losses, namely
• the nature of the incident, for example, injury, illness or damage
• the severity of the incident – the severity of an incident may be difficult to assess,
especially in the case of a minor incident, injury or damage, but there must be
consistency if trend analysis is to be meaningful
• the population covered by the key loss – this may be restricted to the organisation’s
employees and assets or could include contractors and members of the public
affected by its operations

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The key losses identified must be measurable and quantifiable, where typical measures
include the numbers of incidents; lost hours and/or days; the cost of the incident/
damage; the relevant units, building/sections damaged; and/or the amount of
chemicals spilled in litres.

Watch online the webinar by Life Cycle Engineering, to gain an understanding of

how loss can be eliminated in an organisation: Loss elimination – Is your organization
living in sin (27:48): https://youtu.be/LGXx2rFSVN0.

6.4.1 Choosing key losses

Organisations are exposed to various losses and they need to select which specific
ones they want to manage. This is when they choose their key losses – but how do
they make that choice?

When choosing between several options, people often avoid losses and prefer to
optimise for sure wins. This means that they avoid a loss regardless of the possible
gain in certain scenarios (nngroup.com 2016)

The prospect theory is a theory that describes how we make decisions based on what
we perceive as the probability that we will suffer a loss with each of the options
between which we choose. These decisions are guided by three biases:
• Certainty – People would rather choose to take a small, certain win over the
chance of a possible bigger gain.
• Isolation effect – This refers to the human tendency to disregard similarities
present in the options that can be selected from. We only focus on the differences
we perceive, based on how a situation or choice is presented to us.
• Loss aversion – People, by nature, react stronger to a loss than to a gain and this
guides us to choose to avoid a small loss versus taking a chance for a bigger gain
(nngroup.com 2016).

STUDY

Boyle (2019:60) and ensure that you understand how to choose key losses.

11 DISCUSSION 6.2: CHOOSING KEY LOSSES

Discuss with your fellow students how you would decide which losses you will
tolerate and which not and provide an example thereof.

Feedback will be given online.

Website of interest:

Prospect theory and loss aversion: How users make decisions. 2016. https://www.
nngroup.com/articles/prospect-theory/ [Accessed on 30 May 2020].

6.4.2 Identifying key losses

There are numerous key losses found in organisations on a daily basis and it is
important that organisations determine which key losses to focus on. Boyle (2019:61)
outlines several factors that will influence an organisation’s choice and decision-

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making related to key losses. The main factors that will influence the organisation’s
decision-making are:
• legal requirements
• third-party accreditation
• cost reduction

For organisations that have just begun with loss identification, the following listed
key loss indicators should be sufficient (Boyle 2019:60):
• number of accidents, incidents and injuries
• number of days lost because of injuries
• number of days lost as a result of illness
• number of repairs undertaken as a result of damage to assets
• cost of these repairs

For organisations who are familiar with loss identification, Boyle (2019:61) highlights
aspects related to key loss identification.

The process of identifying the causes of accidents and incidents or injuries is called
loss analysis. It provides critical insights into what happened, so that similar future
losses can be prevented. If there are recurrences of an incident after the causes have
been identified and addressed, it is possible that the real cause was not identified.
Completing a proper loss analysis is a compliance requirement that must be met
(Zurich 2016).

It is one thing to identify your losses in an organisation; it is yet another to determine

the non-reporting of loss-producing events. Boyle (2019:61) discusses three methods
to be used to determine non-reporting:
• interviewing employees and witnesses who are likely to have experience of the
relevant loss
• inspecting the location where the losses occurred
• cross-checking different records

It is possible for an organisation to learn from its losses. By investigating their causes
and by analysing all losses, patterns tend to emerge which can be addressed (Boyle
2019:71).

Incidents have more than one cause. There are contributing factors and root causes,
the latter being the main cause of the incident. If the root cause is addressed, the
incident will not reoccur (Boyle 2019:71).

Watch online to gain an understanding of root cause analysis in incident investigation,

as explained by HSSE World (1:59): https://youtu.be/Arm7RrvG_Ac.

STUDY

Boyle (2019:60) and ensure that you know what the most common way of identifying
key losses is. You also need to know how to check for the non-reporting of key
losses.

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ACTIVITY 6.2: KEY LOSS CRITERIA

Boyle (2019:61) outlines a number of key loss criteria that must be followed.
Elaborate (in 350 – 400 words) on the identification of key losses, the key loss
criteria and the factors that will influence decision-making.

The next sections look at how monitoring and measuring key losses is done in
an organisation.

6.4.3 Monitoring key losses

The main purpose of monitoring key losses is to identify all the factors (like incidents)
that give rise to the key loss. These must be identified so that measuring data can
be collected and there can be accurate measurement of the key loss. Subsequently,
corrective action can be taken to deal with the incidents and their side-effects (Boyle
2019:60)

The monitoring of key losses is thus a process of surveillance that must be carried
out in a systematic manner. This means that it is a continuous process of collecting
data that indicate the health of the safety management system. There are a few steps
specific to key loss monitoring that we need to follow (Uidaho.edu n.d.):
• Develop objectives that must be achieved.
• Design the monitoring methodology.
• Implement the monitoring process.
• Report and use the results for improvement

It is essential to set specific objectives for the monitoring process. This is best done
in alignment with the SMART principle. This means that the objectives must be
(Uidaho.edu n.d.):
• Specific – Objectives should specifically state what you want to achieve with
regard to the losses you are managing.
• Measurable – It must be possible to measure whether you are meeting the
objectives or not.
• Achievable – Are the objectives you have set achievable in your current setting?
• Realistic – Set objectives that you can realistically achieve, given the loss-
management context.
• Time – Set a time frame within which you must meet management objectives.

These objectives are converted to key performance indicators that are continually
monitored to ensure that the key losses are managed effectively.

Watch online to gain an understanding of how businesses decide which performance

measures (KPIs) or types of losses to monitor, as explained by Root Cause by
Industrysafe (1:05): https://youtu.be/J3uq8pSf9tc.

STUDY

Boyle (2019:60) and ensure that you understand how to monitor key losses.

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 LEARNING UNIT 6: Monitoring and measuring losses and conformity

6.5 MEASURING KEY LOSSES

There is a saying: If it cannot be measured, then it cannot be managed. This is true
for key losses. The aim of measuring key losses is to determine improvement, and
this can be done through one of two measures, as tabled by Boyle (2019:62, table 8.2):
• the number of incidents
• the severity of the incident

STUDY

Boyle (2019:63–67) and ensure that you understand how all the measures of key
loss work.

Regardless of the measurements used for key losses, there are a number of principles
used to accurately assess performance over time, such as:

6.5.1 Trend analysis

If continuous measurements of loss data are being made, the next step is to calculate
performance in different time periods and compare one time period with another
– that is, to carry out a trend analysis over time (Boyle 2019:63)

Let’s watch the video explaining what a trend analysis is and how it is used in
different fields.

Watch online: What is trend analysis? What does trend analysis mean? Trend analysis
meaning and explanation, by The Audiopedia (1:55): https://youtu.be/kn50Y6ODPIY.

6.5.2 Incident rates

This is the number of accidents divided by the number of people employed, and the
result is usually multiplied by 1 000. It is used to take into account variations in the
size of the workforce.

STUDY

Boyle (2019:67) and make sure that you know the calculation.

6.5.3 Frequency rates

This is the number of accidents divided by the number of hours worked, and the
result is usually multiplied by 100 000. It is used to take into account variations in the
amount of work done through, for example, overtime and part-time employment.

STUDY

Boyle (2019:67) and make sure that you know the calculation.

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6.5.4 Trend analysis with variable conditions

Things rarely remain the same for any length of time and methods of trend analysis
that can take this into account are needed. Typical changes that play a part in an
organisation’s safety performance is the number of employees that work there, and
the number of hours worked by the employees. If there is a shutdown or project work
is happening on a site, it is likely that the number of employees and the number of
hours that are worked will change (Boyle 2019:67).

12 DISCUSSION 6.3: T
 REND ANALYSIS WITH VARIABLE
CONDITIONS

Discuss with your fellow students when you would expect to see the highest injury
rate. Will this be during a shutdown or normal operations? Substantiate your answer.

Feedback will be given online.

6.5.5 Incident and frequency rates

Making use of incident and frequency rates allows the safety professional to conduct
a practical trend analysis within the organisation. If the trend analysis is conducted
effectively, it allows for internal and well as external comparison, which could lead
to a comparative analysis (Boyle 2019:63).

For the purpose of this learning unit, the international calculation for the frequency
rate will be used. This calculation works as follows (ehsdailyadvisor.blr.com 2014):

Number of incidents (per selected category) for 12 months x 200 000

Number of hours worked for the 12 months

ACTIVITY 6.3: INCIDENT AND FREQUENCY RATES

(1) Calculate the incident rate for the following scenarios:

• 1 accident occurred at a shoe repair shop that employs 40 employees
• 6 accidents occurred at a construction project where 30 employees are
employed

(2) A company worked 712 000 hours during the period under review. They
experienced 7 disabling incidents:
• 1 fatality
• 4 lost-work-day incidents
• 2 restricted-work-day incidents

(3) Using the international calculation provided above, calculate the following:
• the disabling injury frequency rate
• the fatality rate
• the lost-work-day rate
• the restricted-work-day rate

Feedback will be provided online.

These frequency and incident rates are also commonly used in organisations as
performance results. Performance results are the final outcome of the monitoring

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and measuring process. These results are reported in organisational safety reports
and to stakeholders.

STUDY

Boyle (2019:62–68) and ensure that you understand how to do a trend analysis
and which calculations to use for your requirements.

Watch online to gain an understanding of KPI data-gathering and how performance

results are generated and reported on, as set out by the Abu Dhabi Retirement
Pensions and Benefits Fund (3:08): https://youtu.be/TEZy0CXQsik.

ACTIVITY 6.4: MEASURING KEY LOSSES

Look at the rates calculated in activity 6.3 and in 200 to 250 words demonstrate
your understanding of trend analysis.

6.5.6 Comparative analysis of accident data

A comparative analysis allows for a comparison if there is a measure of risk to
be managed. This also allows an organisation to benchmark itself against other
organisations in the same sector, to see how healthy their performance is. It is
important to note that if two organisations from the same industry, with the same
risks, compare their data, it becomes evident which organisation does a better job
of managing its safety risks (Boyle 2019:68).

ACTIVITY 6.5: COMPARATIVE ANALYSIS

In 300 to 350 words, compare and discuss the different types of comparative
analysis of accident data.

6.5.7 Key loss as a measure of risk

Accurate key loss data will provide a measure of what has gone wrong in the past
and will enable comparisons over time (trend analyses) and comparisons between
one organisation and another. What key loss data will not do, even if it is accurate,
is to provide a measure of risk. True levels of risk in an organisation can only be
determined accurately using an appropriate risk assessment methodology (Boyle
2019:70).

When loss data is interpreted and analysed, it can be used to do predictive analyses.
This can be useful in predicting future incidents, based on past experience (Boyle
2019:70).

6.5.8 Spin-offs and side-effects

Spin-offs and side-effects can be measured in a variety of ways that allow for a
monetary value to be allocated to them. There are, however, some spin-offs and
side-effects that cannot be linked to monetary value, such as comfort and morale.
Monitoring and measuring losses make it possible to check the effectiveness of the

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risk control measures and possibly conduct a review for additional controls (Boyle
2019:70).

ACTIVITY 6.6: SPIN-OFFS AND SIDE EFFECTS

(1) In 100 words, identify and explain the different types of spin-offs and
side-effects.
(2) In 150 to 200 words, summarise the monitoring and measurement of spin-
offs and side-effects.

6.6 SUMMARY
The bottom line is that risk management plays an essential part in any organisation’s
pursuit to achieve a competitive advantage and financial stability. Risk control in
risk management is a complex activity, and in this learning unit we endeavoured to
explain the aspects of loss and how to monitor and measure losses.

6.7 SELF-ASSESSMENT QUESTIONS

(1) Organisations typically have a variety of key losses. What are the categories
of these key losses?
(2) For these key losses to be addressed effectively in risk management, each of
the losses identified must be clearly defined. Discuss three essential aspects
to be included in defining these key losses.
(3) Organisations select key losses that they want to monitor and measure. Elabo-
rate on how this decision is made.
(4) For organisations that have just begun with loss identification, there are basic
key loss indicators that should be sufficient. List these indicators.
(5) The aim of measuring key losses is to determine improvement. List the two
measurements used.
(6) There are a few steps specific to key loss monitoring that we need to follow.
List these steps.
(7) A number of principles are used to accurately assess performance over time.
List and explain these principles.
(8) Discuss the different types of comparative analysis of accident data.
(9) Explain the different types of spin-offs and side-effects.

6.8 OTHER VIDEOS OF INTEREST

Abu Dhabi Retirement Pensions and Benefits Fund. KPI data gathering and reporting.
2016. [Online] Available from https://youtu.be/TEZy0CXQsik [Accessed
on 21 May 2020].
HSSE World. 2017. Incident investigation 1. [Online] Available from https://youtu.be/
Arm7RrvG_Ac [Accessed on 21 May 2020].
IndustrySafe. 2015. Safety KPIs: Incidents by root cause. [Online] Available from https://
youtu.be/J3uq8pSf9tc [Accessed on 24 June 2020].
Life Cycle Engineering. Loss elimination – Is your organization living in sin? –
webinar. [Online] Available from https://youtu.be/LGXx2rFSVN0 [Accessed
on 2 June 2020].

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The Audiopedia. 2018. What is trend analysis? What does trend analysis mean? Trend analysis
meaning and explanation. [Online] Available from https://youtu.be/kn50Y6O-
DPIY [Accessed on 2 June 2020].

6.9 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
cbfb.co.uk. n.d. The main causes of business failure. [Online] Available from https://www.
cbfb.co.uk/protecting-your-business-from-failure/ [Accessed on 1 June 2020].
ehsdailyadvisor.blr.com. 2014. Injuries and illness. [Online] Available from https://
ehsdailyadvisor.blr.com/2014/02/a-simple-approach-to-computing-incident-
rates-and-severity/ [Accessed on 24 June 2020].
nngroup.com. 2016. Prospect theory and loss aversion: How users make decisions. [Online]
Available from https://www.nngroup.com/articles/prospect-theory/ [Accessed
on 2 June 2020].
Rielander, CL. 2020. Management of construction and mining: Study guide for SMA3704.
Pretoria: University of South Africa.
Uidaho.edu. n.d. Principles of vegetation measurement and assessment and ecological monitor-
ing and analysis. [Online] Available from https://www.webpages.uidaho.edu/
veg_measure/Modules/Lessons/Module%201(Overview)/1_2_Monitor-
ing_Steps.htm [Accessed on 2 June 2020].
Valsamakis, AC, Vivian, RW & Du Toit, GS. 2010. Risk management. 5th edition.
Sandton: Heinemann.
Zurich.com.2016. Why is analyzing losses important to risk management? [Online] Avail-
able from https://www.zurichna.com/knowledge/articles/2016/03/why-is-
analyzing-losses-important-to-risk-management [Accessed on 20 May 2020].

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7 LEARNING UNIT 7
7 IDENTIFYING CAUSES AND PATTERNS

7.1 LEARNING OUTCOMES

After working through this learning unit and chapter 9 in the prescribed textbook,
you should be able to

(1) define terminology related to accident/incident investigation and near-misses

(2) identify reasons for conducting accident/incident investigations
(3) examine the requirements of an accident/incident investigator
(4) list the accident investigation steps
(5) list the accident investigation methodologies used
(6) formulate accident investigation questions using the five W’s and one H
(7) discover the root causes of accidents/incidents by applying the three “why’s”
technique
(8) identify factors contributing to accidents/incidents
(9) examine the types of data to be collected and recorded during an accident/
incident investigation
(10) explain the guidelines followed when conducting an accident/incident interview
(11) expand on the different accident causation models
(12) discuss other types of investigations
(13) explain the importance of accident reporting

7.2 ABBREVIATIONS AND CONCEPTS

Accidents Accident causation
Environment Health
Incidents Investigation
Injuries Interview
Key loss Loss
Near-misses Root cause

7.3 INTRODUCTION
After working through the previous learning unit, you should be familiar with loss
and you should be able to identify losses and perform monitoring of key losses in your
organisation. We will proceed to look at the identification of accident causes and the
patterns of these accident groups. This learning unit should be read in conjunction
with chapter 9 in Boyle (2019:73–100).

It is important that you understand the different accident terms before beginning
with your accident investigation.

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7.4 ACCIDENT TERMINOLOGY

The terminology and phrasing of incident investigations is important. An incident
can be defined as an unforeseen occurrence that results in injury, ill health or a
fatality, as well as damage to property or the environment. An accident is defined
as an unplanned, unwanted event that results in business interruptions and that
may cause injury and/or property damage. A near-miss/dangerous occurrence
is defined as an event that could result in an incident/accident but has not yet done
so (CCOHS 2018).

Note: The terms ‘incident’ and ‘accident’ are used interchangeably. For the purpose
of this learning unit, accident also refers to incident.

When an incident/accident occurs, the organisation looks to the safety professional

for guidance and assistance with the incident investigation. It is very important that
the incident investigation be completed thoroughly and quickly. The sooner the
investigation is completed, and the findings are shared in the organisation, the more
likely it is to prevent a re-occurrence.

There are various reasons for conducting an incident/accident investigation, which

include (Boyle 2019:73):
• to determine the cause of an accident to prevent any future similar incident/
accidents
• to determine the cost of the incident/accidents
• to determine the level of compliance with requirements
• to process compensation claims
Accident investigation is a specialised field that requires knowledge and expertise in
that particular field. An incident/accident is investigated by an individual or group
of persons who are (CCOHS 2018)
• experienced in accident investigation and causation models
• experienced in investigation techniques
• knowledgeable about the legislative requirements for occupational health and safety
• well versed in interviewing skills and techniques
• knowledgeable about documentation, data collection and records
• able to analyse the data that was collected to make findings and recommendations
STUDY

Boyle (2019:73–74) and ensure that you understand what the chronological flow
of an accident investigation is. Make sure that you know which accidents should
be investigated and what is required of the investigation team.

Watch online Safety Solution’s explanation of how an incident investigation team

is selected (2.40): https://youtu.be/q6scFB5T8is.

7.5 THE ACCIDENT INVESTIGATION PROCESS

Accident investigation is a very important organisational process and must be done
in a specific sequence (fig 7.1). It is critical to get this right, to ensure that effective
investigations are done and the actual root causes of accidents are identified. If an
investigation is rushed and disorganised, or the outcome is manipulated, it might
identify the wrong cause and add little value.

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FIGURE 7.1
The incident/accident investigation process

Source: Shutterstock #119297209

Let’s look at the six steps involved in the accident investigation process, as depicted
in table 7.1.

TABLE 7.1
The accident investigation process

Step 1 Accident investigation

Step 2 Identificaton of root causes

Step 3 Determining finding

Step 4 Development corrective action plan

Step 5 Implementaton of corrective action plan

Step 6 Monitoring and reviewing

Source: Author’s own compilation

Steps 1 to 3 mostly form part of the initial accident/incident investigation. When

the final investigation is completed, the corrective action plans are implemented and
monitoring and reviewing will start.

The initial investigation requires that the accident scene be secured, physical evidence
be recorded, and witnesses be interviewed as soon as possible. The methodology
that could be used to understand the event of the accident is the five W’s and one H:
• Who was involved and who is it about?
• What happened?
• When did it occur?
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 LEARNING UNIT 7: Identifying causes and patterns

• Where did occur?

• Why did it occur?
• How did it occur? (Leblanc 2018)

Watch online for a practical explanation of the 5 Why’s of lean problem solving by
Lean Enterprise Institute (3:20): https://youtu.be/SrlYkx41wEE.

When an accident investigation is conducted, there are sequential steps that need to
be followed. These include (Boyle 2019:75–82):
• Submitting statutory and other notifications to the relevant departments
• Conducting site visits to become familiar with the site and to gather evidence
• Conducting on-site and off-site interviews with witnesses, potential witnesses and
senior employees that know the area very well. These interviews are conducted
according to the techniques discussed in section 7.9 of this study guide.
• Processing the information and analysing the events to determine the root cause
of the accident by applying the accident causation model
• Preparing a draft incident report
• Gathering additional data if required to clarify any uncertainties related to the
accident
• Preparing the final accident investigation report. This report documents all the
detail of the accident, the investigation methodology, the root cause of the accident
and the corrective actions to be implemented.

STUDY

Boyle (2019:75, figure 9.1) and ensure that you understand the accident investigation
procedure.

Watch online for more information on conducting an incident investigation, as set

out by SAFEWorkManitoba (10:25): https://youtu.be/hQilV-mOnC4

ACTIVITY 7.1: ACCIDENT INVESTIGATION

You are a safety professional contracted to assist with the accident investigation of
the ceiling collapse at the Central Park Mall in Bloemfontein. Research the incident
and complete the activity below.

7.1.1 List at least two websites that you have used to do your research.
1
2
7.1.2 Complete an Annexure 1 form for this incident (available in the OHS Act
No. 85 of 1993, General Administrative Regulations).
7.1.3 From the research conducted and knowledge gained through your studies,
give a critique (summary assessment) (300–500 words) of the accident
at the Central Park Mall in Bloemfontein, in which you briefly discuss what
you believe the possible causes and underlying factors could be and indicate the
accident investigation steps that should be taken.

7.6 DISCOVERING THE ROOT CAUSE OF AN ACCIDENT

Workplace factors surrounding the accident must be assessed to determine any
contributing factors, as illustrated in figure 7.2.

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FIGURE 7.2
Contributing factors in accidents

Source: Developed by author

It is usually easier to identify the immediate cause, rather than the root cause of an
accident by applying the three “why’s” technique, for example:
• Why did the employee get injured?
• Why was the machine switched on?
• Why was the safety guard removed?
It is important for you to be able to apply different techniques when identifying
the root cause of an accident (fig 7.3). These techniques include, for example, the
causation models based on Heinrich’s domino sequence, the Hale and Hale model,
through to a more sophisticated technique such as the Management Oversight and
Risk Tree (MORT). These techniques will be discussed later in the module.

FIGURE 7.3
Root cause of an accident

Source: Shutterstock #635876795

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7.7 INTERVIEW TECHNIQUES

The main source of information following an accident could be interviews with the
person(s) involved and those who witnessed the accident. The following guidelines
should be followed when conducting an accident interview:

• Interview witnesses individually

Witnesses and employees should be interviewed as soon as possible and in private
to avoid the overhearing of witness statements. This allows the interviewer to
obtain actual input and a true reflection of the incident/accident, and not a coor-
dinated witness input. If the witness talks or listens to others, they may become
confused and subconsciously change their recollection of the accident.
• Always try to interview where the accident took place
Interviewing employees at the site of the incident/accident can help jog their
memory, as well as allow the witness/employee to point out any specific areas
where something happened.
• Do not play the blame game
The purpose of the investigation is to identify the physical hazards, safety system
breakdowns and behavioural failures. Explain to the witnesses and employees that
you are interested in the facts that led to the incident/accident so that corrective
action can be determined to make the workplace safer.
• Be a good listener
Do not interrupt the witness/employee during the interview, so that they are com-
fortable in sharing the events (recall) of the accident.
• Obtain relevant details
Ask open-ended questions and address the who, what, where, when, why and
how of the incident/accident.
• Take thorough notes
If possible, and with the witness/employee’s permission, record the interview on
your cellphone. Remember to give a copy of the interview to the witness/employee
to clarify any information they gave during the interview.
• Be compassionate
Use your discretion. If the incident/accident involved a fatality (death) or serious
injury, the witness could be in shock and may be unable to talk about what they
saw at that moment. You may have to delay the interview for later – however,
do not wait too long.
• Use the interview as an opportunity for improvement
The purpose of the incident/accident investigation is to prevent the occurrence
of a similar incident/accident. Allow the witness/employee to give some ideas/
recommendations to avoid a similar incident/accident; this may prove valu-
able and shows the witness/employees that their voice matters to management
(Awane.com 2015).

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STUDY

Boyle (2019:77, 86–90) and ensure that you know how to interview for an accident
investigation. You will also need to understand what has to be avoided when
conducting an interview.

ACTIVITY 7.2: D
 ATA COLLECTION FOR ACCIDENT
INVESTIGATION

Using the research that you have conducted in the previous activity and the
Annexure 1 form (available in the OHS Act No. 85 of 1993, General Administrative
Regulations), categorise and discuss (in 1 000–1 500 words) the types of data
that have to be collected and recorded during an incident investigation.

Your answer should include

• physical evidence
• interviews and witness accounts

Watch online Lander and Rogers’ explanation of how a workplace incident

investigation is done – tips and traps (5.32): https://youtu.be/zYi017iipjM.

13 CASE STUDY 7.1: INCIDENT INVESTIGATION

There is a small spaza shop in town that sells groceries and prepared foods like
Russians and chips. They have a few employees who work at different times, due
to their long operating hours. The employees’ duties include preparing the food
for take-away. Some employees peel the potatoes and cut them into chips. Others
deep-fry the Russians and chips in hot oil and a third group packs the take-away
orders. It was a busy day shift and the employee who was deep-frying the chips
was called over to assist with peeling more potatoes. A pot of hot oil on a stove
caught fire. The employee ran back to the stove and poured water over the pot in
an attempt to extinguish the fire. The water spread the oil and the kitchen burst
into flames. The employee sustained serious burns and was transported to a
nearby hospital, where she was admitted and treated for the burns. She spent a
few weeks in hospital and had to undergo surgery to perform skin grafts.

ACTIVITY 7.3: INCIDENT INVESTIGATION QUESTIONS

Use the five W’s and one H to construct five possible accident investigation
questions per category for case study 7.1. Your answer should be between 300
and 350 words.

7.8 ACCIDENT CAUSATION MODELS

Numerous models are used by organisations to determine the causes of accidents.
Let’s look at the following models:

• The Hale and Hale model

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 LEARNING UNIT 7: Identifying causes and patterns

• The Domino Theory

• The Swiss Cheese model

7.8.1 Hale and Hale model

The Hale and Hale model is an accident causation model that describes the behaviour-
based approach to risk management. It is based on a singular risk concept and has
been expanded to include residual risk. Risk is a negative aspect that can be linked
to an accident with an outcome of loss and damage. The Hale and Hale model
expands on the understanding of risk to incorporate residual risk, where the current
situation is evaluated against the desired outcome, analysed and prioritised, and
recommendations are developed. The decision process is based on skill, knowledge
and rules (EHSToday 2002).

In the OHS environment, risk is a result of hazards that cause a harmful consequence
such as injury to a person and/or property, and environmental damage. An organisation
is exposed to three types of risk, namely inherent risk, residual risk and entropic
risk. Inherent risk refers to the risk before any risk control measures have been
implemented. Residual risk refers to the remaining risk after risk control has been
implemented, and is never completely eliminated. Entropic risk is a measure of
disorganisation and is defined as the degradation of an organisation’s system factors
such as processes, work practice, the physical environment (e.g. structural factors
and location), human factors (employees), and technology (EHSToday 2002).

The entropy model affords organisations the opportunity to apply a strategic approach
to managing risks in both the long term and short term through a four-fold strategy
that addresses the residual and entropic risks in a multi-disciplinary approach, which
includes the following (EHSToday 2002):
• Immediate action is taken to eliminate the entropic risk.
• Maintenance strategies are developed to prevent future entopic risks.
• Residual risks are managed over the short term.
• Residual risk is minimised for long-term management.
Watch online the theories of accident causation by Ihab Saad (23:43): https://youtu.
be/M0fjtV9nPJY.

STUDY

Boyle (2019:79–80) and ensure that you understand how the Hale and Hale model
and its elements are applied in an organisation.

7.8.2 The Domino Theory

A number of models are used to explain how accidents occur. Heinrich’s Domino
Theory (figure 7.2) is the most common, where one event leads to another until it
results in an accident. Research has indicated that 80% of accidents are as a result
of the unsafe acts of employees, 10% as a result of unsafe conditions, and 1% as a
result of “acts of God”.

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FIGURE 7.4
Domino Theory

Source: Shutterstock ID: 275263157

Another theory is the Swiss Cheese model, which we will look at next.

7.8.3 The Swiss Cheese model

The Swiss Cheese model is based on the barriers that prevent incidents and the
consequences of their simultaneous failure. Applying this model to an accident
investigation means that you identify the barriers that failed and establish what caused
them to fail. You will also be able to establish whether any additional barriers will
be required in future to prevent an accident (Boyle 2019:85–86). See figure 9.4 in
the prescribed textbook for an illustration of the model.

Watch online Rason’s Swiss cheese model by Clinical Leadership Solutions Ltd
(3.15): https://youtu.be/MfWpMrEOlJ8.

STUDY

Boyle (2019:82–85) and ensure that you understand the accident causation models
and the related theories.

7.9 OTHER TYPES OF INVESTIGATIONS

A distinction can be made between accident investigation techniques and other
types of investigations based on the number of persons involved. Other investigation
techniques include epidemiological analysis and epidemiological analysis with limited
data.

STUDY

Boyle (2019:97–100) and make sure that you understand the process of investigation.

7.10 ACCIDENT REPORTING

All countries have legal obligations imposed on employers in relation to which
kinds of accidents must be reported. The authorities to whom these incidents must
be reported are specified, as well as the procedure to be followed when reporting

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(Boyle 2019:94). In South Africa, accidents should be reported within seven days,
using the WCL 1 (W.Cl.1) or WCL 2 forms.

If the injured person dies after notice, the employer or user must notify the Provincial
Director of the death by fax or similar means of communication (based on the
legislation in General Administrative Regulation (GAR) 8 of the Occupational
Health and Safety Act).

The prescribed method for recording and investigation of incidents is as follows:

• The employer or user should keep record of all section 24 incidents, as well as any
other incidents where first aid or medical treatment was involved. This must be
done on the prescribed Annexure 1 form (The South African Labour Guide 2020).
• Fatalities, injuries, occupational illnesses and dangerous occurrences must be
reported as soon as possible, and all relevant information must be provided to the
relevant authorities. This information is used by the regulatory bodies to establish
trends both on the national level and across industries (Boyle 2019:94–95).
• Employers are required to record details of any minor accidents or incidents
and all of these must be investigated. It is to be noted that minor accidents and
injuries can also result in compensation claims (Boyle 2019:96).

STUDY

Boyle (2019:90–96) and make sure that you know how to report an incident/accident.

7.11 SUMMARY
This learning unit dealt with the requirements of loss monitoring through accident
investigation techniques. If all the requirements for accident investigation are in place,
the organisation will be able to measure its losses accurately and use the collected
data effectively to develop action plans.

7.12 SELF-ASSESSMENT QUESTIONS

(1) Give the definitions of an accident and a near-miss.
(2) What are the reasons for conducting accident investigations?
(3) What are the requirements of an accident investigator?
(4) What are the six steps of an accident investigation?
(5) List the accident methodology used.
(6) Develop accident investigation questions using the five W’s and one H.
(7) What are the contributing factors to an accident?
(8) What types of data have to be collected and recorded during an incident
investigation?
(9) Explain the guidelines that have to be followed when conducting an accident
interview.
(10) Explain the Hale and Hale model and its elements.
(11) The entropy model is a four-fold strategy that addresses the residual and en-
tropic risks in a multi-disciplinary approach. What is included in this model?
(12) Expand on the accident causation model of Heinrich.
(13) Expand on the Swiss Cheese model.
(14) Elaborate on which accidents must be reported.

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7.13 RECOMMENDED READING

Awane.com. 2015. Safety rips. Interviewing techniques when investigating workplace ac-
cidents. [Online] Available from https://www.awane.com/blog/safety-tips-
interviewing-techniques-when-investigating-workplace-incidents/ [Accessed
on 22 January 2019].
Canadian Centre of Occupational Health and Safety (CCOHS). 2018. Incident investiga-
tion. [Online] Available from https://www.ccohs.ca/oshanswers/hsprograms/
investig.html [Accessed on 22 January 2019].
CCOHS. See Canadian Centre of Occupational Health and Safety.
EHSToday. 2002. An accident theory that ties safety and productivity together. [Online]
Available from https://www.ehstoday.com/mag/ehs_imp_35910 [Accessed
on 22 January 2019].
Leblanc, R. 2018. The incident investigation. [Online] Available from https://www.the-
balancesmb.com/the-incident-investigation-2877799 [Accessed on 22 January
2019].

7.14 OTHER VIDEOS OF INTEREST

Lander & Rogers. 2015. Workplace investigations – tips and traps. [Online] Available from
https://youtu.be/zYi017iipjM [Accessed on 9 June 2020].
Lean Enterprise Institute. 2018. The 5 Whys – Lean problem solving. [Online] Available
from https://youtu.be/SrlYkx41wEE [Accessed on 29 June 2020].
PlaybookUX. 2019. What are the Five Whys? [Online] Available from https://youtu.
be/jrtYlqloJ7o [Accessed on 8 June 2020].
Saad, Ihab. 2017. Theories of accident causation. [Online] Available from https://youtu.
be/M0fjtV9nPJY [Accessed on 13 June 2020].
Safety Solutions. 2018. Incident investigation team. [Online] Available from https://youtu.
be/q6scFB5T8is [Accessed on 7 June 2020].
SAFEWorkManitoba. 2013. Conducting an incident investigation. [Online] Available from
https://youtu.be/hQilV-mOnC4 [Accessed on 29 June 2020].

7.15 REFERENCES
Awane.com. 2015. Safety rips. Interviewing techniques when investigating workplace ac-
cidents. [Online] Available from https://www.awane.com/blog/safety-tips-
interviewing-techniques-when-investigating-workplace-incidents/ [Accessed
on 22 January 2019].
Boyle, T. 2019. Health and Safety. Risk management. 5th edition. New York: Routledge
Canadian Centre of Occupational Health and Safety. 2018. Incident investigation. [On-
line] Available from https://www.ccohs.ca/oshanswers/hsprograms/investig.
html [Accessed on 22 January 2019].
CCOHS. See Canadian Centre of Occupational Health and Safety.
EHSToday. 2002. An accident theory that ties safety and productivity together. [Online]
Available from https://www.ehstoday.com/mag/ehs_imp_35910 [Accessed
on 22 January 2019].
Leblanc, R. 2018. The incident investigation. [Online] Available from https://www.the-
balancesmb.com/the-incident-investigation-2877799 [Accessed on 22 January
2019].

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The South African Labour Guide. 2020. 567 Reporting and investigation of work-related
incidents. [Online] Available from https://www.labourguide.co.za/health-and-
safety/567-reporting-and-investigation-of-work-related-incidents [Accessed
on 29 June 2020].
Work.chron.com. 2022. Monitoring techniques for management. [Online] Available
from: https://work.chron.com/monitoring-techniques-management-3959.
html. [Accessed 1 Nov 2022].

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8 LEARNING UNIT 8
MONITORING AND MEASURING
8

CONFORMITY AND ACHIEVEMENT

8.1 LEARNING OUTCOMES

After working through this learning unit and chapter 10 in the prescribed textbook,
you should be able to
(1) compare/point out the differences between monitoring and measuring
(2) examine the purpose of monitoring and refer to the relevant ISO standards
(3) explore the scope of monitoring
(4) investigate various techniques used in monitoring
(5) outline the formal monitoring factors
(6) identify reasons why monitoring fails
(7) explain the difference between conformity and non-conformity

8.2 ABBREVIATIONS AND CONCEPTS

Investigate Interview
Conformity Failure
Measurement Measuring
Monitoring Non-conformity
Performance

8.3 INTRODUCTION
In learning unit 3, reference was made to the key elements of risk management,
and it was stated that monitoring and measuring form an essential aspect of risk
management. In this learning unit, you will be made aware of the difference between
monitoring and measuring, and you will look at the purpose of monitoring and
measuring, at the techniques used and finally, at the measurement of conformity.

Organisations develop a framework for monitoring and measuring to improve their

management system and to determine compliance. SANS (ISO) 45001 (2018) assists
organisations with monitoring and continual performance evaluation to improve
their OHS performance (SABS 2018).

8.4 THE DIFFERENCE BETWEEN MONITORING AND

MEASURING
To understand the difference between monitoring and measuring, see the definitions
in SANS (ISO) 9001 (2015), where monitoring is defined as the means to determine the
status of the organisation’s status processes, activities and/or systems at different stages
and different times. To determine these different stages, you need to continually check
and critically observe the processes, activities and/or systems that require monitoring.
Measurement, on the other hand, is a physical process of actual measurement to

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determine a value and/or quantity. Measurement is the quantification of a value/

number. Some monitoring may also include measuring (Agarwal 2017).

Monitoring is the process organisations use to check that they are doing what they
said they would do. This monitoring should cover three broad areas (Boyle 2019:101):
• Risk control procedures
• Health and safety management system procedures
• Legal procedures and other requirements
Measuring is the process of obtaining data describing the performance of a process or
the quality of the output of the process. Measurement methods must be documented
as part of the process improvement initiative. This will ensure that the measurements
of improvements to a process will be accurate (Businessdirectory n.d.).

Monitoring and measurement are used together across various ISO standards
applied to the safety field, although they have different meanings. To monitor is to
watch closely or to observe or detect, which means that it is an act of surveillance.
To measure is to determine the actual value of something. Measurement would
be used to determine the actual performance of the system, versus the expected
value. Both are valuable tools, but they give different evidence for decision-making
(Advisera.com 2020).

STUDY

Boyle (2019:101) and ensure that you can differentiate between measuring and
monitoring.

Watch online an explanation of ISO 9001 (2015) monitoring and measuring by

Peter van Nederpelt (4.19): https://youtu.be/gv9ES4rN2zo.

ACTIVITY 8.1: MONITORING AND MEASURING

List and elaborate on the elements that are monitored and measured in your
organisation or the organisation that you have researched.

Nr Element

8.5 THE PURPOSE OF MONITORING

The purpose of monitoring is to allow an organisation to be able to evaluate its
performance and determine whether it is still on track with its implementation
and action plans. Monitoring is important, as it provides a consolidated report on
progress and the status of an organisation’s implementation and action plans with
regard to its strategy, goals and objectives. Monitoring is also concerned with the
transformation of input into an output and the progress of project activities in terms
of time schedules and success indicators (Otieno n.d.).

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Monitoring encompasses the following (Boyle 2019:102):

• Location
• Activities
• Documentation
• Records

The person responsible for managing the documents, records, locations and activities
should also be the person conducting the appropriate monitoring (Boyle 2019:102).

STUDY

Boyle (2019:101) and ensure that you understand the purpose and the scope of
monitoring.

Let’s look at what the relevant ISO standards require in terms of monitoring and
measurement:

Clause 9 of ISO 9001 (2015) indicates requirements that must be adhered to as part
of the monitoring and measuring process. These requirements are key to the Quality
Management System. The requirements are for the organisation to determine/establish
• what must be monitored and measured
• what methods will be used for the monitoring, measuring, analysis and evaluation
needed to ensure valid results
• when the monitoring and measuring will be performed
• when the results of the monitoring and measurement will be analysed and evaluated
(including the reporting frequency of these results)

The organisation is also required to evaluate the overall performance and effectiveness
of the Quality Management System. Appropriate documented information must be
retained as evidence of these results (SABS 2015).

Clause 9 of ISO 14001 (2015) provides the following requirements for the monitoring,
measurement, analysis and evaluation of an organisation’s environmental performance.
The organisation shall determine
• what must be monitored and measured
• what methods will be used for the monitoring, measuring analysis and evaluation
to ensure valid results
• appropriated indicators and the criteria against which the organisation’s
environmental performance will be evaluated
• when the monitoring and measuring will be performed
• when the results of the monitoring and measurement will be analysed and evaluated
(including the reporting frequency of these results)

The organisation must ensure that appropriate calibrated or verified monitoring and
measurement equipment is used and maintained. The organisation’s environmental
performance and the effectiveness of its environmental management system must
be evaluated.

The organisation must comply with any communication and compliance requirements
for its environmental performance.

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 LEARNING UNIT 8: Monitoring and measuring conformity and achievement

The organisation is also required to evaluate the overall performance and effectiveness
of the Quality Management System. Appropriate documented information must be
retained as evidence of these results (SABS 2015).

Clause 9 of ISO 45001 (2018) stipulates the following:

The organisation shall establish, implement and maintain a process(es) for monitoring,
measurement, analysis and performance evaluation.

The organisation shall determine:

• What needs to be monitored and measured, including
– the extent of fulfilment of legal and other requirements
– its hazard identification, risk and opportunity-related activities and operations
– progress towards achievement of the organisation’s OHS objectives
– the effectiveness of operational and other controls
• What methods will be used for monitoring, measurement, analysis and evaluation
to ensure valid results
• The criteria against which the organisational OHS performance will be evaluated
• When the monitoring and measuring will be performed
• When the results of the monitoring and measurement will be analysed and
evaluated (including the reporting frequency of these results)

The organisation is required to evaluate its OHS performance and determine the
effectiveness of the OHS management system. The organisation must ensure that
monitoring and measuring equipment is calibrated or verified as required. This
equipment must be used and maintained as appropriate.

Legal and other requirements (e.g., national or international standards) concerning

the calibration or verification of monitoring and measuring equipment must be
adhered to.

The organisation is also required to evaluate the overall performance and effectiveness
of the Quality Management System. Appropriate documented information must be
retained as evidence of these results (SABS 2018).

8.6 MONITORING TECHNIQUES

As previously indicated, monitoring provides the organisation with an understanding
of the status of its processes, activities and/or systems. Monitoring is a method of
checking the organisation’s performance against its strategy, goals and objectives and
is an ongoing activity that establishes an organisational profile and statistical data.
Monitoring acts as an early warning to avoid process and performance problems.
It also measures, validates and quantifies any previously identified process and
programme problems (IBM 2019).

Monitoring must be done across all levels in an organisation. The types of monitoring
will vary, with lower management monitoring the workplace and higher management
monitoring the managers and monitors being used (Boyle 2019:103).

To achieve the correct analysis of data that is consistent with the organisational
strategy, one should use the correct tools and techniques. The following techniques
are discussed in Boyle (2019:104):
• Documented and recorded review
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• Workplace inspection and job-observation

• Interviewing and questioning

Monitoring forms a key part of management’s role in the organisation. Managers

check on discipline, coaching, development and training, and follow up on the
execution of instructions. It is important that objectives are set for everything that
must be monitored, that the results of the monitoring are reported and reviewed,
and that action is taken to correct shortcomings (Work.chron, 2022).

Let’s look at some more monitoring techniques.

• Quantifiable monitoring
These statistics form the core of management reports. A lot of data is monitored
and reported on in an organisation, which can be overwhelming. This approach
allows managers to enter key indicators from periodic reports into spreadsheets
and provides a unique analysis over longer periods of time.
• Behavioural monitoring
Behavioural monitoring is interpretive and does not always make use of hard
numbers. This makes objectivity difficult. A variety of input sources are considered
and used to balance the analysis. For example, a manager evaluating an employee
may accompany the employee and observe their performance; or client feedback
surveys can be sent out, which adds a different perspective. The latter will not
be influenced by the manager’s presence or perception. Self-evaluations from the
employee also produce another view. An effective manager will recognise how
the employee’s true behaviour reflects in a balance of the views. Behavioural
monitoring suggests the monitoring of behavioural aspects: personal observation
and feedback from the employees doing the work.
• Processes
Business process monitoring springs from continuous-improvement models
like the PDCA (plan-do-check-act) process. While quantifiable and behavioural
monitoring techniques continue, process monitoring looks at everything related
to the work process. Managers are required to look at how the work is done from
all aspects, like ergonomics and the physical flow of work through a department.
• Projects
Monitoring project management introduces a trend analysis technique called the
earned-value method. A project has goals and a budget. These are monitored at
stages throughout the project to predict an outcome of performance. Earned-
value analysis techniques can be incorporated into process monitoring to project
potential performance and allow early warning of negative trends. Earned-value
monitoring may include quantifiable items from outside your department, like
budgets and other financial information.

STUDY

figure 10.1 and figure 10.2 in Boyle (2019:103) and ensure that you understand
how the monitoring process is conducted across organisational levels.

STUDY

Boyle (2019:104) and acquaint yourself with the fundamental monitoring techniques
and how they are used in an organisation.

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 LEARNING UNIT 8: Monitoring and measuring conformity and achievement

Watch online the NEBOSH question – active monitoring techniques, by OSHTC

Training (2.12): https://youtu.be/MAXd2VEafCs.

Watch online to gain an understanding of what Six Sigma is. What does Six Sigma
mean? The meaning, definition and an explanation of Six Sigma is given by The
Audiopedia (5.57): https://youtu.be/x6KQGextBrk.

8.7 FREQUENCY MONITORING

Monitoring is a continuous activity that is conducted subconsciously most of the time.
Only with continuous monitoring can the effectiveness of risk control measures be
guaranteed. Formal monitoring is based on three factors (Boyle 2019:105):
• the level of risk
• risk control reliability
• the rate of change of the location/action being monitored
The typical frequency of monitoring varies from daily for very high-risk activities/
processes to weekly for less high-risk activities/processes. For medium to low-risk
activities/processes, the monitoring can be done at monthly or even quarterly
intervals (Boyle 2019:105).

STUDY

Boyle (2019:105) and ensure that you understand the formal monitoring factors
and the frequencies of monitoring.

14 DISCUSSION 8.1: FREQUENCY OF MONITORING

Provide your fellow students with one example of monitoring per frequency set
out in Boyle (2019:105) that is in place in your organisation or an organisation
that you have researched.

Feedback will be given online.

8.8 MONITORING AND MEASURING FAILURES

Monitoring is applied to process performance to evaluate progress, but it also
needs to be applied to failures. These failures are monitored as lagging indicators,
like the number of accidents that occurred, or the sporadic lapse in a process that
must comply with a standard. Measuring this allows the organisation to do the
necessary investigations and improve its overall safety performance.

Monitoring assists organisations and managers to obtain the information needed to

make projects/programmes work, and as such weak monitoring may be the weakest
part of an organisation’s management system. Boyle (2019:106) outlines a number
of causes of monitoring process failures:
• Managers do not know that health and safety management requires monitoring.
• Managers do not know how to carry out monitoring activities effectively.
• Failure to carry out monitoring does not have short-term or obvious consequences.
• Repeated (poor) monitoring does not find anything wrong.
• Managers are reluctant to address behavioural issues and try to avoid confrontation.
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• The “there is no point” category, which arises when other failures lead to ineffective
monitoring. This is categorised by
– lack of consequence management
– impracticable rules that are contradictory and controversial
– no visible adherence to rules by leadership

STUDY

Boyle (2019:106) and ensure that you know the typical causes of monitoring and
measuring failures.

Watch online how to identify a safety culture performance measurement, presented

by James Roughton (4.50): https://youtu.be/oz1xfadaRFo.

Other inspection activities like safety inspections and site visits are used to establish
what is already in place and can in some cases be incorporated into the monitoring
process. Subsequently, the failures mentioned above can also impact on this (Boyle
2019:107).

Watch online HSE monitoring and measuring (accident investigation and audit), by
Samara Training Services (25.45): https://www.youtube.com/watch?v=B_vq5ircca0.

ACTIVITY 8.2: MONITORING AND MEASURING FAILURES

Use the monitoring programme in your organisation or an organisation that you

have researched and identify, in 300 to 350 words, five reasons why monitoring
can fail or has failed.

8.9 CONFORMITY AND NON-CONFORMITY

Conformity refers to compliance with rules, legislation and standards. If checklists
are available, the measurement of conformity is easy, as it is simply a matter of ticking
a block. Questions in the checklist are generally based on the requirements of the
management system and legal requirements. Collecting data about conformity should
be based on trend and epidemiological data.

Non-conformity features in ISO 9001 (2015), ISO 14001 (2015) and in ISO 45001
(2018), where it is defined as non-conformance to a specific requirement. These
standards also stipulate how such non-conformities must be managed. This normally
means investigating the cause, implementing corrective actions and monitoring their
effectiveness.

Boyle (2019:107) lists the two aspects required regarding non-conformity, namely
(1) correction and (2) corrective actions:
• Correction refers to putting the non-conformity right. This will be the immediate
corrective action taken to address the non-conformity that was identified.
• Corrective actions refer to putting the cause of the non-conformity right. This
will be done by identifying the root cause of the non-conformity through an
investigation, and actioning the findings to prevent the non-conformity from
recurring.
• Both of these aspects must be addressed when a non-conformity is identified.

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 LEARNING UNIT 8: Monitoring and measuring conformity and achievement

STUDY

Boyle (2019:106–109) and ensure that you understand what conformity is and
how it can be measured.

Watch online how to identify, record and prevent a non-conformance, as explained

by QMS International Ltd (4.09): https://youtu.be/2iEcF9GBNOE.

8.10 SUMMARY
In this learning unit, you were shown the difference between monitoring and
measuring and how the results of these processes can be used to improve performance
by implementing corrective actions. You were then introduced to monitoring and
measuring failures and to the concepts of conformity and non-conformity.

8.11 SELF-ASSESSMENT QUESTIONS

(1) Explain the difference between monitoring and measuring.
(2) What is the purpose of monitoring?
(3) Identify and discuss the relevant ISO standards and requirements that must
be adhered to as part of the monitoring and measuring process.
(4) List the fundamental monitoring techniques.
(5) Monitoring is a continuous activity. Outline three formal monitoring factors.
(6) List five reasons why monitoring fails.
(7) What is the difference between conformity and non-conformity?
(8) Describe other inspection types that can be used for monitoring.

8.12 RECOMMENDED READING

Agarwal, V. 2017. What is the difference between measurement and monitoring in ISO 9001?
[Online] Available from https://www.quora.com/What-is-the-difference-
between-measurement-and-monitoring-in-ISO-9000 [Accessed on 22 January
2019].
(The) Audiopedia. 2017. What is Six Sigma? What does Six Sigma mean? Six Sigma meaning,
definition and explanation. [Online] Available from https://youtu.be/x6KQGext-
Brk [Accessed on 26 June 2020].
IBM. 2019. Establishing monitoring activities and techniques. [Online] Available from https://
www.ibm.com/support/knowledgecenter/en/SSGMCP_5.5.0/tuning/dfht3lr.
html. [Accessed on 22 January 2019].
Otieno, FAO. n.d. The roles of monitoring and evaluation in projects. [Online]
Available from https://www.irbnet.de/daten/iconda/CIB8942.pdf [Accessed
on 22 January 2019].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2015. SANS (ISO) 14001 – Environmental manage-
ment systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2015. SANS (ISO) 9001 – Quality management
systems – Requirements with guidance for use. Pretoria: SABS
South African Bureau of Standards. 2018. SANS (ISO) 45001 – Occupational health
and safety management systems – Requirements with guidance for use. Pretoria: SABS.

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8.13 OTHER VIDEOS OF INTEREST

OSHTC Training. 2016. NEBOSH question – Active monitoring techniques. [Online]
Available from https://youtu.be/MAXd2VEafCs [Accessed on 18 June 2020].
QMS International Ltd. 2018. How to identify, record and prevent a non-conformance. [Online]
Available from https://youtu.be/2iEcF9GBNOE [Accessed on 17 June 2020].
Roughton, James. 2012. How to identify safety culture performance measurements! [Online]
Available from https://youtu.be/oz1xfadaRFo [Accessed on 18 June 2020].
Samara Training Services. 2020. HSE monitoring and measuring (accident investigation and
audit). [Online] Available from https://www.youtube.com/watch?v=B_vq5irc-
ca0 [Accessed on 25 June 2020].
Van Nederpelt, Peter. 2015. Understanding ISO 9001:2015: Monitoring and measur-
ing. [Online] Available from https://youtu.be/gv9ES4rN2zo [Accessed on
17 June 2020].

8.14 REFERENCES
Advisera.com. 2020. ISO 9001 Blog. Monitoring and measurement: The basis for evidence-
based decisions. [Online] Available from https://advisera.com/9001academy/
blog/2014/04/15/monitoring-measurement-basis-evidence-based-
decisions/#:~:text=Monitoring%20and%20Measurement%20of%20
Product&text=The%20key%20parts%20of%20monitoring,product%20to%20
the%20acceptance%20criteria [Accessed on 16 June 2020].
Agarwal, V. 2017. What is the difference between measurement and monitoring in ISO 9001?
[Online] Available from https://www.quora.com/What-is-the-difference-
between-measurement-and-monitoring-in-ISO-9000 [Accessed on 22 January
2019].
Boyle, T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Business Dictionary. n.d. Measurement method. [Online] Available from http://www.busi-
nessdictionary.com/definition/measurement-method.html [Accessed on
15 June 2020].
IBM. 2019. Establishing monitoring activities and techniques. [Online] Available from https://
www.ibm.com/support/knowledgecenter/en/SSGMCP_5.5.0/tuning/dfht3lr.
html [Accessed on 22 January 2019].
Otieno, FAO. n.d. The role of monitoring an evaluation in projects. [Online] Available from
https://www.irbnet.de/daten/iconda/CIB8942.pdf [Accessed on 22 January
2019].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2015. SANS (ISO) 14001 – Environmental manage-
ment systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2015. SANS (ISO) 9001 – Quality management
systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2018. SANS (ISO) 45001 – Occupational health
and safety management systems – Requirements with guidance for use. Pretoria: SABS.
Work.chron.com. 2022. Monitoring techniques for management. [Online] Available
from: https://work.chron.com/monitoring-techniques-management-3959.
html. [Accessed 1 Nov 2022].

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 9 LEARNING UNIT 9
9 OTHER ELEMENTS OF OCCUPATIONAL
HEALTH AND SAFETY MANAGEMENT
SYSTEMS

9.1 LEARNING OUTCOMES

After working through this learning unit and chapter 11 in the prescribed textbook,
you should be able to
(1) outline the elements of an occupational health and safety (OHS) management
system
(2) elaborate on the impact that the needs and expectations of interested parties
has on an organisation
(3) develop a health and safety policy
(4) examine the implementation process of SANS (ISO) 45001 (2018)
(5) consider the types of documentation required in a management system
(6) summarise the operational clauses of SANS (ISO) 45001 (2018)
(7) summarise the performance evaluation clauses of SANS (ISO) 45001 (2018)

9.2 ABBREVIATIONS AND CONCEPTS

ISO International Organization for Standardization
OHSMS Occupational Health and Safety Management System
SABS South African Bureau of Standards
SANS South African National Standards
SMS Safety Management Systems

Analysis Audit
Competence Conformity
Continual improvement Documented information
Effectiveness Failure
Independence Measurement
Monitoring Needs and expectations
Operation Output
Performance Policy
Review Risk
Structured approach

9.3 INTRODUCTION
Safety management is a very diverse field and the standards and legislation that govern
it are forever changing and evolving. This means that safety management systems
as you know them today did not exist a few years ago. This learning unit will be
based on SANS (ISO) 45001 (2018) for occupational health and safety management
systems. The elements that are addressed in Boyle (2019:110) are

SMA3701/183


• needs and expectations

• policy
• Occupational Health and Safety Management System risks and opportunities
• operations
• audit
• review

Organisations have a responsibility and accountability towards their employees

to improve and protect the physical environment. The implementation of an
Occupational Health and Safety Management System will enable organisations to
prevent workplace incidents and accidents through continual improvement to ensure
a safe and healthy workplace (SABS 2018:vi).

The previous occupational health and safety assessment series, OHSAS 18000, has
been revised by the International Organization for Standardization (ISO). The new
ISO standard on occupational health and safety, known as ISO 45001 – “Occupational
Health and Safety Management Systems – Requirements for use”, was promulgated
in March 2018. The main aim of ISO 45001 (2018) is to reduce occupational injuries
and diseases.

Watch online an introduction by Quality.Com Solutions to ISO 45001 (2018), a

PDCA approach, risk-based thinking and the new Annex SL structure (9.56): https://
youtu.be/jpMzmaWKoWM.

ISO 45001 (2018) was developed to be compatible with other ISO standards such
as ISO 9001 (2015), a quality standard, and ISO 14001 (2015) an environmental
standard (figure 9.1), to facilitate the integration of all three standards into a single
organisational safety management system (SMS) that combines all related components
of an organisation.

FIGURE 9.1
ISO integrated management system triangle

Source: Shutterstock ID 1653912550

All of these standards were aligned in their layout and elements when the ISO 45001
(2018) was published and require that the needs and expectations of interested

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parties be addressed in the safety management system. We will look at the needs
and expectations of interested parties next.

9.4 NEEDS AND EXPECTATIONS

Understanding the needs and expectations of interested parties (figure 9.2) is a
new clause that is found in the safety-related ISO 45001 standard. It requires an
organisation to identify these parties, as well as the relevant requirements of these
parties. The needs and expectations clause consider two categories of interested
parties, namely workers and other interested parties (Boyle 2019:110). Figure 9.2
below highlights a few needs and expectations of interested parties.

FIGURE 9.2
Needs and expectations of interested parties

Source: Shutterstock ID 270811517

An employee or a worker is a person who conducts task and activities within an

organisation and, as such, it is expected of the employer to understand the needs and
expectations of each employee. This requirement does not stop at the employee, but
also requires the organisation to determine the needs and expectations of stakeholders,
customers and other interested parties (Boyle 2019:110).

Other interested parties will be anyone else who is impacted in any way by the
activities of the organisation. To determine the relevance of an interested party or
its requirements, an organisation must evaluate whether the interested party, or their
requirements, affect the organisation’s ability to achieve the performance goals of the
management system. If it does affect the organisation’s management system, their
needs and expectations must be incorporated into every aspect of the management
system (ISO9001help 2019). It is very important to identify which of the identified
requirements will become compliance obligations. Compliance obligations might
include (ISO9001help 2019)
• the relevant legal requirements
SMA3701/185


• organisational requirements from top management

• all relevant requirements that the organisation chooses to comply with

Watch online to determine the needs and expectations of interested parties, as

explained by PKP & Associates (2.17): https://youtu.be/eQwzFsXf8dE.

STUDY

Boyle (2019:110) and ensure that you know how the needs of interested and
affected parties impact an organisation.

ACTIVITY 9.1: NEEDS AND EXPECTATIONS

Review figure 9.2 and identify at least six of the needs and expectations of
interested parties.

9.5 POLICY
Every organisation must have a health and safety policy, but where does this
requirement come from? Quite simply, it is a legal requirement to have a health
and safety policy in an organisation where there are more than five employees
(Elliswhittam 2020). Now that we know that we need a health and safety policy, we
have to look at what a health and safety policy is.

Watch online to learn from Tech·WHYS what a safety policy is (0.36): https://
youtu.be/cuhc1weJnQk.

As we saw from the video, a health and safety policy is a document compiled by the
organisation that states the company’s commitment to the protection of the health
and safety of employees and anyone that might be affected by its operations. A health
and safety policy should include the following:
• A statement of intent – this details how the organisation intends to meet its health
and safety requirements and how it will manage health and safety issues. It also
involves setting objectives and targets.
• Health and safety roles and responsibilities – this assigns specific roles and
responsibilities to members of the organisation.
• The organisation’s arrangements for health and safety – this provides detail on
the specific systems and procedures used to implement the health and safety
policy statement (Elliswhittam 2020).

9.5.1 Developing a health and safety policy

Now that you know what a health and safety policy is and why an organisation needs
to have one, it is time to look at how to develop one. The following steps can be
followed when developing a policy:
• Identify the need. Policies are developed in anticipation of or in response to a
specific need.
• Identify who will be responsible for developing the policy. This could be a
responsible person, group or committee.

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• Collect the required information. Information is collected to ensure that you will
understand what the requirements for such a policy are and to obtain knowledge
related to any legal requirements.
• Draft the policy. The policy is drafted with the requirements in mind. Ensure
that the wording, complexity and length of the policy are suitable for its purpose
and implementation.
• Consult with employees, stakeholders, customers and interested parties. Policies are
more effective when buy-in is obtained from employees, stakeholders, customers
and interested parties.
• Finalisation and approval. Finalise the policy and obtain approval from the
relevant person/committee.
• Guidelines. Determine whether detailed guidelines are required for implementation.
• Implement. Determine the method of communicating the policy in the organisation
and whether specific training may be required for implementation.
• Monitor, review and revise. Monitor the implementation to ensure that the policy
is effectively implemented. Determine a review and revision period for the policy
(NICVS n.d.).

Watch online how to write a health & safety policy – SAMS safety snippets by Safety
& Management Solutions Ltd (3.10): https://youtu.be/8nMEjL5dKg4.

STUDY

Boyle (2019:111) and ensure that you know what needs to be included in a health
and safety policy.

Refer to SABS 2018, clause 5.2, for more information on the health and safety policy.

ACTIVITY 9.2: POLICY

You work for a local organisation, called Freedom Fencing, that manufactures
two kinds of palisade fencing. The first kind is the basic residential fencing and
the second kind is a more robust industrial-grade fencing. The organisation will
be audited soon and you have realised that there is no formal written health and
safety policy, as is legally required. The company started out small, with only three
employees, and has since expanded and now has 10 employees and additional
yards.

Download an online template and populate it with your own health and safety
policy for the organisation.

A significant change in the safety management standard is the requirement for

actions to address risks and opportunities. We will look at those requirements next.

9.6 OCCUPATIONAL HEALTH AND SAFETY RISKS AND

OPPORTUNITIES
In learning unit 3 we have dealt with risks and opportunities and now we will focus
on the actions to address these risks and opportunities. Assessing organisational risks
and controlling them have always been part of the management system, but these
requirements have been updated in SANS (ISO) 45001 (2018), which now requires
the assessment of other risks and opportunities linked to an Occupational Health

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and Safety Management System (Hammar 2018). Figure 9.3 illustrates the process
of identifying risks and opportunities using a SWOT analysis.

FIGURE 9.3
Occupational health and safety – opportunities and risks

Source: Shutterstock ID 46154884

The change in SANS (ISO) 45001 (2018), compared to OHSAS 18001 (2011), is the
importance attached to risk assessment and the assessment of opportunities. This
requires the organisation to identify its risks and opportunities, in order to be able
to (SABS 2018)
• give the assurance that the Health and Safety Management System can achieve
its intended outcomes
• prevent or reduce undesirable events and effects
• achieve the continual improvement goal and meet the relevant requirements
Actions to address risks and opportunities are divided into the following sub-classes,
each with its own requirements that must be met (SABS 2018):
• general
• hazard identification
• determination of legal and other requirements
• assessment of occupational health and safety risks
• planning for changes
• planning to take action
STUDY

Boyle (2019:111) and make sure that you understand how other risks can impact
the Occupational Health and Safety Management System. You will also need to
understand how to identify opportunities for improvement.

Watch online to gain an understanding of ISO 45001 (2018), clause 6, on planning

and actions to address risks and opportunities, as discussed by RedRisks (11.51):
https://youtu.be/xts-Lgr9lYU.

In the next section of this learning unit, we will look at the requirements for
documented information, as well as the process of creating, updating and maintaining
it.
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 LEARNING UNIT 9: Other elements of occupational health and safety management systems

9.7 DOCUMENTED INFORMATION

When an accident or incident occurs, documentation may be required when legal
proceedings take place. It is thus essential that organisations maintain complete and
effective documents. SANS (ISO) 45001 (2018) (clause 7.5) defines documented
information as a medium in which information is contained, which is used
to communicate information, provide evidence of planned actions, and share
knowledge. Documents can be found in any form or type of medium such as paper,
photographic, magnetic, electronic and master copies (SABS 2015, clause 3.8.5).

An organisation is required to maintain documented information for the purpose

of establishing a management system that includes (ISO n.d.:3)
• the scope of the managing system
• required documentation in support of the management system
• the objectives of the management system
In accordance with the Protection of Personal Information (POPI) Act No. 4 of
2013, which was promulgated for the protection of personal information, there are
additional requirements related to documented information and the safekeeping
thereof. The POPI Act No. 4 of 2013 states that records of personal information
must not be kept any longer than necessary. It also states that the responsible party
must delete or destroy a record containing personal information as soon as they are
no longer authorised to have this information. The documents must also only be
retained if required to do so by contract or by law (Gov.za, 2013).

STUDY

Boyle (2019:112) and ensure that you know what the requirements for documented
information are.

9.7.1 General requirements

The ISO standards indicate general requirements that must be met by the OHSMS,
which are:
• the documented information required by the ISO 45001 standard to which the
organisation must adhere
• the documented information deemed necessary to ensure that the organisation
has an effective OHSMS system

ISO 45001 provides an extensive note which describes why the extent of documented
information may differ between organisations. These reasons include (Boyle 2019:112):
• the nature of the organisation, for example, the size of the organisation, the nature
of its products and services, and the complexity of its processes
• the extent to which the organisation has to demonstrate fulfilment of legal
requirements other requirements
• the competence of workers, with high levels of competence reducing the need
for written work instructions

STUDY

Boyle (2019:112) and ensure that you understand the requirements under this
clause.

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9.7.2 Creating and updating documentation

In any organisation there are lots of documents like policies, procedures and work
instructions. These documents are often created by the organisation and the ISO
45001 (2018) standard requires that these documents be updated at specific intervals.
When creating and updating documented information, there are requirements for
the organisation, to ensure the appropriate (Boyle 2019:113):
• identification and description of the document – a title, date, and author or
reference number are given to each document, as examples of identification and
description
• format – language, software version and graphics are given as examples
• media – paper and electronic forms of media are given as examples
• review
• approval for suitability and adequacy by the organisation

In terms of the POPI Act No. 4 of 2013, updated documents are to be replaced and
old/redundant documents must be destroyed in a such manner that they cannot be
recreated (Gov.za 2013).

STUDY

Boyle (2019:113) and ensure that you know what the requirements for creating
and updating documented information are.

9.7.3 Control of documented information

We have looked at the kinds of information dealt with in an organisation and the
general requirements therefor. We then looked at the requirements for creating and
updating the information, and it is now time to look at how this information needs
to be controlled. It would be good business practice to adhere to the requirements
of the POPI Act No. 4 of 2013 and clause 7.5.3 in ISO 45001 (2018), which begins
with a description of the two things the control of documented information must
achieve. These are that documented information
• must be available and suitable for use, where and when it is needed, and
• must be adequately protected – for example, from loss of confidentiality, improper
use, or loss of integrity.

There is a list of activities the organisation may have to carry out to ensure the control
of documented information. These activities are related to (SABS 2018)
• the distribution of, access to, retrieval, traceability and use of the documentation
• the storage and safekeeping or preservation of documents, including their legibility
• the control of changes to documents to manage version control
• the retention and disposition of the organisation’s documents
• the prevention of access to and the unintended use of obsolete documents
• the provision of access for workers to the documents they need, whilst ensuring
confidentiality

The clause ends with the requirement that documented information of external
origin necessary for the planning and operation of the OHSMS must be identified
and controlled.

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 LEARNING UNIT 9: Other elements of occupational health and safety management systems

The POPI Act No. 4 of 2013 specifies that personal information cannot be made
public and strict confidentiality requirements are set out for such documents (Gov.
za 2013). You can research these requirements online.

Watch online a video clip related to ISO document control by CVETraining (4.32):
https://youtu.be/c8KaqG8eBVM.

STUDY

Boyle (2019:113) and ensure that you understand the requirements that must be
met when working with documented information.

ACTIVITY 9.3: DOCUMENTED INFORMATION

You are employed to implement the Occupational Health and Safety Management
System in the local VIZA clothing store, which was bought over by a local
businessman. He wants to franchise the store into a chain of clothing stores. The
store will be managed by him and he will employ members of the local community.
Their tasks will include the following:

• Offloading boxes of clothing from trucks

• Unpacking the boxes and putting the clothes on hangers and on shelves
• Steam-ironing the evening wear and formal business clothing, using an electric
steam iron
• Cleaning the store with a vacuum cleaner and a mop
• Conducting safety inspections
• Compiling monthly reports like sales and safety reports
• Assisting customers in-store with queries
• Sales

(1) In 100 to 150 words, identify and describe four types of documented
information required in an Occupational Health and Safety Management
System.
(2) Using the knowledge that you have gained from your studies, create a
document-controlled Planned Job Observation for the employees that
have to use the steam iron.

Feedback will be given online.

Organisations need to manage their operations to meet the requirements set out in
the ISO standards. We take a look at this in the next section.

9.8 OPERATIONS
Effective operational control is a critical factor in any health and safety management
system, particularly in terms of managing contractors (Advisera.com 2019). The
operations section of the ISO standards relates to the operational control of an
organisation. It stipulates the specific requirements for planning, implementing,
controlling and maintaining the processes needed to meet the requirements of the
Occupational Health and Safety Management System. Operational controls and
emergency preparedness and response are addressed in clause 8 of these standards
(Advisera.com, 2019).

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After the review, this clause became more specific about outsourcing and procurement
management. This means that organisations must ensure that the responsibility for
risk is retained by management. This risk cannot be passed on to contractors. If
an organisation can implement the requirements of this clause successfully, it will
greatly benefit the organisation (Advisera.com 2018). In SANS (ISO) 45001 (2018),
clause 8, operational aspects dealt with include (SABS 2018:15–17):
• Clause 8.1 Operational planning and control
• Clause 8.1.1 General aspects
• Clause 8.1.2 Eliminating hazards and reducing Occupational Health and Safety
risks
• Clause 8.1.3 Management of change
• Clause 8.1.4 Procurement
• Clause 8.2 Emergency preparedness and response

STUDY

Boyle (2019:114) and ensure that you know what the requirements for operations are.

Refer to SANS (ISO) 45001 (2018:17–19) for more information on operations.

Watch online ISO 45001 (2018) clause 8 requirements for Operation, by RedRisks
(6.15): https://youtu.be/0yP-oGbtwFY.

The next section of this learning unit will be focusing on audits. We will look at
what an audit is, what pre-defined standards need to be considered, what the output
of audits are and what must be done with the output. The approach to be used and
what is required of the auditor to ensure an effective audit, will also be examined.

9.9 AUDIT
The term “audit” in occupational health and safety can mean a number of things. For
this reason, SANS (ISO) 45001 (2018) defines an audit as an independent, systematic
and documented process used to obtain objective, credible evidence to determine the
extent to which an organisation has fulfilled its criteria (objectives) (Boyle 2019:114).
An audit is conducted to ensure that all the requirements have been met successfully.
It is also utilised to identify any shortcomings in the safety management system.
Such non-conformities are addressed in the form of an investigation to identify the
root causes, and then the corrective actions that have been identified are actioned
as part of the normal non-conformities process.

In SANS (ISO) 45001 (2018), clause 9 deals with aspects of performance evaluation
(SABS 2018:19–21):
• Clause 9.1 Monitoring, measurements, analysis, performance evaluation
and compliance evaluation
• Clause 9.2 Internal audits and audit programmes
• Clause 9.3 Management review

Watch online the audit process, as explained by Edspira (6.41): https://youtu.be/

cODdJvE1RCE.

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9.9.1 Pre-defined standards

As explained in the previous section, an audit evaluates whether the organisation
meets the requirements set out in the pre-defined standards. These pre-defined
standards include:
• Legislation – Organisations need to satisfy all relevant legal requirements. This
includes local, provincial and national legislation that have a bearing on the
organisation’s activities.
• Good practice – There are codes of good practice or good practice standards,
like the ISO standards, against which the business is evaluated during an audit.
• The organisation’s own standards – Organisations should have their own written
standards for all relevant aspects of their HSMS. Auditors audit the organisation
against these internal standards to check whether these standards are being met
(Boyle 2019:114). Figure 9.4 below illustrates the audit process conducted against
pre-defined standards.

FIGURE 9.4
Auditing against pre-defined standards

Shutterstock ID 685739119

Watch online to see @BestPracticeTV’s explanation of what is an ISO 45001 audit

is (1.13): https://youtu.be/CDm4fi9_f8E.

After every audit, a report is written that commends strengths and provides suggestions
for remedying identified weaknesses. This is referred to as the output of an audit. This
output needs to be an accurate description of the extent to which the organisation
meets the requirements of their Health and Safety Management System. The report
should also provide recommended corrective actions and the required time frame
within which they must be completed (Boyle 2019:115)

Watch online the video by Enny Angela on the audit report as the final stage of an
audit (4.48): https://youtu.be/rN_SCW9qB3g.This video is centred on a financial
audit report, but health and safety audit reports follow the same principles.

Let’s watch another video on audit reports related to the international standards
on auditing – Auditor’s Report | International Standards on Auditing, by Fawad
Siddiqui (5.35): https://youtu.be/kGIoPXhnj_E.

9.9.2 Structured approach

An audit needs to cover all the requirements provided for a health and safety
management system, as set out in the ISO 45001 (2018) standard. There are various
ways to ensure that an audit is conducted with a structured approach. A structured

SMA3701/193


approach ensures that the entire system can be reviewed on a sample basis, without
missing any of the elements.

Sample audits provide valuable data on the actual circumstances in the sample which
has been audited. It is important that representative samples must be chosen in order
to provide an accurate picture of compliance in the organisation. The sample findings
can then be generalised to the remainder of the organisation (Boyle 2019:115).

Watch online the kinds of audit approaches to collect evidence, by Edspira (6.38):
https://youtu.be/1KAo8Y-k-jY.

9.9.3 Independence
An audit provides an opportunity to take a fresh look at a system and identify possible
areas of improvement. Audits identify strengths and weaknesses.

To provide a fair opportunity for a successful audit to take place, it is critical that
the auditors should be independent of the auditees, to prevent any influencing of
the audit outcome. This is why, in a lot of organisations, one function will audit
another, and in some organisations, you will even find an independent auditing team
responsible for audits across the organisation.

Boyle (2019:116) lists the following as possible options to ensure an independent audit:
• Audit by an external agency with no vested interest in the outcome. This
could be a health and safety audit done by the Health and Safety Executive (HSE)
or one of the certification auditing organisations. Within the South African
context, the safety audit can be done by the Department of Labour or an external,
appointed contractor.
• Audit by insurance companies. These audits are conducted for the benefit of the
insurance company, although the results may also be of value to the organisation
being audited in the form of reduced insurance premiums.
• Audit by commissioned consultants. These audits can be totally independent,
but possibly less critical than is necessary, to ensure follow-up business.
• Audit by in-house audit teams. These teams can be totally independent, but
since they report into the same organisation at a high level, there is a possibility
that influence can be brought to bear on auditors to be less critical than the
situation warrants.
• Managers auditing other managers. These audits can be successful, but there is
always the possibility of collusion between managers to make their areas look good

In larger organisations, over a period of time, it is likely that all of these types of
auditing will be used and this is to be encouraged. The more people looking at the
operation, the better. Fresh eyes can look at the system from slightly different points
of view (Boyle 2019:116).

Watch online the video on auditor independence which centres around a financial
audit, but the principles for health and safety audits are the same – What is an
independent opinion in auditing? https://youtu.be/o0klD5Q95L0.

STUDY

Boyle (2019:116) and make sure that you understand how to verify that an auditor is
independent. You also need to know what the importance of this independence is.

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9.9.4 Competence
An audit can only be successful if it is conducted by a competent auditor. This means
that the auditor must be competent in the auditing process and must be well-versed
in the requirements that are to be audited (Boyle 2019:116). As you can imagine,
an employee armed with a checklist who has no prior training in auditing can miss
significant detail, which will impact the results of the assessment. An audit needs
to be objectively done by an auditor who is a subject matter expert with expertise
in auditing (Boyle 2019:16).

Watch online the video on auditor competence, ISO auditing field, by Doctor ISO
(6.59): https://youtu.be/p0wojWrtrlM.

STUDY

Boyle (2019:114–116) and ensure that you understand the requirements set out
for audits and for auditors.

The results of an audit must be included in the management review process, which
we will discuss next.

9.10 MANAGEMENT REVIEW

Management review is a very important process in an organisation. It is where the
effectiveness, adequacy and suitability of the management system in its entirety is
reviewed. Any shortcomings identified by the organisation are actioned in the non-
conformance system, which ensures continual improvement. When referring to an
Occupational Health and Safety Management System, the action of review can be
interpreted in two ways (Boyle 2019:116):
• Reviewing in the sense of looking at what is there and formulating an opinion
• Re-viewing in the sense of looking at aspects of the SMS and highlighting
opportunities for improvement and possible corrective actions

STUDY

Boyle (2019:116) and ensure that you know what it means to review the management
system.

Watch online the video on ISO 45001 (2018), clause 9.3, Management review –
integrated management review process, by Quality.Com Solutions (6.13): https://
youtu.be/s-T1cRU6E_c.

9.10.1 The importance of a review

It is important that the Occupational Health and Safety Management System of an
organisation be reviewed frequently. A review is conducted to give an organisation
feedback regarding its systems and assists in its drive for continuous improvement. In
the case of a management review, the entire system is reviewed to see if it is effective,
adequate and suitable for the organisation (Boyle 2019:117). Figure 9.5 illustrates the
management review process.

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FIGURE 9.5
The Management Review Process

Source: Shutterstock ID 1402504487

9.10.2 Closing the feedback loop

To ensure the sustainability, success and control of any system in an organisation,
it is critical to ensure that the feedback loop is closed. The output of the system is
measured and used to determine what is required as next steps. This means that
whatever is reviewed, must be reported on and all corrective actions required must
be actioned. If the feedback loop is not closed, corrective actions are noted but not
actioned and this can lead to serious consequences for any organisation.

The aspects of a management review on a SMS can be found in SANS (ISO) 45001
(2018:21, clause 9.3).

9.10.2.1 Continual improvement

The world we live in is forever evolving, changing and improving in all respects. Just
look at how cellphones have evolved into smart phones. This is a good thing, but it
also means that if we do not keep up with change, there is a real possibility that we
might get left behind or fall short of requirements. For this reason, organisations need
to frequently review their management systems and activities to identify possible areas
of improvement. This includes changing processes or implementing new computer
software to enhance results and output. This process of reviewing and improving
is referred to as continual improvement and is required by the ISO 45001 (2018),
as well as various other ISO standards. If this process is not managed properly, the
system can deteriorate to the point of collapse (Boyle 2019:118).

STUDY

Boyle (2019:117–119) and ensure that you understand the management review
process.

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 9.10.3 The functions of a review
Now that we have considered what a review means and the importance thereof in an
organisation, let’s look at what the purpose and functions of such a review process
is. A review has a number of different functions, as set out in Boyle (2019:119):
• It checks that each of the individual elements of the HSMS is functioning as the
organisation has intended it to.
• It checks that the entire HSMS, as a whole, is functioning as intended.
• It ensures that data analysis is having the intended effect.
• It sets out to look for improvement opportunities for what is currently being done.
• It checks that what is being done now is still appropriate and adequate.
STUDY

Boyle (2019:117) and ensure that you understand the functions of a review.

9.10.4 Analysis of combined data

A lot of data is usually available for analysis after the management review and it is
important when data is analysed, that loss and conformity monitoring data is included.
The loss data will indicate the number and severity of losses or failures that have
occurred. The conformity data is a measure of how well risk control measures are
working and maintained (Boyle 2019:119). After all the data has been evaluated in
the management review, a call is made on whether the management systems are
effective, adequate and suitable. If the analysis reveals shortcomings, they are actioned,
resulting in continual improvement as specified by the standards.

Watch online the video on the data analysis process, by White Crane Education 2015
(5:38): https://youtu.be/7iITlZ2eir0?list=TLPQMDUwNzIwMjDKUnOIp40uog.

9.11 OTHER POINTS ON REVIEW

In accordance with the ISO standards, every organisation should have its own written
standards for review. These standards should cover issues such as the following:
• Who will carry out the reviews and with what frequency? ISO 45001 requires
reviews by top management “at planned intervals” and typically this is once or
twice per year.
• The procedures to be used for review. What kind of process will be followed to
review all the information presented?
• The output from the review. What will be done with the results of the management
review?

This review process can be an extremely powerful management tool (Boyle 2019:120).

STUDY

Boyle (2019:117–120) and ensure that you understand the management review
process.

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ACTIVITY 9.4: MANAGEMENT REVIEW

From the knowledge that you have gained in this learning unit, prepare an agenda
for the management review meeting of the organisation Freedom Fencing, or for
an organisation that you have researched online.

Feedback will be given online.

9.12 SUMMARY
SANS (ISO) 45001 (2018) requires that an organisation determine both internal and
external aspects that could affect the organisation’s ability to achieve its intended
outcomes. This learning unit addressed aspects of SANS (ISO) 45001 (2018) in
relation to developing a safety management system (SMS). It must thus be read
in combination with SANS (ISO) 45001 (2018).

9.13 SELF-ASSESSMENT QUESTIONS

(1) List the Occupational Health and Safety (OHS) Management System elements.
(2) Discuss the needs and expectations of an organisation.
(3) Examine and discuss the aspects of risk profiling.
(4) Explain the differences between risk profiling and risk assessment.
(5) What steps are used when developing a risk profile?
(6) What steps are used when developing policy?
(7) Elaborate on the implementation process of SANS (ISO) 45001 (2018).
(8) What documents are required in a management system?
(9) Give a short outline of the operational clauses of SANS (ISO) 45001 (2018).
(10) Give a short summary of the performance evaluation clauses of SANS (ISO)
45001 (2018).

9.14 RECOMMENDED READING

SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2015. SANS (ISO) 14001 – Environmental manage-
ment systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2015. SANS (ISO) 9001 – Quality management
systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2018. SANS (ISO) 45001 – Occupational health
and safety management systems – Requirements with guidance for use. Pretoria: SABS.

9.15 OTHER VIDEOS OF INTEREST

@BestPracticeTV. 2018. What is an ISO 45001 audit? [Online] Available from https://
youtu.be/CDm4fi9_f8E [Accessed on 3 July 2020].
CVETraining. 2011. ISO: Control of documents. [Online] Available from https://youtu.
be/c8KaqG8eBVM [Accessed on 3 July 2020].
Doctor ISO. 2019. Auditor competence – 2019 03 28 | ISO auditing field. [Online] Avail-
able from https://youtu.be/p0wojWrtrlM [Accessed on 4 July 2020].
Edspira. 2019. 9 Types of audit procedures and evidence. [Online] Available from https://
youtu.be/1KAo8Y-k-jY [Accessed on 3 July 2020].

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 LEARNING UNIT 9: Other elements of occupational health and safety management systems

Edspira. 2019. The audit process. [Online] Available from https://youtu.be/cOD-

dJvE1RCE [Accessed on 3 July 2020].
Enny Angela. 2014. Audit report [Online] Available from https://youtu.be/rN_
SCW9qB3g [Accessed on 4 July 2020].
Fawad Siddiqui. 2020. Auditor’s report | International Standards on Auditing. [Online]
Available from https://youtu.be/kGIoPXhnj_E [Accessed on 14 July 2020].
PKP & Associates. 2019. Determining the needs and expectations of interested parties. [Online]
Available from https://youtu.be/eQwzFsXf8dE [Accessed on 3 July 2020].
Quality.Com Solutions. 2019. Introduction to ISO 45001:2018 PDCA approach, risk-based
thinking and the new Annex SL structure. [Online] Available from https://youtu.
be/jpMzmaWKoWM [Accessed on 4 July 2020].
Quality.Com Solutions. 2019. ISO Clause 9.3 Management review – Integrated management
review process. [Online] Available from https://youtu.be/s-T1cRU6E_c [Accessed
on 4 July 2020].
RedRisks. 2019. 04: ISO 45001 Clause 6 Requirements – Planning. [Online] Available
from https://youtu.be/xts-Lgr9lYU [Accessed on 3 July 2020].
RedRisks. 2019. 06: ISO 45001 Clause 8 Requirements – Operation. [Online] Available
from https://youtu.be/0yP-oGbtwFY [Accessed on 3 July 2020].
Safety & Management Solutions Ltd. 2019. How to write a health and safety policy – SAMS
safety snippets. [Online] Available from https://youtu.be/8nMEjL5dKg4 [Ac-
cessed on 3 July 2020].
Tech WHYS. 2019. What is a safety policy? [Online] Available from https://youtu.be/
cuhc1weJnQk [Accessed on 3 July 2020].

9.16 REFERENCES
Advisera.com. page 89, 2018. Diagram of ISO 45011 implementation process. [Online]
Available from http://info.advisera.com/45001academy/free-download/di-
agram-of-iso-45001-implementation-process [Accessed on 23 January 2019].
Advisera.com. 2019. ISO 45001 Requirements and structure. [Online] Available from
https://advisera.com/45001academy/blog/2019/02/05/iso-45001-require-
ments-and-structure/ [Accessed on 3 July 2020].
Annesx SL. 2018. ISO 45001:2018 Part 2. Hazard identification and elimination risk.
[Online] Available from https://www.youtube.com/watch?v=0LiBs43qPKw.
[Accessed 3 July 2020].
Boyle, T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Elliswhittam. n.d.; 2020. What to include in a health and safety policy. [Online] Available
from https://elliswhittam.com/blog/health-safety-policy-include/ [Accessed
on 3 July 2020].
Gov.za. 2013. Protection of personal information Act. [Online] Available from
https://www.gov.za/documents/protection-personal-information-act. [Ac-
cessed on 3 July 2020].
Hammar, M. 2018. What are the new requirements for risks and opportunities according to
ISO 45001? [Online] Available from https://advisera.com/45001academy/
blog/2018/04/25/what-are-the-new-requirements-for-risks-and-opportunities-
according-to-iso-45001/ [Accessed on 23 January 2019].
ISO. International Organization for Standardization. n.d. Guidance on the requirements
for documented information of ISO 9001:2015. [Online] Available from https://
www.iso.org/iso/documented_information.pdf [Accessed on 23 January 2018].
ISO9001help.co.uk. 2019. Management system guidance. [Online] Available from https://
www.iso9001help.co.uk/4.2%20Interested%20Parties.html [Accessed on
2 July 2020].

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KirkpatrickPrice. 2019. What is an independent opinion in auditing? [Online] Available

from https://youtu.be/o0klD5Q95L0.
NICVS. n.d. How to develop policies and procedures. [Online] Available from
http://www.diycommitteeguide.org/resource/how-to-develop-policies-and-
procedures [Accessed on 23 January 2019].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2015. SANS (ISO) 14001 – Environmental manage-
ment systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2015. SANS (ISO) 9001 – Quality management
systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2018. SANS (ISO) 45001 – Occupational health
and safety management systems – Requirements with guidance for use. Pretoria: SABS.
South African Government. 2013. Protection of Personal Information Act No. 4 of 2013.
[Online] Available from https://www.gov.za/documents/protection-personal-
information-act [Accessed on 3 July 2020].
White crane analysis process. 2015. Data analysis process. [Online] Availably from:
https://www.youtube.com/watch?v=7iITlZ2eir0&list=TLPQMDUwNzIw
MjDKUnOIp40uog. [Accessed on 3 July 2020].

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 10 LEARNING UNIT 10
10 COMMUNICATION AND TRAINING

10.1 LEARNING OUTCOMES

After working through this learning unit and chapter 12 in the prescribed textbook,
you should be able to
(1) examine the communication process and refer to the sender-message-channel-
receiver (SMCR) model of communication
(2) explain the method of communication and feedback
(3) explain the importance of effective communication in the workplace and list
the requirements to maintain effective communication
(4) identify and explain barriers to communication
(5) explain the role of communication media
(6) discuss legal and other requirements that govern the communication process
(7) list the steps used by organisations to transform their training and develop-
ment programmes
(8) outline the five basic objectives of training
(9) examine the advantages of training and development programmes
(10) define competence and vocational standards
(11) discuss the basic principles of training
(12) conduct a training needs analysis
(13) expand on professional competency in health and safety

10.2 ABBREVIATIONS AND CONCEPTS

INSHPO International Network of Safety and Health Practitioner Organisations
ISO International Organization for Standardization
POPI act Protection of Personal Information (POPI) Act No. 4 of 2013
SABS South African Bureau of Standards
SANS South African National Standards
SMS Safety Management Systems

Analysis Competence
Effectiveness Failure
Measurement Media
Operation Performance
Pitfalls Policy
Review Risk

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10.3 INTRODUCTION
The primary role of a health and safety professional is to advise management and
members of the organisation about OHS risks in the workplace. If the risks are not
clearly communicated and not properly understood, it can have a negative impact
on the organisation.

Let’s look at the following scenario. A health and safety professional researches
a new type of cut-resistant glove that will work very well for the tasks that the
organisation needs to execute. The health and safety professional tries to bring this
to management’s attention, but wavers and walks away instead. The next afternoon,
an injury occurs where a worker sustains a cut to his hand, which could have been
prevented if there were effective communication.

This means that health and safety professionals require effective communication
skills to convey important messages. In this learning unit we will consider the aspects
of communication, as well as training needs, expectations and competency. Let’s
start off with communication skills and the communication process.

10.4 COMMUNICATION SKILLS

Communication is the way in which one person imparts information to another. It
takes place by means of verbal, non-verbal, written and emotional communication.
Communication may also take place under difficult circumstances, such as
the communication that takes place when learning from accidents after a fatality or
serious accident at work, or when communicating news of significant organisational
change.

ACTIVITY 10.1: COMMUNICATION SKILLS

Suppose a serious incident has occurred at your workplace, where a worker was
pulled into a conveyor-belt system and was severely injured. As the occupational
health and safety professional, you are expected to take immediate action and to
inform others. Consider the following:
• Who needs to be informed?
• How will you convey the message?
• What should you say about it?
• How will you report this to the other workers?
• How should the incident be communicated to the media?

You might not have answers for all of these questions now, but I think you will
agree that poor communication can have serious consequences. Therefore, it is
important for occupational health and safety professionals to be aware of how
they communicate information to others. In the same way, effective communication
and training can also prevent accidents in the workplace.

The communication process involves a message being sent from one person to
another person, who receives the message and acknowledges it by means of
feedback. Every person encodes messages on a daily basis when transferring
thoughts into spoken words.

A message is encoded by the sender with the audience as well as the communication
channel used in mind. Encoding requires the use of appropriate language and

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an effective medium to convey the message, and also requires anticipating

any misunderstandings and barriers. Effective encoding is an essential skill for
effective communication (Skillsyouneed.com 2019a).

The decoding of messages by the receiver takes place in different ways, depending
on communication barriers, the receiver’s understanding and experience of the
content of the message sent, the person’s psychological state of mind, and the time
and place. Understanding these factors that may lead to potential misunderstandings
when decoding a message contributes to the art of successful communication.
Berlo developed a model of communication known as the SMCR (Sender-Message-
Channel-Receiver) model. This model explains the communication process in its
simplest form. The four elements of SMCR are each influenced by various factors.
This is why good communication skills are so critical to the communication process.
It is important to note that problems, such as disruptions and noise, may obstruct
proper communication (Toolshero 2019). Let’s take a look at the SMCR elements,
as illustrated in figure 10.1:
• Sender – The sender is the person who creates the message and sends it to
the receiver.
• Message – The message is the information, or the message being sent from
the sender. This can be in any form and can be presented via any form
of communications medium.
• Channel – The channel is the medium that is used to send the message from
the sender to the receiver. The medium must be able to be recognised by the
receiver’s sensory system, like written channels that can be seen.
• Receiver – The receiver is the person to whom the message is being sent and
who decodes the message.

FIGURE 10.1
Communication process

Source: Shutterstock ID 218106466

Watch online the Basic SMCR communication model, explained by Patricia Jenkinson
(4.58): https://youtu.be/yUGW2d6nXe0.

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How well the source encodes the message to be clear and easily understandable by
the receiver is the communication skill that we talk about in this learning unit. Now
that you are familiar with the communication process, let’s continue to look at the
concept of effective communication.

10.4.1 Effective communication

Effective communication has been explained as how well the sender encodes the
message that is sent to the receiver. If the message is not encoded very well, it can
create confusion and misdirection. A good practice is to ask for feedback from the
receiver to ensure that the message is understood clearly and interpreted correctly.
It is very important that communication barriers be removed or kept to a minimum.
We will look at these concepts in this section of the learning unit.

15 DISCUSSION 10.1: EFFECTIVE COMMUNICATION

Discuss with your fellow students why effective communication is important in OHS.

Feedback will be given online.

Boyle (2019:122) lists the following steps as being required if health and safety
professionals are to maintain effective communication:
• Identify the target audience.
• Identify what the target audience has to do.
• If necessary, identify the resources required to implement the actions.
• If possible, predict likely reactions and take pre-emptive action.
• Decide on an appropriate medium for the communication.
• Communicate using the chosen medium or media.
• Monitor the effects of the communication – this refers to feedback from the
receiver to ensure that the message is understood as was intended.

Watch online the reasons to master communications and media. Watch from the
beginning up to (1.12) to see the 14 reasons why everyone needs to master communications
and media, as presented by Monash University Malaysia (1.54): https://youtu.be/
WQhctu_fCh0.

Feedback is an important part of the communication process. It is a means of

assessing whether the message was correctly decoded and received. It will show
if the communication has been effectively heard, understood and accepted by the
receiver. The receiver will need to provide clear and direct feedback to the sender,
and this, in turn, requires feedback skills. Feedback skills can be developed by using
the following guidelines/rules (Skillsyouneed.com 2019b):
• Feedback is about behaviour and not personalities.
• Feedback describes the effect that someone’s behaviour has on you.
• Feedback is specific.
• Feedback should be given timeously.
• Pick the right time to give feedback.
Watch online the video on how to provide effective feedback in the video clip The
secret to giving great feedback; The way we work, in the TED Talks series (5.01):
https://youtu.be/wtl5UrrgU8c.

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Watch online the video on safety communication in the workplace that demonstrates
many different safety communication ideas, by Bryan McWhorter 2017 (4.44): https://
youtu.be/AxHcj8PLbSU.

ACTIVITY 10.2: EFFECTIVE COMMUNICATION

Watch the video clip on safety communication above, and in 100 to 150 words
identify ways to communicate safety in the workplace.

A number of communication barriers may occur at any time during the communication
process and effective communication involves overcoming these barriers. Common
barriers to effective communication are (Skillsyouneed.com 2019b):
• unnecessary use of jargon, unfamiliar, complicated and technical terminology
• emotional barriers
• taboos (difficult topics such as politics, religion, racism and sexuality)
• distractions
• lack of interest and attention
• irrelevance to the receiver
• different viewpoints and perspectives
• physical disabilities such as loss of hearing or speech impairments
• language barriers and difficulty in understanding accents
• expectations and stereo-typing, which may result in false assumptions
• cultural differences

Watch online the 10 barriers to effective communication, by Young Entrepreneurs

Forum (3.02): https://youtu.be/slq1nAhZuqE.

Now that we have looked at effective communication, it is time to consider how to

present the information that must be shared. This refers to deciding on and selecting
the relevant communication media options. We will look at this next.

10.4.2 Communication media

In this day and age, we are no longer reliant on old-fashioned face-to-face communication
alone. There are many new ways to communicate, thanks to the development of
business tools like email and instant-messaging platforms, as well as surveys and
training that can be done online (Boyle 2019:123). During the 2020 Covid‑19 national
lockdown, most organisations resorted to using digital meeting platforms like Zoom,
Skype and Microsoft Teams. Figure 10.2 below illustrates the communication media
available to get our message out.

FIGURE 10.2
Communication media

Source: Shutterstock ID:724574137

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Boyle (2019:123) lists two kinds of communication methods, namely written

and oral/verbal communication. We are also introduced to interactive and
non-interactive communication. With the internet now being available,
written communication can also be interactive, in the form of surveys, checklists or even
online study courses where assignments are done online. Interactive communication
refers to communication where there is an exchange of ideas and the participants
are actively engaged with one another. Non-interactive communication refers
to communication that works one way. This will be in the form of, for example,
safety posters – communication that can only be read and not interacted with. No
input from the receiver is required.

Bookstores have a lot of management books and research material available

on effective communication that can greatly assist individuals to enhance
their communication skills. If you want to get your message across, you need to
know how to package it, so that it can be interpreted correctly by your audience.
This is not as easy as it sounds, and this additional information can greatly benefit
an individual and an organisation in turn (Boyle 2019:123).

Watch online the role of communications media (Social Science, Iken School)
(English audio), by Iken School (2.48): https://youtu.be/eQDNvOgVDYw.

ACTIVITY 10.3 COMMUNICATION MEDIA

You are employed in the Health and Safety Department of an organisation that
erects scaffolding and conducts different kinds of work that is done at heights. A
job order was received to erect scaffolding at a construction site. The hazards of
this task include
• sharp edges
• falling objects
• pinch points
• heavy objects

Using this specified information and the knowledge gained about communications
media to create a safety topic that the supervisor can discuss with the team.

Indicate how you would ensure that the safety topic discussed by the supervisor has
been effectively communicated.

Let’s look at the legal and other requirements linked to communication next.

10.4.3 Legal and other requirements

In many countries there is legislation like the Protection of Personal Information
(POPI) Act No. 04 of 2013 that governs what one is allowed to communicate to
whom. Contraventions of these regulations can have serious consequences for the
individuals that publish or distribute information illegally.

The Health and Safety Management System requires a lot of effective communication
to take place on various topics and across the organisation. It is therefore very
important that all the legal and other requirements, like those imposed by the ISO
standards and the organisation’s own requirements, be met. Let’s look at what the

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SANS (ISO) 45001 (2018), SANS (ISO) 14001 (2015), SANS (ISO) 9001 (2015) and
SANS (ISO) 31000 (2019) standards require under their communication clauses.

The organisation shall determine the need for internal and external communications
relevant to its management systems, including (SABS 2018):
• deciding what information to share: what, when, with whom, how it will communicate
• how it will receive and maintain documented information, and respond to
relevant communications
• the objectives it wishes to achieve by informing and communicating and the
evaluation on whether those objectives were achieved
• considering diversity aspects when it decides on its information and communication
needs

Watch online the video on ISO 9001 (2015) communication requirements, clause
7.4, by LH Consulting (6.40): https://youtu.be/DalFwXrneUU

STUDY

Boyle (2019:123–125) and ensure that you understand the requirements for
effective communication.

The next section of this learning unit explores training and the role that communication
plays.

10.5 TRAINING
The OHS Act No. 85 of 1993 requires the employer to provide the training required
to keep employees and the workplace safe. The legal appointment structure provided
by the OHS Act No. 85 of 1993 determines that managers are responsible for
executing this function. This means that they are regarded as being legally, ethically
and financially responsible for health and safety. Not all mangers are sufficiently
trained to take up these responsibilities, which is why they rely on their health and
safety professionals to provide safety training in the organisation (Boyle 2019:124).

Watch online the role of training in the workplace, by Sandy Joy Javier (2.04):
https://youtu.be/dyMckGTRZD0.

Training programmes assist employees and managers to obtain knowledge and learn
specific skills. Effective training and development programmes help organisations
retain the correct type of employee for the job at hand. As an employee progresses in
the organisation to a better position, training and development programmes become
more important, more extensive and more specialised. Training and development
programmes are not only about retaining employees in an organisation; they are
directly linked to an organisation’s bottom line (Allencomm.com 2018).

Training and development programmes do not just happen within an organisation.

They require in-depth planning, investigation and research. The following steps in
figure 10.3 could assist an organisation to transform its training and development
programme into high-impact employee training.

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FIGURE 10.3
High-impact employee training

Source: Adapted from Allencomm.com 2018

The advantages of training and development programmes benefit organisations and

individuals. These advantages are (Allencomm.com 2018):

Organisation

• Better succession planning

• Reduced employee turnover
• Organisational profit growth

Individual
• Improved competencies
• Improved productivity
• Increased workplace responsibility
• Increased employee motivation

There are several reasons for supervisors/managers to conduct employee training.

These reasons are highlighted in figure 10.4 and include (McNamara n.d.):
• Increased job satisfaction and morale among employees
• Increased employee motivation
• Increased efficiencies in processes, resulting in financial gain
• Increased capacity to adopt new technologies and methods
• Increased innovation in strategies and products
• Reduced employee turnover
• Enhanced company image, for example, employees who are well-versed in ethics
and sensitive to diversity will reflect well on the company
• Risk management

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 LEARNING UNIT 10: Communication and training

FIGURE 10.4
Benefits of employee training

Source: Shutterstock ID 414593305

Boyle (2019:126) outlines five basic principles/guidelines related to training:

• Behavioural objectives. How the organisation would like the employees to
behave differently after attending the training
• Performance criteria. The organisation’s requirements of a particular role/job
• Range statements. Dealing with different risks related to different roles
• Training needs analysis. Identifying what people need to do and ensuring they
receive the correct training to enable them
• Pre-course assessment. Not everyone can benefit from certain types of training
and this needs to be evaluated before course attendance.

Watch online the seven steps to effective employee training and coaching, by
Stephen Goldberg (4.19): https://youtu.be/rI9oMAVa-Es.

STUDY

Boyle (2019:125–128) and ensure that you understand the requirements for
effective training.

The next section of this learning unit will set out the requirements for competence
and vocational standards.

10.6 COMPETENCE AND VOCATIONAL STANDARDS

Let’s look at what the definitions of ‘competence’ and ‘vocational standards’ are.
• Competence can be defined as having the ability to carry out a task successfully.
• Vocational standards can be defined as professional standards which define the
tasks, and the underpinning knowledge and skills required to be declared competent.
People can be awarded a qualification after they have performed a task adequately
and been assessed as doing so in a work environment.

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Watch online the video on Dual VET (Vocational Education and Training) in
Germany (English), by Bundesinstitut für Berufsbildung (BIBB) (8.00): https://
youtu.be/sXhSRoSFxuU.

Boyle (2019:127) sets out the criteria for the making of a competence judgement.
Study this section and ensure that you understand the difference between trained
and competent.

10.6.1 Health and safety competences

For an organisation to comply with the requirements of working safely and providing
a workplace that is safe and free from hazards to health, safety and the environment,
the organisation needs to know what is expected from it. This means that the
organisation must have health and safety competences across various levels. It requires
organisational competence, managerial competence and operational competence in
health and safety (Boyle 2019:128).

To ensure that an organisation has all the required competences, a training needs
analysis/competence needs analysis is carried out, all shortcomings are identified
and action is taken.

Boyle (2019:128) lists the following as the procedure to carry out this needs analysis/
specify the required organisational competencies:
• Identify the individual(s) supplying the competencies (providing the training)
on behalf of the organisation and assess whether they are qualified/competent
to do this.
• Specify the required managerial competencies.
• Identify everyone with managerial responsibilities and assess whether they have
the required competencies.
• Specify the required operational competencies.
• Determine which individuals require which operational competencies and assess
whether they have those.

Watch online the 6 steps to conducting a training needs analysis and assessment,
by Telania (4.14): https://youtu.be/-CSEtFSngLc.

ACTIVITY 10.4: TRAINING NEEDS ANALYSIS

As the health and safety professional, you are asked to advise the management
team on who should attend the general safety awareness training and who needs
to attend the more specialised permit effectiveness evaluation training course.
Perform a training needs analysis for the following employees:
• The receptionist
• The health and safety manager
• The instructor who presents the permit-to-work training
• The employees who work on the production site

If the required competencies are not in place, there are various options to ensure
that they are obtained, for instance (Boyle 2019:129)
• buying in the competencies (e.g., hiring external auditors or specialised
demolition contractors for a specific task)

110
 • recruitment (e.g., appointing a person with the required competencies, like a
health and safety or medical professional)
• placement (e.g., moving an individual to where their competency is required)
• self-development (where employees source their own mentorship or training)
• on-the-job training (where an employee is trained and assessed on a task at work)
• off-the-job training (which can take on various forms)

Most organisations have training programmes in place, but they often do not deliver
the expected results. Next, we will look at possible pitfalls that can affect the quality
and effectiveness of training programmes.

10.6.2 Inadequate resource use

Effective training requires the correct use of resources and this poses a challenge
to most organisations. There are a number of pitfalls related to training, as seen in
Boyle (2019:130):
• Failure to spend resources on adequate competence needs analysis – this results
in the training of people who do not need training or providing people with
inappropriate training.
• Failure to train senior managers in their key health and safety skills, including
setting policy and review. If managers are not clear on what is required, they will
not be able to lead the organisation effectively.
• Failure to tailor courses to meet the requirements of the population to be trained
– if training is not understood, it will not benefit anyone.
• Failure to provide skills-based courses – these courses create the required competence
in the organisation.

Watch online the video on how to avoid these health and safety training delivery
pitfalls, by Safeti (9.38): https://youtu.be/itLOotJ73xI.

10.6.3 Health and safety professionals’ competence

It speaks for itself that the people providing the training must be competent in providing
that training and must be knowledgeable on the subject matter. As was mentioned
earlier, health and safety professionals typically provide organisational competence
on a range of subjects. There have been various attempts to describe what
these competences should be, but probably the most extensive, and most influential
description, is the one produced by the International Network of Safety and Health
Practitioner Organisations (INSHPO).

INSHPO identifies two competence levels:

• OHS professionals who have a university (or equivalent) education. They tend
to be responsible for designing health and safety strategy and setting objectives
and targets.
• OHS practitioners who have a vocational education. They will be responsible for
implementing health and safety strategy and assisting in the execution of actions
that will support the organisation in the achievement of the objectives and targets.

For each of these levels, INSHPO sets out their activities and these are grouped in
a seven-dimension framework, as follows (Boyle 2019:132):
• Systems management approach
• Organisational OHS culture
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• OHS risk management processes

• Measurement and evaluation of OHS performance
• Knowledge management
• Communication, engagement and influence
• Professional and ethical practice

Watch online the video on the daily job functions of a health and safety officer
to see how these competencies are utilised (Daily job function of a #HSE/Safety
Officer? Very important for all HSE professionals), by Dilbar Vlogs (3.49): https://
youtu.be/cJAKXFB0Ca8.

The framework also sets out the skills and knowledge required to carry out these
activities.

Next, we will look at the legal and other requirements for competence.

10.6.4 Legal and other requirements for competence

It is good practice for an organisation to define what they wish to achieve with their
training programmes. They also have to consider the legislation around training
and the competence requirements set out for the courses. The standards of good
practice for occupational health and safety, such as ISO 45001 (2018), must also be
taken into account. We will look at these standard requirements next.

ISO 45001 has separate requirements for competence (clause 7.2) and awareness
(clause 7.3). The competence requirements follow the steps described in Boyle (2019),
chapter 12, which include
• determining the competences of workers that can affect OHS performance
• ensuring competence on the basis of education, training or experience
• taking action to achieve and maintain competences where necessary
• evaluating the effectiveness of the actions taken to achieve competences
There is no explicit requirement to test competence in the way described earlier
in chapter 12 (Boyle 2019), but it is difficult to see how the effectiveness of the
actions taken to achieve competences can be properly evaluated without testing
the competence of the individuals who have taken part in these actions.

ISO 45001 requires the following for employee awareness to be in place – awareness of:
• the OH&S policy
• their policy’s contribution to the effectiveness of the OH&S management system,
including the benefits of improved OH&S performance
• the implications of not conforming with the OH&S management system’s
requirements
• the OH&S objectives
• relevant incidents and the outcomes of their investigation
• relevant hazards, OH&S risks and the actions that were determined
• the ability to remove themselves from work situations that they consider present
an imminent and serious danger, and the arrangements for protecting them from
the consequences of doing so

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 LEARNING UNIT 10: Communication and training

10.7 SUMMARY
Communication is an important aspect in an organisation to ensure it effectiveness
and sustainability. The competence that can be obtained from attending effective
training has a big impact on an organisation’s resources and effectiveness. Without
effective communication and training, an organisation will not survive.

10.8 SELF-ASSESSMENT QUESTIONS

(1) Communication is a way of imparting information, conveying it from one
person to another. Discuss and illustrate the communication process.
(2) What are the rules used when developing feedback skills?
(3) List the communication barriers.
(4) Explain the role of communication media.
(5) Identify and discuss legal and other requirements that govern the communi-
cation process.
(6) Training programmes assist employees and managers to obtain knowledge
and learn specific skills. Discuss.
(7) What steps are used by an organisation to transform their training and de-
velopment programmes?
(8) Outline the five basic principles of training.
(9) Define vocational standards and competence.
(10) Carry out a training needs analysis.
(11) Elaborate on ineffective resource use.
(12) Expand on the competences required of health and safety professionals.
(13) Elaborate on the legal and other requirements for training.

10.9 RECOMMENDED READING

Basic communication model. [Online] Available from home.snu.edu/~jsmith/library/
body/v25.pdf [Accessed on 24 January 2019].
Lunenburg, FC. 2010. Communication. The process, barriers and improving effectiveness.
[Online] Available from http://www.nationalforum.com/ Electronic%20
Journal%20Volumes/ Lunenburg,%20Fred%20C,%20Communication%
20Schooling%20V1%20N1%202010.pdf [Accessed on 24 January 2019].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2015. SANS (ISO) 14001 – Environmental manage-
ment systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2018. SANS (ISO) 45001 – Occupational health
and safety management systems – Requirements with guidance for use. Pretoria: SABS.

10.10 OTHER VIDEOS OF INTEREST

Bundesinstitut für Berufsbildung (BIBB). 2017. Dual VET – Vocational education and
training in Germany (English). [Online] Available from https://youtu.be/sXh-
SRoSFxuU [Accessed on 08 July 2020].
Burns, K. 2018. Ask this one question to make safety communication clear. [Online]
Available from https://youtu.be/BDAscPtGumM [Accessed on 20 July 2020].
Communication Coach Alex Lyon. 2017. Transmission Model of Communication: Shannon
and Weaver. [Online] Available from https://youtu.be/OY1JsGFZprc [Accessed
on 22 July 2020].
Goldberg, S. 2018. The seven steps for highly effective employee training and coaching. [Online]
Available from https://youtu.be/rI9oMAVa-Es [Accessed on 8 July 2020].
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Iken School. 2016. Role of communication media – Social Science, Iken School (English audio).
[Online] Available from https://youtu.be/eQDNvOgVDYw [Accessed on
8 July 2020].
Javier, SJ. 2016. Training (HRM). [Online] Available from https://youtu.be/dyMck-
GTRZD0 [Accessed on 8 July 2020].
Jenkinson, P. 2013. Communication models: Basic SMCR model. [Online] Available from
https://youtu.be/yUGW2d6nXe0 [Accessed on 22 July 2020].
LH Consulting. 2018. Communication (ISO 9001:2015, Clause 7.4). [Online] Available
from https://youtu.be/DalFwXrneUU [Accessed on 8 July 2020].
McNamara, C. n.d. Employee training and development. Reasons and benefits.
[Online] Available from https://managementhelp.org/training/basics/reasons-
for-training.htm [Accessed on 22 July 2020].
Monash University Malaysia. 2017. 14 reasons everyone needs to master communi-
cations and media. [Online] Available from https://youtu.be/WQhctu_fCh0
[Accessed on 7 July 2020].
Omar, N. 2014. 3 Communication models: Basic SMCR model. [Online] Available
from https://youtu.be/eRXai5W91Ck [Accessed on 22 July 2020].
Safeti. 2019. Avoid these health and safety training delivery pitfalls. [Online] Available from
https://youtu.be/itLOotJ73xI [Accessed on 8 July 2020].
TED. 2020. The secret to giving great feedback | The Way We Work, a TED series. [Online]
Available from https://youtu.be/wtl5UrrgU8c [Accessed on 7 July 2020].
Telania. 2016. 6 steps to conducting a training needs analysis and assessment. [Online] Avail-
able from https://youtu.be/-CSEtFSngLc [Accessed on 8 July 2020].
Vlogs, D. 2018. Daily job function of a #HSE/Safety Officer? Very important for all HSE
professionals. [Online] Available from https://youtu.be/cJAKXFB0Ca8 [Ac-
cessed on 8 July 2020].
Young Entrepreneurs Forum. 2016. 10 barriers to effective communication. [Online] Avail-
able from https://youtu.be/slq1nAhZuqE [Accessed on 7 July 2020].

10.11 REFERENCES
Allencomm.com. 2018. What is employee training and development? [Online] Available
from https://www.allencomm.com/what-is-employee-training-development/
[Accessed on 24 January 2019].
Boyle, T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
McWhorter, B. 2017. Safety communication in the workplace. [Online] Available
from: https://www.youtube.com/watch?v=AxHcj8PLbSU. [Accessed on 22
July 2020].
SABS. See South African Bureau of Standards.
Skillsyouneed.com. 2019a. What is communication? [Online] Available from https://
www.skillsyouneed.com/ips/what-is-communication.html [Accessed on
24 January 2019].
Skillsyouneed.com. 2019b. What is effective feedback? [Online] Available from https://
www.skillsyouneed.com/ips/feedback.html [Accessed on 24 January 2019].
South African Bureau of Standards. 2015. SANS (ISO) 14001 – Environmental manage-
ment systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2015. SANS (ISO) 9001 – Quality management
systems – Requirements with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2018. SANS (ISO) 45001 – Occupational health
and safety management systems – Requirements with guidance for use. Pretoria: SABS.
Toolshero. 2019. Berlo’s SMCR model of communication. [Online] Available from https://
www.toolshero.com/communication-skills/berlos-smcr-model-of-communi-
cation/ [Accessed on 22 July 2020].
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 11 LEARNING UNIT 11
11 BASIC HUMAN FACTORS AND THE
ENVIRONMENT

11.1 LEARNING OUTCOMES

After working through this learning unit and chapter 13 to 16 in the prescribed
textbook, you should be able to
(1) outline the individual differences of a person
(2) describe the physiological and psychological factors that make us unique/
different from one another
(3) identify and describe two main sources of differences between individuals
(4) examine individual attitude, motivation, personality and intelligence in rela-
tion to individual differences
(5) examine the aspects/components of attitudes
(6) examine aspects related to changing attitudes
(7) assess the cultural factors in organisations and groups
(8) identify eight sub-divisions of society which could impact on an organisation

11.2 ABBREVIATIONS AND CONCEPTS

Attitude Behaviour
Character Difference
Emotional intelligence Group
Human factors Individual variability
Intelligence Motivation
Personality Physiological factors
Specialisms Society

11.3 INTRODUCTION
Part 1.2 of Boyle (2019:137–144) covers aspects of human differences and looks at
the anatomical differences between human beings. It is essential that, as a safety
professional, you understand that not every employee is the same and that everyone
cannot be treated the same. This learning unit will address individual differences,
individual variability and the mutuality of effects between human beings and their
physical and social environment.

The topic of human factors covers a wide range of aspects.

Chapter 13 in Boyle (2019:137) discusses these aspects in detail, namely psychology,

medicine, occupational hygiene, sociology, anthropology, ergonomics and physiology.
The primary focus of chapter 13 in Boyle (2019:137) is the effect of various factors on
employees and their environment. It is important to note that, although employees

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are affected by their external and internal work environments, they can also have
an effect on the surrounding environment.

Chapter 14 in Boyle (2019:145) discusses the physiological aspects of the sensory

and perceptual process.

Chapter 15 in Boyle (2019:175) looks at the psychological differences between

individuals.

Chapter 16 in Boyle (2019:192) looks at the human factors environment, focusing

on machines and work, groups, organisations and society. Not all of these aspects
will be dealt with in this learning unit, but all form part of your studies.

Let’s look at individual differences and what contributes to these differences.

11.4 INDIVIDUAL DIFFERENCES

As human beings, we are different: none of us are the same in character and personality,
not even identical twins. There are, however, certain common themes across the
human factors field of study. These are specialisms which involve a wide range of
scientific disciplines that explore aspects of human factors of work from various
viewpoints. Boyle (2019:137) lists these disciplines and their impact as follows:
• Psychology focuses on the physical and mental behaviour of humans/employees.
• Medicine focuses on disorders of the body and how they are to be managed/
treated.
• Occupational hygiene focuses on the effects of the work environment on the
health of employees.
• Sociology focuses on the behaviour of groups of people.
• Anthropology describes and explains behaviour in terms of biological and cultural
characteristics, focusing on cultural differences.
• Ergonomics looks at the capabilities and limitations of and interaction between
employees, their jobs/activities, machines and the environment.
• Physiology focuses on how the human body works as a mechanical and chemical
system.

Individual differences

As previously mentioned, individuals differ from each other in many ways, presenting
a range and complexity of individual differences which must be understood to be
appreciated. As human beings we are all unique. Just as we have a physical uniqueness,
we also have a physiological and psychological uniqueness. The physiological factors
that make us different form one another are (Boyle 2019:141):

• general health
• fitness
• acuity of senses
• speed of reaction
• general metabolism

Individual variability

People’s attitudes, motivations and behaviours change over time and it is essential
to take into account what the possible effects of this variability can be.

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 LEARNING UNIT 11: Basic human factors and the environment

The mutuality of effects

The physical and social environments have effects on individuals, but it must also be
remembered that individuals in turn affect their environments (Boyle 2019:137–142).

STUDY

Boyle (2019:137–143) and ensure that you understand what is covered by all of
these elements and how it relates to human factors.

Watch online the video clip about individual differences in organisations, by Gregg
Learning (1.47): https://youtu.be/xSnP9Y-5DEE.

Our physical differences are observable. However, the physiological differences such
as people’s strengths, weaknesses, personality, attitude, and intelligence are not so
easy to see. Individuals’ mental differences can be deduced from what the person
says and does. There are two essential points about an individual’s differences,
namely: (1) difference is deduced from what a person says or does in real life or in an
artificial situation, and (2) that which the person says or does is not always obvious.
Psychological differences like intelligence remain stable, but beliefs, motivation and
attitudes change over time. The main sources of individual differences are motivation,
intelligence, attitude and personality. Genetic makeup and life experiences also lead
to significant differences between individuals (Boyle 2019:175).

Watch online the importance of diversity and inclusion in the workplace and the vital
role it plays in organisations, by DuPont (2.30): https://youtu.be/uHYuDDHvU64.

ACTIVITY 11.1: INDIVIDUAL DIFFERENCES

Let’s consider employees that work in a mine. The section leader instructs the
shift leader to let his team perform one of their excavation tasks in a way that he
studied at university, instead of in the way that they usually do their excavation.
The employees’ characteristics are tabulated as follows:

Characteristic Employee A Employee B

Age 48 25

Education Grade 12 University degree

Years of experience 20 3

Job level Shift leader Section leader

Looking at the individual differences above, in 100 to 150 words, provide two
possible outcomes for this scenario.

The differences between individuals can be affected by other variables and/or

instabilities such as
• boredom, fatigue and stress
• environmental influences
• physical and mental wellbeing

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STUDY

Boyle (2019:137–186) and ensure that you know what causes individuals to be
different from one another.

The next section of this learning unit deals with the impact of attitude, motivation,
personality and intelligence.

11.5 ATTITUDES, MOTIVATION, PERSONALITY AND

INTELLIGENCE
Attitude, motivation, personality and intelligence all play a role in individual
differences. Each of these four factors is difficult to measure, as each individual has
been exposed to different things in their past (Boyle 2019:188–190).

An attitude is defined as a person’s view and commitment to support a particular

issue, like a safety value. A lot of people express the attitude that safety comes first,
but then they do not behave in a way that demonstrates how they say they feel. This
can be seen across organisations, from the task executor taking a shortcut to senior
managers not enforcing disciplinary actions for safety offences (Boyle 2019:186).

Watch online the components of attitude, behaviour, by MCAT Khan Academy

khanacademymedicine (4.58): https://youtu.be/cDq1_R-J51w.

Motivation relates to the reason why people do things. For instance: If I do the
inspection first, my manager will give me a better performance rating than the rest
of the department. This shows how motivation impacts decision-making. It is also
clear that there should be nothing that can possibly motivate people to take shortcuts
to finish a task quicker. This will have a negative impact on safety (Boyle 2019:189).

Personality is a term used to describe the general characteristics of how an individual

think and behaves. Personality measures can be based on what people say or what
they do. Personality types also have to be taken into consideration when personality
is measured (Boyle 2019:189–190).

Watch online the video clip on what personality is, by Practical Psychology (13.46):
https://youtu.be/dcsc_EsJmsA.

The question one can now ask, is what type of personality leads to workplace safety?

ACTIVITY 11.2: PERSONALITY

Research the topic above online and discuss personality, referring to the following
personality types: extraversion, agreeableness, conscientiousness, neuroticism,
and openness to experience. Your answer should be 150 to 200 words long.

Intelligence is defined as an individual’s ability to process information and deal with

abstract concepts. Intelligence can be subdivided into three categories:
• Verbal intelligence – the ability to deal with the written and spoken word
• Numerical intelligence – the ability to deal with numbers and mathematical
concepts
• Spatial intelligence – the ability to deal with the two- and three-dimensional
relationships between objects

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 LEARNING UNIT 11: Basic human factors and the environment

Watch online the discussion of nine types of intelligence (Can you Improve
Intelligence?), by Practical Psychology (8.56): https://youtu.be/iqpUuGIHfx0.

Emotional intelligence is another factor that must be considered. This is the ability
to manage emotions and influence the emotions of others (Boyle 2019:190).

Watch online the video on what emotional intelligence is, by The School of Life
(5.28): https://youtu.be/LgUCyWhJf6s.

STUDY

Boyle (2019:186–191) and ensure that you understand these concepts.

The next section of this learning unit will explore the human factors environment.

11.6 THE HUMAN FACTORS ENVIRONMENT

So far, this learning unit has explored individual and human factors, as well as
influences that have an impact on individual. The differences between individuals
were also examined. Next, we will look at aspects of the individual’s environment
and the effects thereof on the wellbeing of an individual/employee.

Chapter 16 of Boyle (2019:192) looks at the effect an individual/employee has on the

environment, specifically the work environment. The human factors affecting the
environment are work and machines, groups, individuals and society.

As a human being, you are adaptable to your environment and you do many things
over the short and long term that can negatively impact your health and safety and
mental wellbeing.

Boyle (2019:192) states that an employee, the machinery they use and the work they do
can be seen as a system. As previously discussed, a system is an abstract component
made up of a number of elements and is defined as something intended to achieve a
specific goal/objective. Using an employee within a system has the disadvantage that
employees may be utilised inappropriately and that the activity may result in injury/
disease to the employee. For example, working in an environment with high noise
levels without correct personal protective equipment (PPE) can lead to hearing loss.

The use of appropriate machine and work systems assists in ensuring that employees
are not unfavourably impacted by incorrect machine and work systems. One such
system is an ergonomics programme and assessment. Ergonomics is a process to
fit the job to the man and this needs to be approached from two angles to ensure
success. These are research ergonomics, which is the study of people and their
natural limits, and applied ergonomics, which looks at the design of machines and
work systems (Boyle 2019:194).

Watch online the video clip on human factors and ergonomics, by Trent Simulation
& Clinical Skills Centre (6.47): https://youtu.be/8Jnf1kwaDoc.

STUDY

Boyle (2019:192–197) and ensure that you understand how the employee impacts
the environment and the environment impacts the employee.

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16 DISCUSSION 11.1: E
 NVIRONMENTAL FACTORS –
ERGONOMICS

Discuss with your fellow students why you think it is important to involve employees
in an ergonomics programme.

Feedback will be given online.

ACTIVITY 11.3: ENVIRONMENTAL FACTORS – ERGONOMICS

You are the health and safety professional at a mine. Develop an ergonomics
checklist for each of the following scenarios.
• Maintenance workshop with two large workbenches where equipment is picked
up onto high, bar-stool type chairs with hard seats, and a large floor where
equipment is stored in designated areas in-between the walkways.
• Office building at the entrance area. This area contains a reception desk and
a small cabinet with a printer on it. Printing paper is stored inside the cabinet
underneath the printer. On the desk, there is a computer with a mouse and
keyboard and the reception telephone.
• Mine shaft where mining activities taking place. The activities that are taking
place include the repetitive motion of manual digging. The shaft is underground,
with artificial ventilation and lighting installed. There are also generators
operating in the area nearby.

11.7 ORGANISATIONS AND GROUPS

In this module, we concentrated on events taking place within an organisation and as
such, you should understand the structure of the organisation for risk management to
be effective. According to ISO 45001 (2018), an organisation is defined as a person
or group of people that has their unique functions, with responsibilities, authorities
and relationships designed to achieve the organisation’s objectives. From this, we can
gather that an organisation has two particular characteristics. The first one is that it
consists of people interacting with each other and the assets of the organisation. The
second characteristic is that the people inside the organisation need to be working
toward a common goal (Boyle 2019:200).

It is important to note that organisations can vary in kind. Schools, churches, and
welfare organisations are all organisations. Organisations have a formal structure,
but also include informal groups (Boyle 2019:200). Inside an organisation, there can
be many kinds of groups.

As a person, you form part of many groups, both inside and outside of the work
environment and the influence of groups and individual behaviours is essential to
risk management. These groups can be formal or informal. A group is defined as a
collection of people who consider themselves to part of a group (Boyle 2019:198). It
is important to note that an individual influences the group they fall into and is also
influenced by the group. There are a lot of groups that form part of an organisation,
each working together to achieve a specific goal. These groups include the (Heflo 2019)
• functional work team
• inter-working team
• troubleshooting team
• self-managed teams
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 LEARNING UNIT 11: Basic human factors and the environment

• project team
• task force team

These groups form in different phases, such as (Heflo 2019):

• Training – The team integrates and starts working.
• Storming – Conflicts arise, and the group starts to seek a leader and assign
responsibilities.
• Norming – Team members start to understand and form the working rules. A
leader emerges.
• Performing – Performance is now completely aimed at achieving the set goals.
• Dissolution – After the goal has been achieved, this phase is earmarked by low
motivation

Watch online the video clip on social groups, a crash course Sociology #16, by
CrashCourse (9.51): https://youtu.be/_wFZ5Dbj8DA.

Watch online the video clip on understanding group dynamics for additional
information on social groups, by St. Thomas Aquinas College (10.33): https://youtu.
be/uL6x99-VSBA.

STUDY

Boyle (2019:198–199) and ensure that you know what the group dynamic is and
how it influences individuals.

11.8 SOCIETY
Organisations do not function and operate in isolation, but form part of society.
Society is defined as a group of people who interact with each other in various ways.
Society influences how an organisation operates through legislative enforcement and
public opinion. Within society, there are several sub-divisions that may overlap, as
they are integrated with one another in different ways. It is important to understand
the overlapping and implications of these sub-divisions of society to manage risk
(Boyle 2019:210).

Watch online the video clip on culture and society, by MCAT Khan Academy
khanacademymedicine (3.26): https://youtu.be/QQsBM1dZLO4.

Boyle (2019:210) lists the following as major subdivisions of society which play a
role in health and safety and risk management:
• Legislators are the people who decide on the contents of legislation. In South
Africa, this is done by parliament, and the Occupational Health and Safety (OHS)
Act (Act 85 of 1993) governs health and safety matters.
• Enforcers are the people who enforce the legislation. In South Africa this is
primarily done by the Department of Employment and Labour (DoEL) and
other enforcing agencies in local authorities.
• Arbitrators are the people who make judgements in the case of disputes. In
South Africa they include courts, tribunals and other arbitration agencies. The
decisions made by some arbitrators have legal standing, so these arbitrators’ role
overlaps with the role of the legislators.

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• Business owners and managers include shareholders, people who own businesses
under other legal arrangements, the managers employed by owners to run their
businesses, and the self-employed.
• Organisations representing business owners and managers include the South
African Chambers of Business and various organisations representing particular
industry sectors or sizes of businesses.
• Employees are essentially everyone who works in an organisation, but it is usual
to divide them into categories, such as managerial and non-managerial.
• Organisations representing employees, which in South Africa are usually
trade unions.
• Insurance companies – Certain types of insurance are legally required, but
organisations, groups and individuals can also take out other types of insurance.
In health and safety, the compulsory nature of some types of insurance gives
insurance companies a role in risk management.
• Pressure groups is a generic description of organisations set up specifically to
promote a particular point of view. Notable pressure groups at present are those
working to save the natural environment and its flora and fauna.
• Customers and suppliers are found in most organisations and include individuals,
or contractees and contractors, but they may have different priorities and behave
differently when they switch between the different roles of customer and supplier.
• The public in effect is everyone – hence the need to discuss overlaps.

Societies are complex and are characterised by trends that impact the risk management
process. These include (Boyle 2019:211):
• the increasing standard of living of the general public
• the increasing pressure for productivity
• an increasing concern with environmental matters
• a change in the legislative goals and requirements
• relationships between contractors and contractees
STUDY

Boyle (2019:210–212) and ensure that you understand how societies are linked
to organisations and individuals.

11.9 SUMMARY
In this learning unit we covered aspects of human factors and how these are influenced
in the working environment. Although this learning unit did not go into a detailed
discussion, it is important that as a safety professional you understand the aspects of
human factors and how they affect employees. The psychological aspects of boredom,
attitude, fatigue, and stress and how these have different effects on employees
were mentioned. The last section of the learning unit dealt with the structure of
an organisation and how employees interact as groups and teams to achieve the
organisation’s goals and objectives.

11.10 SELF-ASSESSMENT QUESTIONS

(1) Examine and discuss the individual differences of a person.
(2) Explain the physiological and psychological factors that make us unique/dif-
ferent from one another.

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 LEARNING UNIT 11: Basic human factors and the environment

(3) Attitude, motivation, personality and intelligence all play a role in individual
differences. Briefly discuss each.
(4) Elaborate on the different kinds of intelligence.
(5) Elaborate on human factors in the environment (ergonomics).
(6) Identify and describe two main sources of difference between individuals.
(7) Compare the three components of attitudes.
(8) How would you go about changing attitudes in your organisation?
(9) List eight sub-divisions of society which could have an impact on an organisation.
(10) Examine how groups are formed.
(11) Assess the cultural factors that come into play in organisations and groups.
(12) Identify eight sub-divisions of society which could have an impact on an
organisation.

11.11 RECOMMENDED READING

Different types of groups. [Online] Available from https://www.tankonyvtar.hu/hu/
tartalom/tamop412A/2011-0023_Psychology/070400.scorml [Accessed on
5 February 2019].
HEFLO. 2019. Different types of work teams and how they form. [Online] Available from
https://www.heflo.com/blog/business-management/different-types-of-work-
teams/ [Accessed on 5 February 2019].
IOATWORK. 2015. Which type of personality leads to workplace safety? [Online] Available
from http://www.ioatwork.com/personality-and-workplace-safety/ [Accessed
on 31 July 2020].
QG. 2018. Four types of teams. [Online] Available from https://www.qualitygurus.com/4-
types-of-teams/ [Accessed on 5 February 2019].
Wroblewski, MT. 2018. 5 teams every organisation needs. [Online] Available from https://
smallbusiness.chron.com/5-teams-organization-needs-33992.html [Accessed
on 5 February 2019].

11.12 OTHER VIDEOS OF INTEREST

CrashCourse. 2017. Social groups: Crash course Sociolog y #16. [Online] Available from
https://youtu.be/_wFZ5Dbj8DA [Accessed on 14 July 2020].
DuPont. 2018. Diversity and inclusion in the workplace. [Online] Available from https://
youtu.be/uHYuDDHvU64 [Accessed on 15 July 2020].
Gregg Learning. 2018. Individual differences in organizations. [Online] Available from
https://youtu.be/xSnP9Y-5DEE [Accessed on 15 July 2020].
khanacademymedicine. 2014. Components of attitudes | Behavior | MCAT | Khan
Academy. [Online] Available from https://youtu.be/cDq1_R-J51w [Accessed
on 14 July 2020].
khanacademymedicine. 2014. Culture and society | Society and culture | MCAT | Khan
Academy. [Online] Available from https://youtu.be/QQsBM1dZLO4 [Accessed
on 14 July 2020].
Practical Psychology. 2019. The “9 intelligences” and fluid vs crystallized – Can you improve
intelligence? [Online] Available from https://youtu.be/iqpUuGIHfx0 [Accessed
on 31 July 2020].
Practical Psychology. 2019. What is personality? – Personality psycholog y. [Online] Available
from https://youtu.be/dcsc_EsJmsA [Accessed on 15 July 2020].
Sprouts. 2018. You think you are smart? There are 9 types of intelligence! [Online] Available
from https://youtu.be/Au0z3EtUiBg [Accessed on 14 July 2020].

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St Thomas Aquinas College. 2016. Understanding group dynamics. [Online] Available

from https://youtu.be/uL6x99-VSBA [Accessed on 31 July 2020].
The School of Life. 2017. What is emotional intelligence? [Online] Available from https://
youtu.be/LgUCyWhJf6s [Accessed on 16 July 2020].
Trent Simulation & Clinical Skills Centre. 2017. Human factors and ergonomics. [Online]
Available from https://youtu.be/8Jnf1kwaDoc [Accessed on 16 July 2020].

11.13 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.

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 12 LEARNING UNIT 12
12 MANAGEMENT SYSTEMS

12.1 LEARNING OUTCOMES

After working through this learning unit and chapter 18 in the prescribed textbook,
you should be able to
(1) summarise the different management systems and clarify the importance
thereof
(2) explain the benefits of a Management System Standard (MSS)
(3) examine the aspects of an integrated management system
(4) outline the Management Oversight and Risk Tree (MORT)
(5) summarise the European Foundation for Quality Management’s (EFQM)
fundamental concepts of excellence

12.2 ABBREVIATIONS AND CONCEPTS

EFQM European Foundation for Quality Management
ECFA Event and Causal Factor Analysis
FMEA Failure Modes and Effects Analysis
FTA Fault Tree Analysis
HSMS Health and Safety Management System
MORT Management Oversight and Risk Tree
MSS Management System Standard
OPEX Operational Excellence
SABS South African Bureau of Standards
SANS South African National Standards
SMORT Safety Management Oversight and Risk Tree

Accident investigation Human error

Management systems Risk assessment
Risk control measures

12.3 INTRODUCTION
In learning unit 2 you were introduced to ISO (SANS) 45001 (2018) as a Safety
Management System (SMS). However, there are several ISO (SANS) management
systems that are required in an organisation’s management system, such as the quality
management system found in ISO (SANS) 9001 (2015) and the environmental
management system found in ISO (SANS) 14001. As a safety professional, you must
also be knowledgeable about the risk management standards of ISO (SANS) 31000
(2009) and ISO (SANS) 31010 (2010). You will also encounter the auditing standard
of ISO (SANS) 19011 (2009) in your profession. These are all standards with specific
requirements that must be met.

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Since you are already familiar with the Safety, Quality and Environmental ISO
standards, we will now take a brief look at ISO (SANS) 31000 (2009), ISO (SANS)
31010 (2010) and ISO (SANS) 19011 (2019).

SANS (ISO) 45001 (2018) is the generic safety management standard adopted in many
organisations. As explained, there are, however, other SANS (ISO) standards that
need to be incorporated in the organisation’s management system, such as the risk
management standards of SANS (ISO) 31000 (2009) and SANS (ISO) 31010 (2010).

SANS (ISO) 31000 (2009) is the standard that sets out the requirements for risk
management, as most activities performed daily contain numerous risks which
must be managed to ensure the safe execution of tasks. This is a standard that
organisations can make use of, as the standard provides organisations with principles
and guidelines to effectively manage their risks in a systematic manner. SANS (ISO)
31000 addresses risk assessment as a structured process which forms part of risk
management. It allows organisations to identify how their objectives may be affected
and to analyse their risks in terms of consequences and probabilities, before deciding
whether further action is required.

SANS (ISO) 31010 covers a range of risk assessment techniques and outlines the
application and concepts of these techniques in greater detail. ISO 31010 (2010)
supports ISO 31000 (2009), which gives guidance on the selection and application
of risk assessment techniques. Let’s recap what risk assessment is (ISO 31010 2010:6).

SANS (ISO) 19011 addresses the guidelines for auditing management systems. It
also covers the evaluation of the competence of the individuals involved in the audit
process (i.e. the auditor and audit team members). It can also be used for other types
of audits, provided that attention is given to the specific requirements of the system
and competencies to be audited (ISO 19011 2011:1). As seen throughout the study
guide, independent, unbiased audits can greatly benefit any organisation – and this
is the standard that provides the requirements and guidelines on how to conduct
an audit.

Website of interest:

SANS standards can be purchased from the SABS at https://store.sabs.co.za/.

Let’s look at management systems in more detail.

12.4 MANAGEMENT SYSTEM OVERVIEW

As indicated in learning unit 2, ISO standards are adopted in South Africa by the
South African Bureau of Standards (SABS) as South African National Standards
(SANS) codes. A management system is a set of guidelines, processes, and procedures
developed to help organisations to achieve their goals and objectives. It assists
organisations in managing the interrelated components of the organisation to
ensure service quality, business efficiency, operational effectiveness, environmental
performance, and safety and health in the workplace (ISO.org n.d.).

The ISO Management System Standard (MSS) model was developed to guide
organisations to improve their operational and production performance through
several repeated steps in achieving their organisational goals and objectives. These
objectives are usually related to operational efficiency, the quality of products and
services, environmental performance and health and safety (ISO.org n.d.). The model

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 LEARNING UNIT 12: Management systems

relies on employee engagement and leadership commitment for the execution of its
guidelines.

Most management systems make use of the Deming cycle of Plan-Do-Check-Act

(PDCA), as illustrated in figure 12.1, where the cycle includes activities throughout a
life cycle. Looking at risk management, it starts at the planning phase, where hazards
are identified and assessed, and controls are implemented. Safety objectives are set,
and safety processes are established. The do phase refers to the implementation of
the planned processes. The check phase refers to measuring and monitoring the
safety performance results and the act phase involves identifying opportunities for
improvement and actioning these improvements.

FIGURE 12.1
Deming cycle (PDCA), ISO 45001 (2018)

Source: Adapted from Rielander 2019:54)

The benefits of an effective MSS are the following (ISO.org n.d.):

• improved financial performance
• the effective use of resources
• improved risk management
• protection of employees (health and safety) and the environment
• improved service delivery through quality services and production
• increased stakeholder and customer satisfaction
The fact that an organisation has implemented an MSS does not guarantee
effectiveness. Effectiveness can be verified by conducting an audit and obtaining
certification from a certification body (Boyle 2019:218) The South African National
Accreditation System (SANAS) or DQS South Africa (Pty) Ltd are examples of
such certification bodies. There are numerous certification bodies in South Africa
who are all members of the Southern African Association of Certification Bodies
(SAACB) (SAACB 2011). SAACB members offer accredited certification against the
requirements of many national and international standards, including:
• Quality Management Systems – ISO 9001
• Environmental Management Systems – ISO 14001

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• Health and Safety Management Systems – OHSAS 18001/ISO 45001

• Food Safety Management Systems – ISO 22000, FSSC 22000
• Certification of Persons – ISO/IEC 17024
• Certification of Products, Processes and Services – ISO/IEC 17065
• SANS 10330 – Requirements for a food safety system based on prerequisite
programmes and Hazard Analysis and Critical Control Point (HACCP) principles
as per the SABS website (SAACB 2011)

The important thing is that every organisation requires a management system to

reduce risk, reduce injuries and workplace accidents, and improve employee morale
and productivity (NQA 2020).

Watch online the video clip for more information on why an organisation requires a
safety management system, as presented by OSHAcampus.com Video OSHAcampus
(1.23): https://youtu.be/bSks0WaVGJI.

It is important to note that the ISO MSS has been developed in such a way as to
allow for integration, meaning that more than one standard can be implemented in
the same management system, allowing, for instance, the implementation of ISO
(SANS) 9001 (2015) – quality, ISO (SANS) 14001 (2015) – environmental, and ISO
(SANS) 45001 (2018) – safety, in one management system (Boyle 2019:240).

Watch online the video clip on what an integrated management system is and what
its benefits are, by Batalas Ltd (6.22): https://youtu.be/D8tc7jbzO6g.

17 DISCUSSION 12.1: MANAGEMENT SYSTEMS

Discuss with your fellow students

• why it is important for an organisation to have a safety and risk management
system
• what benefits the organisation will reap if they integrate their management
systems

Feedback will be given online.

STUDY

Boyle (2019:217–232) and ensure that you understand the aspects and origins of
management systems and the certification requirements.

In table 12.1, the correspondence/correlations/similarities between ISO 9001, ISO

14001 and ISO 45001 for an integrated management system are listed.

TABLE 12.1
Similarities between ISO 9001, ISO 14001 and OHSAS 45001
for an integrated management system
ISO 9001 (2015) ISO 14001 (2015) ISO 45001 (2018)
Introduction Introduction Introduction
0.1 General 0.1 Background
0.2 Quality management 0.2 Aim of an environmental
principles management system
0.3 Process approach 0.3 Success factors

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 LEARNING UNIT 12: Management systems

ISO 9001 (2015) ISO 14001 (2015) ISO 45001 (2018)

0.3.1 General 0.4 Plan-Do-Check-Act model
0.3.2 Plan-Do-Check-Act cycle 0.5 Contents of this interna-
tional standard
0.3.3 Risk-based thinking
0.4 Relationship with other
management standards
1 Scope 1 Scope 1 Scope
2 Normative references 2 Normative references 2 Normative references
3 Terms and definitions 3 Terms and definitions 3 Terms and definitions
4 Context of the organization 4 Context of the organization 4 Context of the organization
4.1 Understanding the organi- 4.1 Understanding the organi- 4.1 Understanding the organi-
zation and its context zation and its context zation and its context
4.2 Understanding the needs 4.2 Understanding the needs 4.2 Understanding the needs
and expectations of inter- and expectations of inter- and expectations of work-
ested parties ested parties ers and other interested
parties
4.3 Determining the scope of 4.3 Determining the scope of 4.3 Determining the scope
the quality management the environmental man- of the OHS management
system agement system system
4.4 Quality management sys- 4.4 Environmental manage- 4.4 OHS management system
tem and its processes ment system
4.4.1 Establish, implement,
maintain and continually
improve
4.4.2 Maintain documented
information
5 Leadership 5 Leadership 5 Leadership and worker
participation
5.1 Leadership 5.1 Leadership 5.1 Leadership
and commitment and commitment and commitment
5.1.1 General
5.1.2 Customer focus
5.2 Policy 5.2 Environmental policy 5.2 OHS policy
5.2.1 Establishing the quality
policy
5.2.2 Communicating the quality
policy
5.3 Organizational roles, 5.3 Organizational roles, 5.3 Organizational roles,
responsibilities and responsibilities and responsibilities and
authorities authorities authorities
5.4 Consultation and participa-
tion of workers
6 Planning 6 Planning 6 Planning
6.1 Actions to address risks 6.1 Actions to address risks 6.1 Actions to address risks
and opportunities and opportunities and opportunities
6.1.1 Consider issues of 4.1 and 6.1.1 General 6.1.1 General
requirements of 4.2
6.1.2 Actions to address risks 6.1.2 Environmental aspects 6.1.2 Hazard identification and
and opportunities assessment of risks and
opportunities
6.1.3 Compliance obligations 6.1.3 Determination of legal
requirements and other
requirements
6.1.4 Planning action 6.1.4 Planning action

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ISO 9001 (2015) ISO 14001 (2015) ISO 45001 (2018)

6.2 Quality objectives and 6.2 Environmental objectives 6.2 OHS objectives and plan-
planning to achieve them and planning to achieve ning to achieve them
them
6.2.1 Quality objectives at rel- 6.2.1 Environmental objectives 6.2.1 OHS objectives
evant functions
6.2.2 Determine what, who, 6.2.2 Planning actions to 6.2.2 Planning to achieve OHS
when, how achieve environmental objectives
objectives
6.3 Planning of changes
7 Support 7 Support 7 Support
7.1 Resources 7.1 Resources 7.1 Resources
7.1.1 General
7.1.2 People
7.1.3 Infrastructure
7.1.4 Environment for the opera-
tion of processes
7.1.5 Monitoring and measuring * Operational control–
resources 9.1.1 Monitoring, measuring
equipment
7.1.5.1 General
7.1.5.2 Measurement traceability
7.1.6 Organizational knowledge
7.2 Competence 7.2 Competence 7.2 Competence
7.3 Awareness 7.3 Awareness 7.3 Awareness
7.4 Communication 7.4 Communication 7.4 Communication
7.4.1 General 7.4.1 General
7.4.2 Internal communication 7.4.2 Internal communication
7.4.3 External communication 7.4.3 External communication
7.5 Documented information 7.5 Documented information 7.5 Documented information
7.5.1 General 7.5.1 General 7.5.1 General
7.5.2 Creating and updating 7.5.2 Creating and updating 7.5.2 Creating and updating
7.5.3 Control of documented 7.5.3 Control of documented 7.5.3 Control of documented
information information information
7.5.3.1 Documented information
controlled
7.5.3.2 Activities for control of
information
8 Operation 8 Operation 8 Operation
8.1 Operational planning and 8.1 Operational planning and 8.1 Operational planning and
control control control
Operational control – De- 8.1.1 General
sign and development
Operational control – Ex- 8.1.2 Eliminating hazards and
ternal providers reducing OHS risks
Operational control –Provi- 8.1.3 Management of change
sion of production and
service
Operational control – De- 8.1.4 Procurement
livery and post-delivery
8.2 Requirements for products 8.2 Emergency preparedness 8.2 Emergency preparedness
and services and response and response
8.2.1 Customer communication
8.2.2 Determining the require-
ments for products and
services

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 LEARNING UNIT 12: Management systems

ISO 9001 (2015) ISO 14001 (2015) ISO 45001 (2018)

8.2.3 Review of the require-
ments for products and
services
8.2.3.1 Ensure ability to meet
requirements
8.2.3.2 Retain documented
information
8.2.4 Changes to requirements
for products and services
8.3 Design and development
of products and services
8.3.1 General
8.3.2 Design and development
planning
8.3.3 Design and development
inputs
8.3.4 Design and development
controls
8.3.5 Design and development
outputs
8.3.6 Design and development
changes
8.4 Control of externally pro-
vided processes, products
and services
8.4.1 General
8.4.2 Type and extent of control
8.4.3 Information for external
providers
8.5 Production and service
provision
8.5.1 Control of production and
service provision
8.5.2 Identification and
traceability
8.5.3 Property belonging to
customers or external
providers
8.5.4 Preservation
8.5.5 Post-delivery activities
8.5.6 Control of changes
8.6 Release of products and
services
8.7 Control of nonconforming
outputs
9 Performance evaluation 9 Performance evaluation 9 Performance evaluation
9.1 Monitoring, measurement, 9.1 Monitoring, measurement, 9.1 Monitoring, measurement,
analysis and evaluation analysis and evaluation analysis and performance
evaluation
9.1.1 General 9.1.1 General 9.1.1 General
9.1.2 Customer satisfaction
9.1.3 Analysis and evaluation 9.1.2 Evaluation of compliance 9.1.2 Evaluation of compliance
9.2 Internal audit 9.2 Internal audit 9.2 Internal audit
9.2.1 .. Conduct internal audits 9.2.1 General 9.2.1 General
at planned intervals

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ISO 9001 (2015) ISO 14001 (2015) ISO 45001 (2018)

9.2.2 .. Plan, establish, imple- 9.2.2 Internal audit program 9.2.2 Internal audit programme
ment and maintain audit
program
9.3 Management review 9.3 Management review 9.3 Management review
9.3.1 General
9.3.2 Management review inputs
9.3.3 Management review
outputs
10 Improvement 10 Improvement 10 Improvement
10.1 General 10.1 General 10.1 General
10.2 Nonconformity and correc- 10.2 Nonconformity and correc- 10.2 Incident, nonconformity
tive action tive action and corrective action
10.2.1 .. When a nonconformity
occurs
10.2.2 .. Retain documented
information
10.3 Continual improvement 10.3 Continual improvement 10.3 Continual improvement

ACTIVITY 12.1: MANAGEMENT SYSTEMS

The organisation that you work for produces batteries and sells them to various
supermarkets and spaza shops. The organisation already subscribes to SANS
(ISO) 9001 (2015), SANS (ISO) 14001 (2015), and SANS (ISO) 45001 (2018). The
environmental management system and safety management standards have already
been incorporated into a system. The quality management system is managed as
a separate system. The CEO wants you, the safety professional, to integrate the
quality management system into the existing management system.

In 300 to 350 words, identify what information needs to be added into the existing
system to integrate SANS (ISO) 9001 (2015) and achieve a single, integrated
management system. Refer to all the clauses in the SANS (ISO) 9001 (2015)
standard.

Next, we will look at the Management Oversight and Risk Tree (MORT).

12.5 MANAGEMENT OVERSIGHT AND RISK TREE (MORT)

The Management Oversight and Risk Tree (MORT) is commonly used during accident
investigation. MORT is also effective in evaluating existing safety programmes, as it
identifies shortcomings and failures in controls, support and management functions.
MORT is used to identify factors related to specific events, and the management
factors that played a role in the event occurring (Boyle 2019:233). This process is
based on a structure consisting of the following elements (Boyle 2019:233):
• undesired events
• possible undesired events
• accepted risks
• management oversight and omissions
• specific control factors
• management system factors
It is important to note that the MORT approach follows a different route to establish
the Health and Safety Management System (HSMS). The MORT approach looks at

132
 what has gone wrong or is likely to go wrong, and then looks at what must be done
to prevent its occurrence (Boyle 2019:234).

STUDY

Boyle (2019:232–234) and ensure that you know what the main elements of the
MORT system are and how they can be used to assess the effectiveness of the
HSMS.

Next, we will look at the European Foundation for Quality Management (EFQM)
Excellence Model.

12.6 EUROPEAN FOUNDATION FOR QUALITY MANAGEMENT

(EFQM) EXCELLENCE MODEL
The EFQM excellence model is an excellence framework that was introduced in the
beginning of 1992 as the framework for assessing the applications for The European
Quality Award (Tlu.ee n.d.). It is used by organisations in a non-prescriptive manner,
with the aim of assisting them to achieve business excellence and a competitive
advantage. The EFQM is based on the fundamental concepts of excellence (EFQM
2003).

STUDY

Boyle (2019:236–239) and make sure that you can elaborate on the nine elements
of the EFQM model.

12.7 OPERATIONAL EXCELLENCE MODEL (OPEX)

The Operational Excellence Model is a framework for organisations to focus on growth.
It also allows organisations to execute their strategy better than their competitors.
It allows the organisation to build efficient processes. The model makes it clear to
all employees if an organisation’s systems are running smoothly or not, and makes
it possible for team members do any necessary improvements to the systems and
processes.

These processes, also known as value streams, may produce physical products or
services. Organisations pursuing operational excellence adopt a mindset of problem-
solving, teamwork, and top-line growth. This allows the organisations to create
more value for customers and continually improve their processes. The drive to keep
improving and to reach the capacity to pursue innovation and growth, is known
as execution excellence. The model pursues the following goals (Smartsheet.2020):
(1) Design lean value streams: Design the desired future-state value streams
based on the principles for achieving end-to-end flow.
(2) Make lean value streams flow: Implement the design. This is done through
customised, formal training and education. This is then followed by imple-
mentation in the target areas.
(3) Make the flow visual: Establish visuals that let each and every employee
see how the flow connects throughout the value chain of the organisation.
(4) Create standard work for the flow: Establish the improved standard work
for the flow between the processes for the entire value chain.

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(5) Make the abnormal flow visual: Enable all employees to see when the flow
has become abnormal. This can be done simply by looking at the flow or by
using colour coding to indicate process updates.
(6) Create standard work for the abnormal flow: Establish a selection of choices
for how the employees must respond to any abnormal flow. This will empower
them to address issues and not always need management intervention.
(7) Have employees in the flow improve the flow: Continuously improve the
performance of the flow. This will allow the organisation to meet customer
demand and proactively avoid abnormal flow.
(8) Perform offense activities: Management should spend time on offense ac-
tivities. This means performing activities which grow the business. This may
entail innovating future products with customers, or starting to supply masks
or sanitiser during the Covid-19 pandemic if these are not the organisation’s
regular products.

The late Japanese industrial engineer, Shigeo Shingo, was a landmark figure in
manufacturing and the Toyota production system. He authored a set of guiding
principles called the Shingo Guiding Principles, or Shingo Principles. These principles
are grouped into four areas which build on each other like a pyramid. The principles
are (Smartsheet 2020):

• Cultural enablers
• Continuous improvement
• Enterprise alignment
• Results

ACTIVITY 12.2: OPERATIONAL EXCELLENCE

Research, Illustrate and explain the Shingo guiding principles of Operational

Excellence (OPEX) in 200 to 250 words.

Feedback will be given online.

Watch online the video clip on introducing an EFQM Excellence Model, by The
EFQM Channel (4.52): https://youtu.be/KCprz8NAZ9M.

We will now look at how all of the ISO standards that an organisation subscribes to
can be integrated into one single management system.

12.8 INTEGRATED MANAGEMENT SYSTEM

As mentioned earlier in this learning unit, an integrated management system is a
means of integrating ISO-based management systems. This may include any system,
such as the ISO 9001 (2015) Quality Management System (QMS), ISO 14001
(2015) (the Environmental Management System/EMS), and ISO 45001 (2018)
(the Occupational Health and Safety/OHS System), or other management systems
relevant to an organisation. An integrated management system provides a single,
simplified system that eliminates the duplication of procedures and processes gleaned
from each of the ISO management systems. This allows for ease of navigation and
implementation. An integrated management system should be integrated with the
corporate management strategy of the organisation and should be introduced into
the organisational culture.

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 LEARNING UNIT 12: Management systems

Watch online another video that explains what an integrated management system
is and what benefits it holds for the organisation, as well as how to combine ISO
standards to audit faster with less cost, as presented by JLB Management Consultancy
(1.00): https://youtu.be/0rkJnbVHwG4.

STUDY

Boyle (2019:234–236, 240–241) and ensure that you understand the requirements
to integrate a management system and the benefits it can have for an organisation.

From the information above, it is clear that there are many benefits to an integrated
management system.

12.9 SUMMARY
Throughout this learning unit, we highlighted a number of ISO standards and the
integration of these standards. As a safety professional, you have to have knowledge
of the ISO standards and management systems implemented, or to be implemented
in your organisation. Refer back to learning unit 8 to refresh your knowledge of
ISO 45001 (2018), the OHS standard. The next learning unit looks at performance
measurements.

12.10 SELF-ASSESSMENT QUESTIONS

(1) Examine and discuss the aspects of a management system.
(2) Elaborate on the benefits of a Management System Standard (MSS).
(3) Explain the aspects of an integrated management system.
(4) Give a brief outline of the Management Oversight and Risk Tree (MORT).
(5) Briefly explain the nine criteria of excellence used by the European Founda-
tion for Quality Management (EFQM) as fundamental concepts of excellence.
(6) Elaborate on the Operations Excellence model.
(7) Examine and explain the Shingo Guiding Principles.
(8) Elaborate on the risk management ISO standards.
(9) Illustrate the Deming PDCA cycle.

12.11 RECOMMENDED READING

EFQM. 2003. EFQM. The fundamental concept of excellence. [Online] Available
from https://www.onecaribbean.org/wp-content/uploads/Fundamental-
Concepts-of-EFQM.pdf. [Accessed on 5 March 2018].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2009. ISO 14001. Environmental management systems
– Specification with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2009. ISO 31000. Risk management – Principles and
guidelines. Pretoria: SABS.
South African Bureau of Standards. 2010. ISO 31010. Risk management – Risk assess-
ment techniques. Pretoria: SABS.
South African Bureau of Standards. 2015. ISO 9001. Quality management systems – Re-
quirements. Pretoria: SABS.
South African Bureau of Standards. 2018. ISO 45001. Safety management systems – Re-
quirements. Pretoria: SABS.

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12.12 OTHER VIDEOS OF INTEREST

Batalas Ltd. 2018. Batalas – Benefits of integrated management systems. [Online] Available
from https://youtu.be/D8tc7jbzO6g [Accessed on 23 July 2020].
JLB Management Consultancy. 2020. The integrated management system (IMS): how to com-
bine ISO standards to audit faster with less cost. [Online] Available from https://
youtu.be/0rkJnbVHwG4 [Accessed on 25 July 2020].
OSHAcampus.com. 2017. Why you must have a safety management system | OSHAcam-
pus.com. [Online] Available from https://youtu.be/bSks0WaVGJI [Accessed
on 25 July 2020].
SQSS Group. 2013. Integrated management systems. [Online] Available from https://
youtu.be/3JT9k6gXUZM [Accessed on 24 July 2020].
The EFQM Channel. 2015. Introducing EFQM. [Online] Available from https://youtu.
be/KCprz8NAZ9M [Accessed on 24 July 2020].

12.13 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
EFQM. 2003. EFQM: The fundamental concept of excellence. [Online] Available
from https://www.onecaribbean.org/wp-content/uploads/Fundamental-
Concepts-of-EFQM.pdf [Accessed on 5 March 2018].
ISO.ORG. n.d. What is a management system? [Online] Available from https://www.iso.
org/management-system-standards.html [Accessed on 23 July 2020].
NQA. 2020. Occupational health & safety management. [Online] Available from htt-
ps://www.nqa.com/en-za/certification/systems/health-safety-management-
systems#:~:text=Better%20Employee%20Morale&text=People%20want%20
to%20work%20for,you%20attract%20more%20quality%20candidates [Ac-
cessed on 24 July 2020, Rielander. 2019.].
Rielander, CL. 2020. Management of construction and mining: Study guide for SMA3704.
Pretoria: University of South Africa.
SAACB. 2011. Southern African Association of Certification Bodies Members. [Online] Avail-
able from http://www.saacb.co.za/saacb-members/ [Accessed on 31 July 2020].
Smartsheet. 2020. Operational excellence: Key principles and how to implement them. [Online]
Available from https://www.smartsheet.com/content/operational-excellence
[Accessed on 3 August 2020].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2009. ISO 14001. Environmental management systems
– Specification with guidance for use. Pretoria: SABS.
South African Bureau of Standards. 2009. ISO 31000. Risk management – Principles and
guidelines. Pretoria: SABS.
South African Bureau of Standards. 2010. ISO 31010. Risk management – Risk assess-
ment techniques. Pretoria: SABS.
South African Bureau of Standards. 2015. ISO 9001. Quality management systems – Re-
quirements. Pretoria: SABS.
South African Bureau of Standards. 2018. ISO 45001. Safety management systems – Re-
quirements. Pretoria: SABS.
tlu.ee n.d. The European foundation for quality management (EFQM) KM model. [Online]
Available from https://www.tlu.ee/~sirvir/IKM/Theoretical_models_of_In-
formation_and_Knowledge_Management/the_european_foundation_for_
quality_management_efqm_km_model.html [Accessed on 30 July 2020].

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 13 LEARNING UNIT 13
13 MEASURING PERFORMANCE

13.1 LEARNING OUTCOMES

After working through this learning unit and chapter 19 in the prescribed textbook,
you should be able to
(1) substantiate the importance of measuring safety performance and state what
needs to be measured
(2) differentiate between proactive and reactive monitoring
(3) compare leading and lagging indicators related to safety in an organisation
(4) develop leading and lagging indicators as related to a case study
(5) develop safety indicators using various steps
(6) develop a safety scorecard for an organisation
(7) elaborate on data types that could be used when conducting performance
measurements
(8) differentiate between descriptive statistics and summary statistics
(9) differentiate between priori and empirical probability
(10) state the formulas used to calculate values over the safe limits
(11) discuss the three methods used to conduct trend analysis
(12) explain epidemiology and its role in the statistical reporting process

13.2 ABBREVIATIONS AND CONCEPTS

ISO International Organization for Standardization
KPI Key Performance Indicator
SANS South African National Standards

Accident investigation Data types

Descriptive statistics Epidemiology
Lagging indicator Leading indicator
Monitoring Measurement
Performance scorecard Proactive monitoring
Probability Reactive monitoring
Summary statistics Statistical information
Trend analysis

13.3 INTRODUCTION
In learning unit 8, we explored the aspects of monitoring and measuring conformity
and achievement. In that learning unit, we described measuring as a process of
obtaining data describing the performance of a process, or the quality of the output
of that process. As such, measurement methods should be documented as part of the
process improvement initiative, to ensure that the measurements of improvements
to a process are accurate.

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In this learning unit, we will explore the measurement of performance in more detail
and examine the kinds of measuring conducted in an organisation, as well as the
indicators of performance that are used to measure performance. The performance
scorecard will be introduced. Later in the learning unit, statistical data types and
trend analysis will be explored. Lastly, epidemiology is discussed.

Let’s begin by looking at measuring safety performance.

13.4 MEASURING SAFETY PERFORMANCE

Measuring safety performance is often linked to negative safety occurrences, known
as outcome indicators. These outcome indicators are important, as they reflect on past
actions and could reveal potential risks. Outcome indicators are not measurements
of risk control measures in the workplace, but instead are a measurement of failure.
These measures include items like the number of injuries that occurred, or the
number of customer complaints received (Ohsrep.org.au 2015).

There are positive measures like the number of at-risk safety behaviours identified
that prevented injuries, or the number of identified safety hazards that were rectified.
These measures can be included in the process to highlight what the organisation is
doing right. Measures like the number of days worked without an injury can create
a negative effect when an injury occurs, since this indicator is linked to the yearly
bonus for most organisations. This kind of measurement should rather be avoided
if possible, as it can cause employees to become demotivated if they feel like they are
failing at working safely (Ohsrep.org.au 2015). So, why does one need to measure
performance?

18 DISCUSSION 13.1: PERFORMANCE MEASURES

Discuss with your fellow students your thoughts about why performance measures
are needed in organisations.

Feedback will be given online.

The SANS (ISO) 45001 (2018) OHS management system requires that performance be
measured as part of the Plan-Do-Check-Act (PDCA) cycle. Performance measurement
is used as a determinant of the organisation’s service delivery, production, and financial
management. The main objective of measuring organisational performance is to
obtain information on progress and the current organisational strategy status. This
information enables the organisation to control its risks by knowing how its systems
are operating in practice. This then allows them to identify corrective actions and
to establish a basis for continual improvement (HSE 2001:7).

Effective safety measurement plans empower an organisation with measurable

evidence of what is/is not working. If effective data measurement and indicators
are put in place, safety measurement can go beyond just providing results. It can
enable the organisation to determine WHY something isn’t working. If the right
performance indicators are not used or the appropriate priority is not placed on
these organisational measurements, the organisation loses an opportunity to use
indicators that could provide a set of performance guidelines (Soloprotect.com n.d.).

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Now that you have been introduced to why monitoring and measuring must take
place, it is time to look at what should be monitored and measured.

19 DISCUSSION 13.2: MONITORING AND MEASURING

Using the knowledge you have gained thus far, discuss with your fellow students
what you would propose your organisation (or an organisation that you have
researched) would need to do with the information obtained through the monitoring
process.

Feedback will be given online.

13.5 WHAT IS TO BE MEASURED

To ensure a safe workplace, health and safety risks must be controlled. Boyle (2019:242)
refers to the proactive and reactive monitoring of risks.

13.5.1 Proactive monitoring

The proactive monitoring of risks involves conducting routine and periodic checks on
time and using the outcomes of these checks to prevent accidents and injuries (Boyle
2019:242). Proactive monitoring means identifying possible threats to health and
safety and implementing actions to avoid these incidents from occurring. Proactive
monitoring makes use of the following indicators:
• safety inspections
• interviewing employees about safety
• audits
• monitoring safety performance
• monitoring safety-related behaviour
• checking procedures
• safety sampling
The benefit of a proactive safety programme is that a positive safety culture will be
created and enforced. This will in turn help to prevent accidents from occurring and
improve the health and safety of the organisation (Haspod.com 2018).

13.5.2 Reactive monitoring

Reactive monitoring involves the measurement of failure data, like the number of
injuries that occurred (Boyle 2019:242). Reactive monitoring means dealing with
incidents and accidents when they occur. It is about rectifying problems, rather than
preventing them. Reactive monitoring makes use of the following indicators:
• accident and incident reporting
• accident and incident investigation, including ill health
• identifying trends that are arising
With reactive health and safety measures, you are acting after an incident has already
occurred. Mostly, this means that there is a lot of pressure to act quickly, as work
needs to re-commence as soon as possible after an incident, and employees and
external parties need to be assured that the risk of re-occurrence has been controlled.

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It is advisable to use a combination of proactive and reactive measurements in an

organisation to improve health and safety performance (Haspod.com 2018).

In the next section of this learning unit, we will look at leading and lagging indicators
of performance.

13.6 LEADING AND LAGGING INDICATORS

There are two main kinds of Key Performance Indicators (KPIs) used in organisations.
Boyle (2019:243) refers to leading and lagging indicators.

Watch online the types of key performance indicators (KPIs) that an organisation
can use to track their performance, explained by the Balanced Scorecard Institute
(3.17): https://youtu.be/u0v-ke1lz5k.

13.6.1 Leading indicators

Leading indicators refer to conformity with the organisation’s required health and
safety performance. This information originates from proactive monitoring, like safety
inspections that are conducted (Boyle 2019:242). Leading indicators precede future
events. These measures are used to drive and measure activities that are performed
to prevent future events like accidents and injuries from occurring. Typical leading
indicators include:
• safety training compliance
• workplace safety improvement opportunities that were actioned
• employee safety perception surveys
• safety audits and their outcomes
• the number of safety inspection deviations corrected
• the number of positive safety-related behaviours identified
Leading indicators revolve around future safety performance and continuous
improvement. These measures report what employees are doing on a regular basis
to prevent injuries in a proactive manner (Ergoplus 2020).

13.6.2 Lagging indicators

Lagging indicators refer to occurrences of accidents, incidents, or ill health (Boyle
2019:242). Lagging indicators measure an organisation’s incidents from previous
incident statistics and provides the organisation with a view of the progress made
in the overall effectiveness of its safety. These indicators show how many employees
were injured and how severe the injuries were. Typical lagging indicators include:
• injury frequency and severity
• the number of OSHA recordable injuries that occurred
• the number of lost-time injuries
• the cost of employee compensation
Care should be taken with the announcement of these indicators, because if these
measures are reported in isolation, it can negatively impact the morale of the
organisation, as employees are just being informed of everything that they did
wrong (Ergoplus 2020).

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 LEARNING UNIT 13: Measuring performance

Watch online for more information on leading and lagging indicators and KPIs, as
provided by Startup Akademia (3.24): https://youtu.be/xT5NnNcRIPQ.

The main reason for creating safety performance measures is to provide the
organisation with vital management information. The measures created are used
to identify improvement or deterioration trends over time. Deviations that require
action can be identified from this information, to ensure continual improvement. The
organisation will also be able to see to which degree it has reached its objectives and
it will be able to benchmark its performance against other organisations (Conformit
2018). There are a few principles to consider when developing health and safety
measures.

ACTIVITY 13.1: LEADING AND LAGGING INDICATORS

You are the health and safety professional employed at a local candle manufacturing
factory. The owner wants to implement health and safety performance measurements.
Develop seven (7) leading and lagging indicators for the candle manufacturing
factory.

Consider the following facts when developing these indicators:

• There are 7 employees who work 40 hours a week.

• There is the occasional need for maintenance over-time to keep the equipment
in working order.
• There are forklifts that operate in the warehouse of the factory that stack boxes
of packaged candles ready for distribution to the 10 customers that resell the
candles to the public.
• Behavioural Safety Observations are done by employees to help prevent injuries.
• There is a system where non-conformances are loaded and tracked
for completion.
• The warehouse requires the following occupational hygiene surveys:

– noise
– vibration monitoring for forklift drivers
– ventilation
– ergonomics
– dust
– diesel fumes

• The employees are also required to go for bi-annual medical examinations/

check-ups.

STUDY

Boyle (2019:242–244) and ensure that you understand the various types of
indicators that can be measured by an organisation.

The results of these measures can be consolidated into a performance scorecard. We

examine the performance scorecard next.

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13.7 PERFORMANCE SCORECARD

Various performance results can be found in an organisation and it can become very
hard to keep track of performance if these results are not centralised. The results are
discussed in management review meetings and can be reported either per department
or per indicator. Boyle (2019:259) elaborates on the summary of statistical information
in a simplified manner, as a diagram or table. This process is also known as creating
a scorecard. The scorecard is used to provide the organisation with a summary of its
performance against the selected indicators. Shortfalls in the performance mean that
targets were not reached and corrective action needs to be implemented to ensure
that the targets are met. The scorecard is used to track performance over time.

The benefit of using a KPI scorecard is that the team updating the scorecard is
constantly aware of the progress that the organisation is making. This keeps the
organisation on track and accountable for its goals. The organisation is also able to
spot trends and implement corrective actions as required, throughout the monitoring
and measuring process.

The key to an effective scorecard is simplicity. One should only track the specific
activities that will help the organisation achieve its goals. Do not clutter the scorecard
with unnecessary information that adds no value (Safetyprocessresources 2014).

Watch online what a balanced scorecard is and how it is used to report on progress
in an organisation, as explained by Alanis Business Academy (9.44): https://youtu.
be/I-jt8zySe8E.

ACTIVITY 13.2: SCORECARD

In the light of what you have learnt about scorecards, develop a safety scorecard
for the candle manufacturing factory where you are employed, to provide a single
picture of the leading and lagging indicators that you have identified in activity 13.1.
The scorecard should reflect the monthly status of the organisation’s performance.

Next, we will look at the data types that can be used in the performance measurement
process.

13.8 NATURE OF DATA TYPES

Boyle (2019:246–253) discusses several data types that could be used when conducting
performance measurements. Each of these are classified in accordance with their
main characteristics, such as:

• Causation continuum
This data implies that a loss is at the end of a long sequence of events that has
its origin in the differences between individuals. Making use of this kind of
data allows an organisation to move from focusing on losses to focusing on the
precursors that precede a loss.
• Objective or subjective
An example of objective data is looking at the degrees Celsius inside a storeroom.
This is an exact measure of temperature and is not open to dispute or interpretation.
An example of subjective data is looking at whether the light is bright or dim.
This is based on human perception and is not exact.

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• Reliable or not reliable

Reliability refers to the same measurement producing the same results. If the
measurement is not reliable, the results will differ. If the same safety inspection
is used on a lifting activity, it should provide the same result.
• Valid or not valid
This refers to whether the measurement actually measures what it is intended to
measure. If an organisation wants to measure a reduction in injuries over time,
it needs to take the timeframe into account – otherwise it will just measure the
number of injuries that occurred.
• Qualitative or quantitative
Qualitative data is based on the quality or standard of an item like a safety inspec-
tion form, whereas quantitative data is based on the number of inspections done.
The organisation needs to decide if it wants to review the number of inspections
done or the quality of the inspections done.
• Numeric or non-numeric
Numeric data is data that is presented in number format, like the number of com-
pleted inspections for the month, whereas non-numeric data is data that is
expressed in words or a diagram. An example of non-numeric data would be a
checklist where all the questions were answered as “complete” (Boyle 2019:252).

STUDY

Boyle (2019:242–253) and ensure that you understand the various data types that
can be used to report on organisational performance.

Watch online the types of statistical data that can be used in an organisation to
report on safety performance, as discussed by Dr Jack L Jackson II (23.20): https://
youtu.be/UZ4kHJOuoec.

Next, we will look at how this statistical data will be presented and analysed by the
organisation.

13.9 PRESENTATION AND ANALYSIS OF STATISTICAL DATA

Valuable information circulates in an organisation and the data is consolidated into
statistical format. Boyle (2019:252) refers to three fundamental types of statistics.
These are descriptive statistics, summary statistics, and probability. The health and
safety professional needs to be able to apply all of these types in order to do trending
and epidemiological analysis (Boyle 2019:252).

Watch online the video clip on analysing, interpreting and presenting data that
is used in an organisation, by Academic Skills, The University of Melbourne 2019
(8.23): https://www.youtube.com/watch?v=e1hqXq0JyK0&t=13s.

STUDY

Boyle (2019:253–268) and ensure that you can elaborate on the presentation and
analysis of numerical data.

Let’s look at the types of statistics mentioned above.

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13.9.1 Descriptive statistics

These statistics are collected in numerical form and are distributed to interested
parties and analysed to identify any emerging trends. The data can be presented in
tables, pie charts, ideographs, or histograms.

13.9.2 Summary statistics

These statistics provide a summary of the data by using a small dataset of numbers
to give the main features of a much larger dataset of numbers.

13.9.3 Probability
Boyle (2019:268) describes two kinds of probabilities, priority probability, and
empirical probability:

• Priority probability refers to a situation where it is possible to predict the probability

before the event occurs. If one of the three safety professionals has to do the
weekly inspections this week, each of them has a one in three chance to be selected.
• Empirical probability refers to probability calculations done on data that is recorded
over a period of time, in similar circumstances. There are specific formulae for
calculating different empirical probabilities.

Probability = the number of times a specific event occurs

the number of times that the specific event could occur

Another empirical probability formula could be:

Probability = the number of times the value was over the safe limit
the number of times the measurement was made

The empirical probability of an accident is calculated as:

Probability of an accident = the number of times an accident happened
the number of times an accident could have happened

Probability of a car breakdown = the number of times the car broke down
the number of times the car could have broken down

STUDY

Boyle (2019:253–271) and ensure that you can elaborate on the presentation and
analysis of numerical data.

Boyle (2019:271) describes two probability calculations, one where probability

increases and one where it decreases.

Accident and ill-health rates are common KPIs used by organisations. There are many
different rates that can be calculated, as described in Boyle (2019:275). Calculations
that measure risk can be created, where the risk is proportional to the number of
activities carried out. Various other risk-related rates can be calculated. An example
of this would be calculating the rate of exposure to hot oil for an employee cooking
‘slap chips’ in a take-away shop’s kitchen. This can be amended as required, according
to the organisation’s requirements.

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 LEARNING UNIT 13: Measuring performance

Watch online the video clip on worker safety data to provide insight into what
is done with the data collected, by BLS Videos (1.39): https://www.youtube.com/
watch?v=UW3Bo56HBBg.

STUDY

Boyle (2019:271–276) and ensure that you understand how probability and accident
and ill-health rates are calculated.

It is important to calculate the rates identified by the organisation. These rates then
need to undergo a trend analysis for their true value to be realised. We will explore
trend analysis in the next section.

13.10 TREND ANALYSIS

You were introduced to trend analysis and how it is conducted in learning unit 6.
It is important that as the health and safety professional you are able to distinguish
between fluctuations in incident and accident numbers due to random variation, and
those which represent a real trend. Trend analysis can be done in the following ways:
• Binomial distribution
• Poisson distribution
• Limit lines
Watch online the following three video clips on these types of distributions:

Binomial distribution EXPLAINED! by zedstatistics (13.29): https://youtu.be/

e04_wUoscBU

Poisson distribution EXPLAINED! by zedstatistics (14.23): https://youtu.be/

cPOChr_kuQs

The normal distribution: Crash Course Statistics #19, by CrashCourse (11.26): https://
youtu.be/rBjft49MAO8

STUDY

Boyle (2019:277–286) and ensure that you can perform a trend analysis on safety-
related statistical information.

Next, we will look at epidemiology.

13.11 EPIDEMIOLOGY
The basic principles of epidemiology were introduced in learning unit 7 and it was
noted that epidemiological analysis involves attempting to identify patterns in certain
data sets.

Epidemiological analysis can thus be carried out on injuries, environmental incidents,

occurrences of ill health and/or on the audit findings recorded in an organisation.
Epidemiological analysis will identify trends and these trends will then require
additional investigation and analyses to be done. An example of trend analysis will
be to look at the days of the week when the most intoxication cases are reported, or
the time of the year when absenteeism is most prevalent due to ill health.

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STUDY

Boyle (2019:286–290) and ensure that you understand what epidemiology is and
how it fits into the statistical reporting process.

Watch online for an explanation on what epidemiology is, by Risk Bites (7.20):
https://youtu.be/r9poHB-ldqk.

Watch online the video clip on what trend analysis is, and what trend analysis means,
by The Audiopedia (1.55): https://youtu.be/kn50Y6ODPIY.

13.12 SUMMARY
In this learning unit we considered aspects of performance measurements and the
development of a safety performance scorecard. Boyle (2019:253–290) discusses
the analysis of numerical data, statistical analysis, the presentation of such data and
accident rates, trend analysis and epidemiology.

The next learning unit will address aspects of advanced accident investigation and
risk assessment.

13.13 SELF-ASSESSMENT QUESTIONS

(1) Substantiate the importance of measuring safety performance and state what
needs to be measured.
(2) Differentiate between proactive and reactive monitoring.
(3) Discuss why performance measurement is required in an organisation.
(4) Elaborate on leading and lagging indicators related to safety in an organisation.
(5) Distinguish between leading and lagging indicators and give examples to
substantiate your answer.
(6) Develop a safety scorecard for your organisation.
(7) List the data types that could be used when conducting performance
measurements.
(8) Differentiate between descriptive statistics and summary statistics.
(9) Differentiate between priori and empirical probability.
(10) What formula is used to calculate values over safe limits?
(11) Elaborate on the presentation and analysis of statistical data.
(12) Discuss the three methods used to conduct trend analyses.
(13) Explain epidemiology and its role in the statistical reporting process.

13.14 RECOMMENDED READING

HSE (Health and Safety Executive). 2001. A guide to measuring health and safety perfor-
mance. [Online] Available from www.hse.gov.uk/opsunit/perfmeas.pdf [Ac-
cessed on 14 March 2019].
Middlesworth, M. 2020. A short guide to leading and lagging indicators of safety performance.
[Online] Available from https://ergo-plus.com/leading-lagging-indicators-
safety-preformance/ [Accessed on 6 August 2020].
Ohsrep.org.au. 2015. Measure health and safety performance. [Online] Available from
http://www.ohsrep.org.au/tool-kit/how-to/measure-health-and-safety-per-
formance [Accessed on 14 March 2019].
SABS. See South African Bureau of Standards.

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 LEARNING UNIT 13: Measuring performance

South African Bureau of Standards. 2018. ISO 45001. Safety management systems – Re-
quirements. Pretoria: SABS.
Spurlock, BS & Blair, EH. 2017. 10 steps to developing safety performance measures. [Online]
Available from https://www.insafetyconf.com/media/PDF/safety_conf_2017/
WK4_BlairSpurlock.pdf [Accessed on 14 March 2019].

13.15 OTHER VIDEOS OF INTEREST

Academic Skills, The University of Melbourne. 2019. Analysing, interpreting
and presenting data. [Online] Available from https://www.youtube.com/
watch?v=e1hqXq0JyK0&t=13s [Accessed on 6 August 2020].
Alanis Business Academy. 2014. Episode 164: Introduction to the balanced scorecard. [Online]
Available from https://youtu.be/I-jt8zySe8E.
Balanced Scorecard Institute. 2017. Types of key performance indicators (KPIs). [Online]
Available from https://youtu.be/u0v-ke1lz5k [Accessed on 6 August 2020].
BLS Videos. 2017. Worker safety data. [Online] Available from https://www.you-
tube.com/watch?v=UW3Bo56HBBg [Accessed on 8 August 2020].
CrashCourse. 2018. The normal distribution: Crash Course Statistics #19. [Online] Avail-
able from https://www.youtube.com/watch?v=rBjft49MAO8&t=8s [Accessed
on 5 August 2020].
Jackson, L. 2016. Statistics 1.1.2 Types of data. [Online] Available from https://youtu.
be/UZ4kHJOuoec [Accessed on 9 August 2020].
ProcessMAP Corporation. 2017. [Webinar] – Using scorecards to track leading safety
performance activities. [Online] Available from https://youtu.be/SJvAtWwcO1I
[Accessed on 8 August 2020].
Risk Bites. 2017. What is epidemiolog y? [Online] Available from https://www.you-
tube.com/watch?v=r9poHB-ldqk [Accessed on 8 August 2020].
The Audiopedia. 2018. What is trend analysis? What does trend analysis mean? Trend analysis
meaning & explanation. [Online] Available from https://youtu.be/kn50Y6ODPIY
[Accessed on 12 August 2020].
Zedstatistics. 2017. Binomial distribution EXPLAINED! [Online] Available from
https://www.youtube.com/watch?v=e04_wUoscBU [Accessed on 8 August
2020].
Zedstatistics. 2017. Poisson distribution EXPLAINED! [Online] Available from https://
www.youtube.com/watch?v=cPOChr_kuQs [Accessed on 9 August 2020]

13.16 REFERENCES
Balancescorecard.org. 2022. The four perspectives of thr balance scorecard. [Online]
Available from|: https://balancedscorecard.org/bsc-basics/articles-videos/the-
four-perspectives-of-the-balanced-scorecard/. [Accessed 1 November 2022].
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Burneu, J. 2018. Health and safety key performance indicators. [Online] Available from
https://www.conformit.com/health-safety-key-performance-indicators/ [Ac-
cessed on 6 August 2020].
Bruneau, J. 2022. Health and safety key performance indicators. [Online] Available
from: https://www.conformit.com/health-safety-key-performance-indicators/.
[Accessed on 1 November 2022].
Ergoplus. 2020. See Middlesworth, M. 2020. A short guide to leading and lagging indicators
of safety performance. [Online] Available from https://ergo-plus.com/leading-
lagging-indicators-safety-preformance/ [Accessed on 6 August 2020].

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Haspod.com. 2018. Proactive vs reactive health and safety management. [Online] Available
from https://www.haspod.com/blog/management/proactive-reactive-health-
safety-management [Accessed on 3 August 2020].
Ohsrep.org. 2015. Measure health and safety performance. [Online] Available from
http://www.ohsrep.org.au/tool-kit/how-to/measure-health-and-safety-per-
formance [Accessed on 14 March 2018].
Roux, L. 2014. How to use a safety scorecard to track leading indicators. [Online] Available
from https://www.safetyproresources.com/blog/how-to-use-a-safety-score-
card-to-track-leading-indicators [Accessed on 5 August 2020].
SABS. See South African Bureau of Standards.
Soloprotect.com. n.d. Why measuring safety performance is important and terms to know.
[Online] Available from https://www.soloprotect.com/us/worker-safety-blog/
safety-monitoring/why-measuring-safety-performance-is-important-and-terms-
to-know.asp [Accessed on 6 August 2020].
South African Bureau of Standards. 2018. ISO 45001. Safety management systems – Re-
quirements. Pretoria: SABS.
Spurlock, BS & Blair, EH. 2017. 10 steps for developing safety performance measures. [Online]
Available from https://www.insafetyconf.com/media/PDF/safety_conf_2017/
WK4_BlairSpurlock.pdf [Accessed on 14 March 2019].
University of Melbourne. 2019. 5 Top tips for analysing and interpreting data.
[Online][Available from https://www.youtube.com/watch?v=e1hqXq0JyK0.
[Accessed 6 August 2020].

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 14 LEARNING UNIT 14
14 ADVANCED ACCIDENT INVESTIGATION
AND RISK ASSESSMENT

14.1 LEARNING OUTCOMES

After working through this learning unit and chapter 20 in the prescribed textbook,
you should be able to
(1) outline the reasons for conducting an accident investigation and risk assessment
(2) validate the importance of advanced accident investigation and discuss the
requirements for an effective incident investigation.
(3) apply the following advanced risk assessment techniques:

• Event and Causal Factor Analysis (ECFA) (and complete an EFCA)

• Management Oversight and Risk Tree (MORT)
• Hazard and Operability Studies (HAZOP)
• Failure Modes and Effects Analysis (FMEA)
• Event Tree Analysis (ETA)
• Fault Tree Analysis (FTA)
• SWOT analysis
(4) elaborate on human error

14.2 ABBREVIATIONS AND CONCEPTS

ECFA Events and Causal Factors Analysis
ETA Event Tree Analysis
FMEA Failure Mode and Effects Analysis
FTA Fault Tree Analysis
HAZOP Hazard and Operability Studies
MORT Management Oversight and Risk Tree
PID Piping and Instrumentation Diagram
SANS South African National Standards
SWOT analysis Strengths, Weaknesses, Opportunities and Threats analysis
Accident investigation Accident severity
Hazard identification Human error
Risk acceptance Risk assessment
Risk rating scales Severity distributions

14.3 INTRODUCTION
Learning unit 1 addressed aspects of risk management. It was said that the unpredictable
and unstable environment of the corporate world requires an enterprise-wide approach
to risk management that is comprehensive, inclusive and proactive. The criteria
identified for reducing risk in learning unit 1 related to the
• legal requirements
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• ethical and moral considerations

• financial considerations
• business considerations of risk aversion and policy-based decisions

Injuries occur constantly in organisations globally, resulting in billions of dollars

being spent on medical expenses and compensation. In the course of your studies,
you should have come across Heinrich’s Domino Theory, which has been updated
by numerous research studies. The theory explains that accidents and incidents occur
when several barriers that are supposed to prevent these events fail simultaneously. In
this learning unit, we will explore the reasons for conducting accident investigations
and risk assessment, as well as the techniques involved in both processes.

Let’s look at the reasons for conducting accident investigations and risk assessments.

14.4 REASONS FOR CONDUCTING ACCIDENT INVESTIGATIONS

AND RISK ASSESSMENT
Both incident investigation and risk assessment require specialised knowledge and
training for them to be meaningful to the organisation. Incidents and accidents are
inherent risk factors in any organisation and have a legal imperative, as prescribed by
the Occupational Health and Safety Act No. 85 of 1993 and the Compensation for
Occupational Injuries and Diseases Act (COIDA) No. 130 of 1993. The advanced
techniques specify the steps that need to be taken when conducting an accident
investigation or a risk assessment (Boyle 2019:291).

The reasons for conducting risk assessments and accident investigations are listed
in Boyle (2019:291) as the following:
• Accident investigation – to determine why an accident occurred and to propose
preventive and corrective measures to prevent re-occurrence. A key part of the
accident investigation is the interview, to get as much information as soon as
possible from all the witnesses (Boyle 2019:86–90).
• Risk assessment – to find out what can cause an accident in the workplace and
which measures can be implemented to prevent its occurrence.

It is important to note that both these processes have the result/output of preventing
future accidents and incidents from occurring (Boyle 2019:291).

STUDY

Boyle (2019:291) and ensure that you know what the reasons are for conducting
accident investigations and risk assessments, and that you know the techniques
that fall under each category.

Let’s start off by looking at the advanced accident investigation process.

14.5 ADVANCED ACCIDENT INVESTIGATION

It is a requirement for health and safety professionals to conduct accident investigations
as part of their daily tasks. This means that the health and safety professional needs
in-depth knowledge of the purpose and desired outcomes of the accident investigation
process. In addition, the qualifications and competency of the investigating officer
are important. The investigating officer requires good analytical skills, detailed

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 LEARNING UNIT 14: Advanced accident investigation and risk assessment

knowledge of human factors and human reliability, and a high level of creativity to
generate possible recommendations and corrective actions (Boyle 2019:293).

Watch online the importance of accident investigations, by Green World Group

(4.50): https://youtu.be/XrC1quHY9Vo.

Several tools have been developed to aid the investigating officer with the accident
investigation. However, Boyle (2019:294) states that these tools are still dependent
upon the investigating officer’s level of knowledge, skill and competence. Boyle
(2019:294–303) discusses two of the investigating tools, namely Event and Causal
Factor Analysis (ECFA) and Management Oversight and Risk Tree (MORT).

STUDY

Boyle (2019:293) and ensure that you understand the reasons for conducting
advanced accident investigation. You will also need to know what the requirements
for an effective accident investigation are. Also, refer to Boyle (2019:86–90), where
interviews for incident investigations are outlined.

The following sections of this learning unit will look at these tools in more detail.

14.6 EVENT AND CAUSAL FACTOR ANALYSIS (ECFA)

Accidents are complex, multi-factorial events that develop from a specific sequence
of events, as demonstrated in the Domino Theories. An accident investigation thus
needs to identify not only the events, but also the conditions that gave rise to the
sequence of events. This is where the Event and Causal Factor Analysis (ECFA) comes
into the accident investigation process. Let’s first look at what an ECFA is.

An ECFA is a method used to collate incident investigation data into a logical,

sequential output that illustrates the events and causal factors involved, and how
they interrelate. It becomes a graphical display of the investigated accident, using
specific indicators (Boyle 2019:296).

Watch online the video clip by Convergence Training by Vector Solutions on Event
Causal Factor Analysis (ECFA) to understand how the process works (1.05): https://
youtu.be/5ns8-Yw1k2I.

An event is illustrated using a square, whereas a condition is illustrated by an oval.

Events are connected by means of a solid arrow, and conditions are connected by a
dashed arrow. The conditions and events are based on factual evidence.

Note: Where factual evidence cannot be confirmed and is presumed, this is

represented by a dashed square or oval. An accident investigation is illustrated in
Boyle (2019:295, fig 20.1).

STUDY

Boyle (2019:294–296) and ensure that you understand how to conduct an ECFA.

ACTIVITY 14.1: E VENT AND CAUSAL FACTOR ANALYSIS

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(ECFA)

An employee at a school uniform shop was injured when the boot lid of a delivery
vehicle came down and hit her on the head while offloading boxes of school
uniforms.

Here are some facts that were revealed by the investigation:

• The regular deliver driver was off sick.
• A substitute driver with a different delivery vehicle did the deliveries that afternoon.
• The driver arrived at 15:40 on 11/08/2020 and closing time is at 16:00.
• The employee wanted to leave at closing time.
• The employee does not normally assist with the offloading, only with booking
in the stock.
• The vehicle is old and the boot lid does not stay up like it would in a newer vehicle.
• The number of boxes were more than normal, due to back-order stock also being
delivered.
• The regular driver was aware of the fact that the boot lid doesn’t stay up, so he
always supports it with one hand while manoeuvring the boxes out of the vehicle.

As the health and safety professional, you are tasked to complete an ECFA after
the incident investigation. Use all the facts from the investigation and complete an
ECFA in a similar format as is illustrated in Boyle (2019:296, fig 20.1).

20 DISCUSSION 14.1: E
 VENT AND CAUSAL FACTOR ANALYSIS
(ECFA)

Discuss with fellow students what mental activities are required to conduct a
hazard identification.

STUDY

Boyle (2019:294–296) and ensure that you understand the ECFA accident
investigation technique.

The next section, we will look at the Management Oversight and Risk Tree (MORT)
technique of accident investigation.

14.7 MANAGEMENT OVERSIGHT AND RISK TREE (MORT)

Management Oversight and Risk Tree (MORT) is an analysis technique used in
conducting a root-cause analysis to identify inadequacies in control measures. MORT
identifies the specific aspects related to an event, as well as the management factors
that played a role in causing the event. MORT is a pre-designed logical tree that is
used for the identification of physical and inherent processes. MORT makes use of
the same symbols used in Fault Tree Analysis (FTA) such as the rectangle for events,
the cycle as the base-event symbol, a diamond representing an under-developed
event and the AND‑gate and OR-gate symbols are used, as illustrated in figure 14.1.

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 LEARNING UNIT 14: Advanced accident investigation and risk assessment

FIGURE 14.1
Basic logic symbols – AND-gate and OR-gate

Source: Shutterstock ID 53399233

STUDY

Boyle (2019:297–303) and figures 20.3 20.4 and 20.5, and ensure that you
understand the MORT root-cause analysis tool.

A safety variant of MORT is referred to as a Safety Management Oversight and Risk

Tree (SMORT). MORT is based on a comprehensive tree-structure analysis, while
SMORT is based on a tree-based methodology that includes data collection based on
checklists, inspection, and additional evaluation documentation. This information
is collected through interviews, inspections, investigations, and by studying safety
documentation. SMORT may also form the basis of a safety audit and the planning
of safety measures and controls (Ho n.d.).

It is important to investigate all accidents, regardless of their severity. A lot of lessons

can be learnt from such investigations to prevent further accidents (Boyle 2019:303).

The next part of this learning unit will deal with the advanced risk assessment process.

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14.8 ADVANCED RISK ASSESSMENT

Learning unit 3 covered the basic aspects of a risk assessment. This section looks at
risk and risk assessment in more detail. It will address aspects of risk terminology,
hazard identification, risk rating, severity distribution, acceptance of risk, and risk
assessment management. Let’s start with hazard identification.

The South African National Standard (SANS) 31000 (2009), Risk Management –
Principles and Guidelines, should be used as a guideline when conducting a risk
assessment. SANS 31010 (2010), Risk Management and Risk Assessment Techniques,
outlines various tools and techniques to follow during risk management and risk
assessment. Several risk rating scales can be used during risk assessment. It is essential
that the investigating officer select a rating scale that best meets the requirements
of the risk assessment. Also to be incorporated into the risk assessment process, is
the severity distribution. This allows for a judgement to be made on whether an
accident is likely, very likely, or unlikely to happen, and whether the harm that may
arise will be slight, moderate, or extreme (Boyle 2019:309).

Organisations implement risk management in accordance with one of three strategies.

They are (1) legislation-based, (2) sources-of-hazard-based, or (3) nature-of-harm-
based strategies. Each strategy has advantages and disadvantages and the correct
strategy is one that is in alignment with the organisational requirements (Boyle
2019:313).

Watch online the video clip by Health and Safety Executive on health and safety
risk assessments to see what the purpose of a risk assessment is (2.28): https://youtu.
be/xyANahuhGs0.

STUDY

Boyle (2019:304–315) and ensure that you know what aspects form part of the
advanced risk assessment process.

We will now investigate advanced risk assessment techniques.

14.9 ADVANCED RISK ASSESSMENT TECHNIQUES

In learning unit 3, you were introduced to the risk and opportunity assessment process.
This section will explore advanced risk assessment techniques in more detail. Advanced
risk assessment techniques can be used in various ways throughout the different stages
of a risk assessment. More than one risk assessment technique may be applied during
a risk assessment. It is important that, as the safety professional, you select the correct
risk assessment techniques for the activity being conducted. As previously indicated,
SANS 31010 (2010), Risk Management and Risk Assessment Techniques, outlines the
various tools and techniques to follow during risk management and risk assessment.
The risk assessment techniques discussed in Boyle (2019:315–333) include:
• Hazard and Operability Studies (HAZOP)
• Failure Modes and Effects Analysis (FMEA)
• Event Tree Analysis (ETA)
• Fault Tree Analysis (FTA)
Before deciding on a risk assessment technique, the risk assessment team must do
certain preliminary work. This includes defining the system and agreeing on the

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 LEARNING UNIT 14: Advanced accident investigation and risk assessment

system or the system components that will form part of the risk assessment, agreeing
on the aims and objectives, choosing the risk assessment techniques that will be
used, and assigning a team to carry out the risk assessment (Boyle 2019:316–319).

Watch online the video clip by PECB on risk assessment techniques and why they
are so important to organisations (35.46): https://youtu.be/KiL5ufPeAFE.

The first risk assessment technique that we will explore is the Hazard and Operability
Study (HAZOP).

14.9.1 Hazard and Operability Studies (HAZOP)

To clearly understand what a Hazard and Operability Study (HAZOP) is, we need
to look at its definition. A HAZOP is a qualitative technique that is used when
planning and designing a risk assessment system and identifying potential hazards.
The HAZOP process systematically evaluates processes and operations by asking
guiding questions that make use of guiding words that can be applied to the process
parameters to generate possible deviations from the designer’s intention. The questions
that are used in a HAZOP are divided into two sets, namely property and guiding
words (Boyle 2019:319).

A HAZOP is beneficial to health and safety, because it focuses on hazards and on

operability problems that negatively impact the organisation’s performance.

The study of hazards consists of six steps:

• Project exploration/preliminary project assessment – This is done to identify
inherent hazards related to the chemicals used in the process, the suitability of
the site, and possible environmental impact.
• Project definition – The purpose is to identify and reduce significant hazards
associated with items and areas. It is also used to check conformity with all the
relevant industry-specific standards and codes of practice.
• Design and procurement – The Piping and Instrumentation Diagram (PID)
is examined in detail. This is done to identify any deviations from design intent
that can cause operability problems or hazards.
• During the final stages of construction – Checking is done to ensure that
all recommended and accepted actions recorded in the first three steps are
implemented and being managed.
• During plant commissioning – Checking is done to ensure that all relevant
statutory requirements are incorporated into the process and that all installed
safety systems are reliably operable.
• During normal operation – Hazards are studied sometime after start-up,
especially if any modification has been made. This is done to check if the changes
have not rendered the HAZOP invalid by introducing new hazards into the
organisation.

Watch online for more information on what a HAZOP is, as explained by Icarus-
ORM Academy (8.31): https://youtu.be/6AqtX8oCpKI.

STUDY

Boyle (2019:319) and ensure that you understand the HAZOP process.

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21 CASE STUDY 14.1: H

 AZARD AND OPERABILITY STUDY
(HAZOP)

You are a health and safety professional who has been trained in the HAZOP
process. You are employed at a cooking oil manufacturer in Johannesburg who
is struggling to keep their production stable. You were asked to assist with the
HAZOP conducted on the unstable production levels.

The process of producing cooking oil follows these steps (Madehow 2020):
• The seeds are cleaned.
• The seeds are ground.
• The seeds are pressed, and oil is extracted from the seeds, using a solvent.
• The oil is refined, mixed with an alkaline substance, and washed in a centrifuge.
Further washing and refining follows.
• The oil is filtered and/or distilled.
• The oil is packaged.

Let’s assume that the one possible problem impacting production is that the
solvent used has expired and is not as strong as it should be. The second problem
is that the maintenance on the centrifuge is behind schedule, so there is a lot of
downtime for maintenance.

ACTIVITY 14.2: H
 AZARD AND OPERABILITY STUDY
(HAZOP)

Based on the knowledge you have gained, demonstrate how you will use the
HAZOP guiding words as set out in Boyle (2019:319) for case study 14.1. Make
use of the table below to demonstrate your understanding.

Cooking oil production volumes – to produce cooking oil volumes to customer order
Guiding word Deviation Possible cause Consequence Action required

Insufficient pro-
duction volumes
Insufficient pro-
duction volumes

The next risk assessment technique to be discussed, is Failure Mode and Effects
Analysis.

14.9.2 Failure Mode and Effects Analysis (FMEA)

A Failure Mode and Effects Analysis (FMEA) is a procedure that is used to identify
where specific systems or machinery can fail. This assessment is done to enable the
organisation to proactively prevent such failures. It is important that as many of these
systems and machinery failures as possible are identified and evaluated to prevent
possible failures (Micro.com n.d.).

The steps of FMEA are set out in figure 14.2 below, indicating the processes involved
in identifying the possible failures, assessing the risks and, lastly, prioritising and
implementing actions to prevent the failures that were identified.

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 LEARNING UNIT 14: Advanced accident investigation and risk assessment

FIGURE 14.2
Failure Mode and Effectiveness Assessment (FMEA)

Source: Shutterstock ID 1354396277

The FMEA considers the various failure modes and evaluates the effects of these
failures on hardware. FMEA considers numerical methods and can be used for
hazard identification and risk ratings. It lists hardware items for the analysis of
failures and uses a bottom-up approach to provide the investigating officer with
a basis for determining where changes can be made to improve the system design
(Boyle 2019:320).

Watch online the video clip by QIO Program, for more information on Failure
Mode and Effectiveness Analysis (FMEA) (2.52): https://youtu.be/yOLfe37gq4g.

Its structured approach makes the FMEA a powerful tool to help an organisation
anticipate potential failures (Micro.com n.d.).

STUDY

Boyle (2019:320–325) and ensure that you understand the FMEA process, paying
special attention to figure 20.14.

Let’s continue with the Event Tree Analysis.

14.9.3 Event Tree Analysis (ETA)

An Event Tree Analysis (ETA) is a forward and bottom-up approach that explores
both failure and success through a single initiating event (Rausand n.d.). An accidental
event is defined by Rausand (n.d.) as the first noteworthy deviation from a normal
situation that could lead to an unwanted consequence(s). It is a statistical technique
and inductive process used to assess the impact of an event. It begins with the
initiating event and develops a possible sequence of events that may have led to an
accident. ETA provides a systematic way to record accident sequences and defines
the relationship between the initiating events and the subsequent events that resulted

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in accidents. ETA plays an important role in identifying hazards (Raiyan, Das &
Islam 2017:277).

Watch online to see a further explanation of Event Tree Analysis (ETF) by Ian
Sutton (7.09): https://youtu.be/GpHOBWncePE.

By assessing the accidental events, an ETA can identify all potential accident scenarios
and its sequences. For each accidental event the potential accident progression, as
well as system dependencies and conditions, and system responses must be identified.
The barriers for a specific accidental event should be listed in the sequence in which
they will be activated (Rausand n.d.:11–13).

Unlike the FMEA and HAZOP, the ETA is primarily used to analyse the possible
effects and consequences of a failure. This means that the ETA is a very effective
method of calculating the probabilities of unwanted outcomes or failures (Boyle
2019:327).

STUDY

Boyle (2019:325–328) and ensure that you understand the ETA technique and how
it is used to calculate the probabilities of failures and unwanted events occurring.
Study figure 20.16 in Boyle (2019:327) for a graphical explanation of the ETA.

The next section deals with the Fault Tree Analysis (FTA).

14.9.4 Fault Tree Analysis (FTA)

A Fault Tree Analysis (FTA) systematically identifies the failures from specific parts
of a system, or the human error that has contributed to failure. The ‘top events’
or outcomes used in FTA are typically the most serious consequences identified
during HAZOP or FMEA. Once the main (top) event has been identified, the fault
tree is constructed by identifying the possible sequence/combination of events that
occurred. The events are connected by using a symbol know as a ‘gate’. There are
two symbols/gates that are used in FTA, namely the AND-gate and the OR-gate
(Boyle 2019:328). These symbols allow for a graphical representation of the event,
as previously illustrated in figure 14.1.

The FTA is applied under the following circumstances (Quality-one n.d.):

• A hazard analysis has previously indicated a safety concern that must be addressed.
• There is a new design with new content introduced into the organisation.
• There are modifications to a current design, possibly due to a past failure.
• A current design is introduced into a new environment.
• The investigation of a safety or regulatory concern prompts a review of the hazards.
• A picture of the failure would add more value than a written inductive analysis
would.

The five steps in conducting an FTA are (Quality-one n.d.):

• Hazard identification
• Understanding the system that is being analysed
• Creating the fault tree
• Identifying the cut sets (the sets of basic events whose occurrence ensures that
the top event occurs) that have a higher than acceptable risk
• Mitigating the risks from the identified cut sets
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 LEARNING UNIT 14: Advanced accident investigation and risk assessment

Watch online for a further explanation of the Fault Tree Analysis (FTA), by Ian
Sutton (17.22): https://youtu.be/QxhMYmpv6n0.

STUDY

Boyle (2019:328–330), paying special attention to figures 20.18 to 20.20. You need
to understand the FTA and the steps involved in the process.

ACTIVITY 14.3: FAULT TREE ANALYSIS (FTA)

Make use of figure 20.19 in Boyle (2019:330) and case study 14.1, where the
centrifuge is down due to a lack of regular maintenance, to develop a fault tree
analysis.

Feedback will be given online.

In the next part of this learning unit will review human error.

14.9.5 Human error

In section 11.5 in learning unit 11 we explored attitudes, motivation, personality and
intelligence. The decisions we make will be influenced by these factors and sometimes
humans make the wrong decisions or mistakes. This is referred to as human error.
Human error plays a big role in risk management and is a key factor that must be
considered during an accident investigation. In the bulk of incident investigations
human error plays a role. Boyle (2019:436–437) outlines a number of human error
classifications and types, which will be discussed later on in the study guide.

Watch online the video clip on understanding human error, by Sidney Dekker (9.02):
https://youtu.be/8R8nuAqpq-g, before moving on to discussion 14.2.

22 DISCUSSION 14.2: HUMAN ERROR

Discuss with your fellow students how human error can impact the cooking oil
production process in case study 14.1, providing one example per production step.

We will conclude by focusing on the SWOT analysis.

14.10 SWOT ANALYSIS

SANS (ISO) 45001 (2018) requires an organisation to identify external and internal
issues relevant to its purpose that can affect its ability to achieve the goals of its
Occupational Health and Safety (OHS) Management System (SABS 2018).

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This section will look at the SWOT analysis as a tool that can be applied to any
organisational process. Boyle (2019:330) explains how the SWOT analysis can be
applied to the process of planning to achieve an objective. The SWOT analysis is
used to analyse the following:
• Strengths – Internal characteristics that will aid the organisation in achieving
its objectives
• Weakness – Internal characteristics that can hinder the achievement of an
objective
• Opportunities – Things outside the organisation that can be used to help the
organisation
• Threats – Things outside the organisation that can hinder the achievement of
an objective

Figure 14.3 illustrates possible aspects of each of the SWOT elements that can be
considered when performing a SWOT analysis.

FIGURE 14.3
SWOT analysis elements and aspects

Source: Shutterstock ID 694454077

Watch online the video clip on what a SWOT analysis is, its definition, examples and
how to do a SWOT analysis, by SmartDraw (6.27): https://youtu.be/JXXHqM6RzZQ.

The SWOT analysis meets the requirements of the SANS (ISO) 45001 (2018) by
assessing the OHS risks and opportunities that impact the OHS management system
(SABS 2018).

14.11 OTHER RISK ASSESSMENT TECHNIQUES

There are numerous other risk assessment techniques that can be considered by an
organisation. Study table 14.1 for additional risk assessment techniques.

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 LEARNING UNIT 14: Advanced accident investigation and risk assessment

TABLE 14.1
Risk assessment tools
Relevance of influencing factors
Type of risk Description Resources Nature and Complexity Can
assessment and degree of provide
technique capability uncertainty quantitative
output
Look-Up Methods
Check-lists A simple risk identification Low Low Low No
method which provides a list-
ing of typical uncertainties that
need to be considered. Also
includes previously developed
lists, codes or standards.
Prelimi- A simple inductive analysis Low High Medium No
nary hazard method whose objective is to
analysis identify the hazards, hazard-
ous situations, and events that
could cause harm to a given
activity, facility or system.
Supporting Methods
Structured A means of collecting several Low Low Low No
interview and ideas, evaluating and rank-
brainstorming ing them. Brainstorming may
be stimulated by one-on-one
and one-on-many interview
techniques.
Delphi A method of combining expert Medium Medium Medium No
technique opinions that may help identify
the source, probability and
consequence, estimation and
evaluation of risk. It is a com-
bined technique for building
agreement among experts. It
involves independent analy-
sis and voting/selection by
professionals/experts.
SWIFT (struc- A system for encouraging a Medium Medium Any No
tured “what team to identify risks. Nor-
if?”) mally used during a facilitated
workshop and generally linked
to a risk analysis and evalua-
tion technique.
Human reli- Human Reliability Assessment Medium Medium Medium Yes
ability analy- (HRA) concentrates on the im-
sis (HRA) pact of employees on system
performance and can be used
to evaluate human error influ-
ences on the system.

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Relevance of influencing factors

Type of risk Description Resources Nature and Complexity Can
assessment and degree of provide
technique capability uncertainty quantitative
output
Scenario Analysis
Root cause A single loss that has tran- Medium Low Medium No
analysis spired is analysed to under-
(single-loss stand the contributory causes
analysis) and how the system/process
can be enhanced to avoid
similar losses in the future.
The analysis contemplates
what controls were in place at
the time of the loss and how
controls might be improved.
Scenario Potential future scenarios are Medium High Medium No
analysis identified through resourceful-
ness from the present scenar-
io, and different/similar risks
are considered, presuming
each of these scenarios could
occur. This can be performed
formally or informally, qualita-
tively or quantitatively.
Toxico- Hazards are identified and an- High High Medium Yes
logical risk alysed, and potential pathways
assessment through which a specified tar-
get/object might be exposed
to hazards are identified. Data
about the level of exposure
and the nature of harm caused
is combined to give a meas-
ure of the probability that the
specified harm will occur.
Business im- Specifies an analysis of Medium Medium Medium No
pact analysis how key disruption risks
could affect an organisa-
tion’s operations. It identifies
and quantifies the capabili-
ties/competencies required to
manage these risks.
Fault tree Begins by identifying the High High Medium Yes
analysis undesired event (top event)
and verifies the way in which it
could occur. Data is displayed
graphically in a logical tree
diagram. Consideration should
be given to ways of reduc-
ing or eliminating potential
causes/sources once the fault
tree has been developed.
Event tree Uses inductive reasoning to Medium Medium Medium Yes
analysis interpret the probabilities of
different initiating events oc-
curring, to determine possible
outcomes.

162
Relevance of influencing factors
Type of risk Description Resources Nature and Complexity Can
assessment and degree of provide
technique capability uncertainty quantitative
output
Consequence A combination of fault and High Medium High Yes
analysis event tree analysis that allows
the inclusion of time delays.
Causes and consequences
of an initiating event are
contemplated.
Cause-and-ef- An effect can have several Low Low Medium No
fect analysis contributory factors which
may be grouped into different
categories. These contributory
factors are identified through
brainstorming and presented
in a tree structure or fishbone
diagram.
Function Analysis
FMEA and Failure Mode and Effect Analy- Medium Medium Medium Yes
FMECA sis (FMEA) and Failure Mode,
Effects and Criticality Analysis
(FMECA) are methods that
identify failure modes, mecha-
nisms, and their effects. There
are several types of FMEA:
designs which are used
for components and products.
FMEA is used for systems,
process manufacturing, and
assembly processes. There is
also service FMEA and soft-
ware FMEA.
Sneak analy- This is a methodology for Medium Medium Medium No
sis (sneak cir- identifying design errors. A
cuit analysis) sneak condition is a latent
hardware, software or inte-
grated condition that could
cause an unwelcome event
to take place. It may inhibit
a desired event and is not
caused by component failure.
These conditions are charac-
terised by their random nature
and ability to escape detec-
tion during the most rigorous
of standardised system tests.
Sneak conditions can cause
inadequate operation, loss of
system availability, programme
delays, or even injury or death
to employees.

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Relevance of influencing factors
Type of risk Description Resources Nature and Complexity Can
assessment and degree of provide
technique capability uncertainty quantitative
output
Hazard and A general process of risk Medium High High No
operabil- identification that defines
ity studies possible deviations from the
(HAZOP) expected or intended per-
formance. It makes use of a
guideword-based system. The
criticalities of the deviations
are assessed.
Hazard A proactive, systematic, and Medium Medium Medium No
analysis preventive system for assuring
and critical product quality, reliability, and
control points process safety by measur-
(HACCP) ing and monitoring specific
features required to be within
defined limits.

Controls Assessment
Layers of Pro- This allows controls and their Medium Medium Medium Yes
tection Analy- effectiveness to be evalu-
sis (LOPA) ated. Also known as barrier
analysis.
Statistical Methods
Markov Markov analysis, also known High Low High Yes
analysis as “state–space analysis”,
is commonly used in the
analysis of repairable complex
systems that can be found
in multiple states, including
various damaged/degraded
states.
Monte Carlo Monte Carlo analysis is used High Low High Yes
analysis to establish the cumulative dif-
ferences in a system resulting
from variations in that system,
for a number of inputs, where
each input has a defined distri-
bution, and the inputs are re-
lated to the output via defined
relationships. The analysis
can be used for a specific
identifiable model where the
connections and interactions
of various inputs can be math-
ematically defined. The inputs
can be grounded upon a vari-
ety of distribution categories
according to the nature of the
uncertainty they are intended
to represent. Commonly used
for risk assessment, trian-
gular distributions or beta
distributions.
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 LEARNING UNIT 14: Advanced accident investigation and risk assessment
Relevance of influencing factors
Type of risk Description Resources Nature and Complexity Can
assessment and degree of provide
technique capability uncertainty quantitative
output
Bayesian A statistical procedure which High Low High Yes
analysis uses previous distribution data
to measure and evaluate the
probability of a result. Bayes-
ian analysis depends on the
accuracy of previous distribu-
tions to determine an accurate
result. Bayesian belief net-
works model cause-and-effect
in a variety of domains by
capturing probabilistic rela-
tionships of variable inputs to
derive a result.

Source: ISO 31010 2015: Table A-2:21-26; Rielander 2019:112–117

This brings us to the conclusion of this learning unit. The next learning unit will
focus on advanced risk control techniques.

14.12 SUMMARY
This learning unit looked at the aspects of advanced accident investigation and risk
assessment, and included various risk assessment techniques. Although only four
risk assessment techniques were discussed in the learning unit, SANS 31010 (2010)
outlines a number of other techniques that an investigating officer could consider.

14.13 SELF-ASSESSMENT QUESTIONS

(1) Explain the reasons for conducting an accident investigation.
(2) What are the reasons for conducting a risk assessment?
(3) Discuss the requirements for an effective accident/incident investigation.
(4) List the techniques that advanced accident investigation makes use of.
(5) Discuss the aspects of an Event and Causal Factor Analysis (ECFA).
(6) Compare the aspects of an Event Tree Analysis (ETA) and a Fault Tree
Analysis (FTA).
(7) Develop a Fault Tree Analysis.
(8) Expand on Hazard and Operability Studies (HAZOP).
(9) Explain your understanding of the Management Oversight and Risk Tree
(MORT).
(10) Discuss your understanding of human error.
(11) Explain how to conduct a SWOT analysis.

14.14 RECOMMENDED READING

Rielander, CL. 2019. Safety incident investigation. Cape Town: Juta.
Smit, SJ. 2018. Analysis of safety incidents. Cape Town: Juta.

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14.15 OTHER VIDEOS OF INTEREST

Convergence Training by Vector Solutions. 2018. Events and Causal Factor Analysis.
[Online] Available from https://youtu.be/5ns8-Yw1k2I [Accessed on 15 Au-
gust 2020].
Green World Group. 2018. Importance of accident investigation. [Online] Available from
https://youtu.be/XrC1quHY9Vo [Accessed on 16 August 2020].
Health and Safety Executive. 2020. Health and safety risk assessment and management.
[Online] Available from https://youtu.be/xyANahuhGs0 [Accessed on
14 August 2020].
Icarus-ORM Academy. 2015. What is a HAZOP? A crash course. [Online] Available
from https://youtu.be/6AqtX8oCpKI [Accessed on 16 August 2020].
PECB. 2016. Risk assessment techniques a critical success factor. [Online] Available from
https://youtu.be/KiL5ufPeAFE [Accessed on 14 August 2020].
QIO Program. 2014. Failure Mode Effects Analysis (FMEA). [Online] Available from
https://youtu.be/yOLfe37gq4g [Accessed on 15 August 2020].
Sidney Dekker. 2016. Understanding human error, Part 2. [Online] Available from https://
youtu.be/8R8nuAqpq-g [Accessed on 16 August 2020].
SmartDraw. 2018. SWOT analysis – What is SWOT? Definition, examples and how to do
a SWOT analysis. [Online] Available from https://youtu.be/JXXHqM6RzZQ
[Accessed on 16 August 2020].
Sutton, I. 2015. Event Tree Analysis. [Online] Available from https://youtu.be/GpHOB-
WncePE [Accessed on 16 August 2020].
Sutton, I. 2015. Fault Tree Analysis. [Online] Available from https://youtu.be/Qxh-
MYmpv6n0 [Accessed on 16 August 2020]

14.16 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
EHSDB. Environmental Health and Safety Data Base. n.d. Hazard and Operability
(HAZOP). [Online] Available from http://www.ehsdb.com/hazop.php [Ac-
cessed on 14 August 2020].
Ho, V. n.d. The methodolog y of management oversight and risk tree. [Online] Available from
https://www.hkarms.org/.../2010-03%20What%20is%20the%20Manage-
ment%20Oversion [Accessed on 3 April 2019].
Madehow. 2020. Cooking oil. [Online] Available from http://www.madehow.com/
Volume-1/Cooking-Oil.html#:~:text=Cooking%20oil%20manufacture%20
involves%20cleaning,and%20washed%20in%20a%20centrifuge [Accessed
on 13 August 2020].
Micro.com. n.d. FMEA: How to properly set up Failure Modes and Effects Analysis. [On-
line] Available from https://miro.com/blog/what-is-fmea/ [Accessed on
15 August 2020].
Quality-One. n.d. Fault Tree Analysis (FTA). [Online] Available from https://quality-
one.com/fta/ [Accessed on 13 August 2020].
Raiyan, A, Das, S & Islam, RM. 2017. Event Tree Analysis of marine accidents in
Bangladesh. Science Direct 194:276–283.
Rausand, M. n.d. Chapter 3. Event tree analysis. [Online] Available from http://web.
mst.edu/~dludlow/classes/che258/Event%20Trees.ppt [Accessed on 26 Oc-
tober 2018].
Rielander, CL. 2019. Safety incident investigation. Cape Town: Juta.
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2009. ISO 31000. Risk management – Principles and
guidelines. Pretoria: SABS.

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 LEARNING UNIT 14: Advanced accident investigation and risk assessment

South African Bureau of Standards. 2010. ISO 31010. Risk management – Risk assess-
ment techniques. Pretoria: SABS.
South African Bureau of Standards. 2018. ISO 45001. Safety management systems – Re-
quirements. Pretoria: SABS.
Wang, W, Liu, X, Qin, Y & Fu, Y. 2017. A risk evaluation and prioritization method
for FMEA with prospect theory and Choquet integral. Science Direct 110:152–263.

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15 LEARNING UNIT 15
15 ADVANCED RISK CONTROL TECHNIQUES

15.1 LEARNING OUTCOMES

After working through this learning unit and chapter 21 in the prescribed textbook,
you should be able to
(1) outline the measures of risk control
(2) advise on the implementation of relevant risk control measures in given
scenarios
(3) summarise the hierarchies of risk control
(4) classify and elaborate on risk response
(5) summarise the method of brainstorming
(6) summarise the method of systems thinking
(7) substantiate the importance of an organisational safety culture
(8) explain how to assess the safety culture
(9) explain how to effectively influence the safety culture

15.2 ABBREVIATIONS AND CONCEPTS

Assessing safety culture Hierarchy of control
Influencing safety culture Measuring safety culture
Risk control ideas Risk control measures
Safety culture Systems thinking

15.3 INTRODUCTION
In learning unit 4, you were introduced to risk control measures, risk principles, risk
choices, and actions that can be taken to control risk. Risk plays a very big role in
the success of an organisation. Since risk is always part of any organisation, it must
be understood to be managed (Reader 2017).

Watch online the video clip by Gregg Learning on safety and risk management
to recap what you have learned thus far (3.01): https://youtu.be/JTVR6tCwL9M.

Risk control is a method of countering risk and includes activities such as the
elimination or reduction of factors that may cause loss, as well as the minimisation of
the actual loss that occurs when preventative methods have not been fully effective.
The physical control of risk, that is the prevention or control of loss, is referred to
as risk control.

In this learning unit we will explore advanced risk control techniques. Let’s begin
by looking at risk control measures.

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 LEARNING UNIT 15: Advanced risk control techniques

15.4 RISK CONTROL MEASURES

After an organisation has identified the hazards and assessed the risks it is exposed
to, it needs to implement effective control measures. These are referred to as risk
control measures. Risk control measures are implemented in an organisation to help
manage its risks and prevent any loss from occurring. The reduction of risk may be
done in one of three ways (Boyle 2019:335):
• reducing the likelihood
• reducing the severity
• reducing both the likelihood and severity

23 DISCUSSION 15.1: RISK CONTROL MEASURES

Identify the risk control measure in the following scenario:

The owner of a fish and chips take-away shop installs a splash guard on the deep
fryer in which food is fried.

Feedback will be given online.

Learning unit 4 addressed aspects of risk control measures and the hierarchies of
risk control. Risk control measures are not always completely effective, as they are
dependent upon human behaviour, and therefore several ways to calculate their
effectiveness are needed (Boyle 2019:337).

Risk control measures are developed by employers to protect their employees from
harm and it is common for employers to implement disciplinary measures for the
contravention of these control measures. The control measures can include physical
barriers, training, safe work procedures, permit-to-work systems, and even safety
rules (SkillMaker.edu.au 2014).

The aims/objectives of risk control measures are (SkillMaker.edu.au 2014):

• to identify the risks that may be present in the workplace
• to identify who may be impacted by these risks
• to educate the employees about the risks to which they may be exposed
• to train the employees in emergency preparedness, and on how to report an
incident or an unsafe condition in their workplace
• to do periodic evaluations of the employees’ knowledge and understanding of
the risk control measures implemented by the organisation
• to enforce consequences for not following the risk control measures
The following are examples of risk control measures that can be implemented
(SkillMaker.edu.au 2014):
• Seeing to housekeeping practices, where everything is given a place and must be
kept in its place
• Establishing safe escape routes as part of emergency preparedness and response
• Performing mock emergencies as practice for real emergencies
• Automating processes and equipment where possible
• Installing machine guards and tripwires on high-risk equipment
• Reviewing and updating task execution methods to increase safety
• Implementing policies and safe work procedures
• Providing the required task-specific PPE to employees
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ACTIVITY 15.1: IMPLEMENTING RISK CONTROL MEASURES

A local car wash has employed you as a health and safety professional to advise
them on the risk control measures to be implemented in the organisation after
installing a new high-powered water washer in the wash bay. The hazards are
high-pressure water, the electrical equipment that operates the washer, and the
slippery surfaces caused by the soapy water used during the washing process.
In 200 to 250 words, indicate what advice you will give the employer regarding
control measures to implement.

Risk control measures are implemented according to the hierarchy of control.

This hierarchy specifies that risk must be treated in one or more of the following
ways (CDC 2015):

• Elimination
Refers to removing the hazard or activity completely

• Substitution
Refers to (for example) using a different chemical that is less hazardous

• Engineering controls
Refers to (for example) installing a machine guard on a piece of machinery

• Administrative controls
Refers to a procedure that is implemented to ensure safe task execution

• PPE
Refers to the personal protective equipment provided to employees

These control measures can be portrayed as a pyramid, with elimination at the

top and PPE at the bottom (figure 15.1).

FIGURE 15.1
Hierarchy of controls

Source: Shutterstock ID 1663135174

170
 Watch online the hierarchy of controls that can be implemented in an organisation
to control its risks, as explained by Healthier Workforce Center (5.13): https://youtu.
be/XOkPcLD5Soo.

STUDY

Boyle (2019:335–338) and ensure that you understand what the criteria for risk
control measures are. You need to understand the reliance on and reliability of
risk control measures.

In the next section of this learning unit, we will look at how risk control ideas can
be generated in an organisation.

15.5 GENERATING RISK CONTROL IDEAS

In learning unit 4 you were introduced to risk response. After identifying and
evaluating risk, a response to the risk is needed. Risk response can be classified as
(Valsamakis et al 2010:152):
• acceptance of the risk
• transfer of the risk
• mitigation of the risk
Risk control is a method of countering risk to prevent loss. Boyle (2019:339–341)
outlines various techniques that can be used by the health and safety professional to
generate ideas for risk control measures, such as brainstorming, systems thinking,
and system failure analysis. In learning unit 14, table 14.1 provides more information
on valuable risk assessment tools.

Brainstorming is a method used to generate ideas among employees to solve a problem.

Creative ideas are gleaned from a group of employees or an individual and these
ideas are then prioritised into actionable plans (Boyle 2019:339).

Watch online the video clip by Ashley McCarthy on how brainstorming is done in
the risk management field: https://youtu.be/7mylUt8ef9s.

Systems thinking is a holistic approach to the analysis of a system in which the safety
professional evaluates the broad aspects of the system. However, systems thinking
means something different for each person. The theory of systems thinking is more
than a collection of methods; it is a philosophy and a diagnostic tool. Systems thinking
may require a move away from observation to data collection and the identification
of behaviour patterns over time. Systems thinking increases the choices for problem-
solving and helps to express problems in different and new ways (Goodman 2018).

Watch online how systems thinking is applied in the health sector, as discussed by
James Swanson (5.11): https://youtu.be/GPW0j2Bo_eY.

System failure analysis is a technique used to determine the underlying causes of system
non-conformance and to make recommendations on effective control measures.
System failure analysis requires a clear understanding of the failure. In learning unit
14 (14.9.4) you were introduced to the Fault Tree Analysis method, which can be used
to do the system failure analysis. A Fault Tree Analysis (FTA) is used to determine
all potential system failures. Once all failures have been identified, the approach is
to develop corrective actions for implementation (Berk n.d.).

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STUDY

Boyle (2019:339–346) and ensure that you understand the concept of systems
thinking and how it can be used to provide solutions to problems. You will need
to know how system failure analysis is used in an organisation.

Next, we will examine an organisation’s safety culture.

15.6 SAFETY CULTURE

A prominent factor that has an impact on an organisation’s safety performance is
its safety culture. ‘Safety culture’ refers to the attitude and beliefs of people; it is
their perceptions and values, attitudes, beliefs, and the shared values of employees
concerning safety in the workplace. Safety culture is thus part and parcel of an
organisation’s culture and is generally referred to as “the way we do things around
here” (Boyle 2019:347).

Watch online the video clip on safety culture. by Montana State Fund (2.57): https://
youtu.be/_fpRmqQ9uj8.

The safety culture plays an important role in determining whether an organisation will
be successful or unsuccessful. The main objective of an organisation’s safety culture
strategy should be to establish a sustainable approach that prevents negative safety
culture experiences. The workplace consists of various safety culture levels, which
are determined by the safety culture core elements. These core elements represent
the organisation’s safety culture maturity and consist of physiological, behavioural,
and situational elements (Kim, Park & Park 2015:90).

A safety management system cannot be effective unless complemented by a positive

safety culture in the workplace. In many cases, failure is due to a lack of positive
safety culture strategies (Kim, Park & Park 2015:90).

Let’s look at how the safety culture can be measured.

15.6.1 Measuring the safety culture

A safety culture can be measured to establish the current status and what is required
to influence the safety culture to improve it. This can be done using an attitude survey
that will allow the organisation to gauge the nature and strength of its safety culture.
Boyle (2019:353) describes the practical approach that can be taken to conducting
these measurements.

Through a coordinated assessment process, a safety culture can be measured, and thus
improved. After gaining a better understanding of the assessment’s significant findings,
the critical few findings that have the potential for the greatest transformational impact
on the site’s/organisation’s safety culture are identified, prioritised, and addressed.
Seven steps can be followed to assess a safety culture (Galloway 2010):
• Review documentation, programmes, and policies.
• Communicate prior to employee interaction.
• Conduct a location walk.
• Have a discussion with the leadership.
• Utilise a customised safety perception survey.
• Conduct group and individual interviews.
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 LEARNING UNIT 15: Advanced risk control techniques

• Provide a report focusing on internally actionable items.

After the measurement has been completed, the data needs to be analysed to provide
a clear picture of the organisational safety culture. This will indicate where there are
areas with a poor safety culture, and from there the causes can be identified. There
may be numerous causes that need to be addressed. In some cases, a poor safety
culture can be influenced by conventional management techniques like training and
rewards. Some other cases may require special techniques. Commonly used methods
include (Boyle 2019:356):

• Continuous supervision
When employees are watched, they do the right thing.

• Sanctions for nonconformity

Sanctions can vary from verbal criticism, to disciplinary action, to dismissal.

• Rewards for conformity

These can vary from verbal recognition, to financial rewards, to promotion.

ACTIVITY 15.2: ASSESSING THE SAFETY CULTURE

You are the health and safety professional at the local supermarket and you were
tasked with assessing the safety culture of the employees. You must include
management, as well as entry-level staff. Elaborate in 200 to 250 words on how
you would use the seven steps provided above to assess the organisational safety
culture.

STUDY

Boyle (2019:347–356) and make sure that you understand how to measure the
organisational safety culture.

A safety culture needs to be strong for an organisation to reap the benefits and in
most cases, the culture needs to be influenced to improve. We will look at how to
influence safety culture in the next section of this learning unit.

15.6.2 Influencing safety culture

Effective influencing of the safety culture can be of great benefit to an organisation,
as it will lead to improved safety performance. It will also address the causes of an
ineffective safety culture (Boyle 2019:352). The largest influences on safety culture
are known to be (Humanfactors101 n.d.):
• management’s commitment and style in enforcing and promoting safety
• employee involvement in safety-related processes
• training and competence of the organisation
• communication on safety
• compliance with safety-related procedures
• organisational learning about safety-related matters
Watch online how to influence a safety culture and the impact supervisors have on a
safety culture, as explained by Kevin Burns (3.06): https://youtu.be/379HyACAFhI.

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Numerous tips are provided by professionals on how to influence the safety culture
of an organisation.

Watch online to see some of these tips to influence safety culture, by Basicsafetysuit
2020 (3:42) https://www.youtube.com/watch?v=XK4vx8HY5_U.

STUDY

Boyle (2019:347–355) and ensure that you understand all the aspects of a safety
culture in an organisation.

15.7 SUMMARY
In this learning unit, we reviewed risk control measures and looked at certain risk
control techniques that the safety professional could use in determining risk control
ideas and recommendations. The learning unit concluded with an overview of
organisational safety culture, which should be the starting point of an organisation’s
risk control strategy.

15.8 SELF-ASSESSMENT QUESTIONS

(1) List the three risk-reduction measures.
(2) Explain the hierarchies of risk control.
(3) Give examples of risk control measures that can be implemented.
(4) What are the three risk response classifications?
(5) Discuss your understanding of
• brainstorming
• systems thinking
• system failure analysis
(6) Why is it important for organisations to follow a safety culture?
(7) Advise on how to assess the safety culture.

15.9 RECOMMENDED READING

Louw, L. 2015. Managing safety culture. Pretoria: Juta.
Smith, SJ & Masebe, MJ. 2019. Managing organisational safety culture. Pretoria: Juta.
Valsamakis, AC, Vivian, RW & Du Toit, GS. 2010. Risk management. 4th edition.
Sandton: Heinemann

15.10 OTHER VIDEOS OF INTEREST

Basicsafesuite. 2019. 5 tips to influence your safety culture. [Online] Available from https://
youtu.be/XK4vx8HY5_U [Accessed on 22 August 2020].
Burns, K. 2018. 6 key parts of improving safety culture. [Online] Available from https://
youtu.be/379HyACAFhI [Accessed on 21 August 2020].
Circle Safety. 2017. Creating a workplace safety culture. [Online] Available from https://
youtu.be/2VM5yS3xF9c [Accessed on 13 September 2020].
Gregg Learning. 2018. Safety and risk management. [Online] Available from https://
youtu.be/zADj0k0waFY [Accessed on 21 August 2020].

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 LEARNING UNIT 15: Advanced risk control techniques

Healthier Workforce Center. 2019. The hierarchy of controls. [Online] Available from
https://www.youtube.com/watch?v=XOkPcLD5Soo [Accessed on 21 August
2020].
McCarthy, A. 2017. Risk Identification Brainstorming AD Final. [Online] Available from
https://youtu.be/7mylUt8ef9s [Accessed on 22 August 2020].
Montana State Fund. 2019. Safety culture. [Online] Available from https://youtu.be/_
fpRmqQ9uj8 https://youtu.be/_fpRmqQ9uj8 [Accessed on 22 August 2020].
Swanson, J. 2014. Systems thinking! [Online] Available from https://youtu.be/QAQYm-
CDCIPQ [Accessed on 22 August 2020].

15.11 REFERENCES
Basicsafetysuite. 2020. 5 Tips to influence your safety culture. [Online] Available from:
https://www.youtube.com/watch?v=XK4vx8HY5_U. [Accessed 1 Nov 2022].
Berk, JH. n.d. System failure analysis. [Online] Available from https://www.jhberkan-
dassociates.com/systems_failure_analysis.htm [Accessed on 15 April 2019].
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Galloway, M. 2010. Assessing your safety culture in seven simple steps. [Online] Available
from https://www.ehstoday.com/safety/article/21914669/assessing-your-safety-
culture-in-seven-simple-steps [Accessed on 18 August 2020].
Goodman, M. 2018. System thinking: What, why, when, where and how. [Online] Available
from https://thesystemsthinker.com/systems-thinking-what-why-when-where-
and-how/ . [Accessed on 15 April 2019].
Humanfactors 101. n.d. Safety culture. [Online] Available from https://humanfac-
tors101.com/topics/safety-culture/ [Accessed on 19 August 2020].
Kim, Y, Park, J, Park, M. 2015. Creating a culture of prevention in occupational
safety and health. Safety and Health at Work 7:89–96. [Online] Available from
https://www.sciencedirect.com/science/article/pii/S2093791116000093 [Ac-
cessed on 12 July 2018].
OSHA. n.d. Hierarchy of controls. [Online] Available from: https://www.osha.gov/
safety-management/hazard-prevention. [Accessed con 18 August 2020].
Reader, C. 2017. What is risk management & risk control? [Online] Available from https://
bizfluent.com/info-7953037-risk-management-risk-control.html [Accessed on
18 August 2020].
SkillMaker.edu.au. 2014. Risk control measures. [Online] Available from https://www.
skillmaker.edu.au/risk-control-measures/ [Accessed on 20 August 2020].
Valsamakis, AC, Vivian, RW & Du Toit, GS. 2010. Risk management. 4th edition.
Sandton: Heinemann.

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16 LEARNING UNIT 16
16 EMERGENCY PLANNING

16.1 LEARNING OUTCOMES

After working through this learning unit and chapter 22 in the prescribed textbook,
you should be able to
(1) justify the importance of emergency planning and expand on how to plan
for emergencies
(2) summarise the various ways to identify emergency events
(3) identify emergency management actions
(4) record an emergency plan
(5) illustrate the emergency management process flow
(6) expand on the types of hazards that must be considered when developing an
emergency plan
(7) elaborate on the documented emergency plan
(8) explain the reasons for testing the emergency plan
(9) elaborate on how an organisation can recover from an emergency

16.2 ABBREVIATIONS AND CONCEPTS

HSMS Health and Safety Management System
ISO International Organization for Standardization
PDCA Plan Do Check Act
SANS South African National Standards

Actions Desktop exercise

Emergency Emergency drill
Emergency response Emergency plan
Hazards Planning
Recording Testing

16.3 INTRODUCTION
In the previous learning units, you studied numerous risk and safety-related topics.
In this learning unit, you will be introduced to emergency planning. Emergencies
are events that impact every organisation and require an immediate response to
minimise the impact of the event. Since these events can have devastating effects
if they are not addressed quickly and effectively, it is critical that organisations have
emergency plans in place (Boyle 2019:358).

Emergency management consists of four processes/actions that form part of a

process flow (fig 16.1). These are:

• Prevention, where possible emergencies are identified and documented

• Preparedness, where the emergency plan is tested by performing desktop
exercises or emergency drills

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 LEARNING UNIT 16: Emergency planning

• Response, where, when an emergency occurs, the organisation puts the plan into
action and dispatches the required resources to resolve the emergency
• Recovery, where the organisation takes the necessary actions required to get
everything back to normal, so that normal operations can continue

FIGURE 16.1
Emergency management process flow

Source: Shutterstock ID 344755760

24 DISCUSSION 16.1: EMERGENCY PLANNING

Discuss with your fellow students if you think the local petrol station needs to
have an emergency plan. Research the hazards present at a petrol station and
substantiate your answer.

Feedback will be given online.

Watch online what an emergency is, and how to handle a workplace emergency,
as discussed by Prudential Overall Supply (1:41): https://youtu.be/eDqSt2mOudM.

Watch online an introduction to emergency management, by Hartford HealthCare

(3.31): https://youtu.be/j59SEXukVmc.

In the next section, we will consider how to plan for emergencies.

16.4 PLANNING FOR EMERGENCIES

In learning unit 2, you were introduced to the Plan-Do-Check-Act (PDCA) cycle.
The PDCA cycle must be in place to ensure the success of the Health and Safety
Management System (HSMS). Emergency preparedness is another one of the
organisational processes that has to follow this cycle set out in SANS (ISO) 45001
(2018) (SABS 2018:vii).

Emergencies occur in all organisations, so it is important to understand what an

emergency is. Boyle (2019:358) defines an emergency as an event that requires rapid
response to minimise the losses that it can cause. Emergency planning requires the
identification of the following (Boyle 2019:358):
• the events that can cause an emergency
• the activities required to respond to the emergency
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Watch online the four phases of emergency to see how the process is managed, as
explained by Ben Lockspeiser (3.23): https://youtu.be/tKa8POjWfE0.

When an organisation plans and prepares for emergencies, the process is referred to
as emergency preparedness. The actions that are taken in the first few minutes after
an emergency is discovered, are critical. Immediately sounding the emergency alarm
and promptly warning employees to evacuate the area or find shelter, can save lives.
It is also critical for accurate information to be provided when an organisation relies
on its local or provincial emergency services. This will help the dispatcher send the
right responders and equipment to the organisation (Ready.gov n.d.).

Watch online what emergency disaster preparedness is, and the kind of emergencies
that organisations are exposed to, by YorkRegionGovt (2.21): https://youtu.be/
iAs0JLpkaxE.

STUDY

Boyle (2019:358) and ensure that you understand how to plan for an emergency.

16.4.1 Identifying emergency events

Emergencies are events that occur or are caused by abnormal circumstances. These
will vary across industries and apply to big and small organisations alike.

Such events require the following to successfully mitigate the outcome (Boyle
2019:358):
• rapid deployment of resources
• specialised competencies
• rapid responsive actions

Watch online the video clip about identifying workplace emergencies, by Momentum
Safety and Ergonomics (4:44): https://youtu.be/F-8A3W295Ug.

The first step in the emergency planning process is to identify all the events that
can occur in the organisation that could lead to an emergency. This forms part of
the risk assessment process. An understanding of what can go wrong can help an
organisation to prepare and ensure that sufficient resources will be available to
respond effectively to the emergency (Ready.gov n.d.).

Boyle (2019:358) states that this identification is done in two stages, namely:
• Identifying all outcomes that would require the deployment of emergency response
measures. Fires, explosions, and the release of products or chemicals fall in this
category.
• Identifying events that can produce a particular outcome, such as deliberate
actions like sabotage, the dumping of chemicals, or arson.

The possibility of these events occurring must be considered and preventative

measures must be implemented. It is also very important that any additional control
measures that can mitigate the effect of the emergency should be identified (Boyle
2019:358).

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ACTIVITY 16.1: IDENTIFYING EMERGENCY EVENTS

As the health and safety professional employed at the local petrol station, make
use of the information you have obtained in discussion 16.1 and develop a list of
possible emergencies that could occur at the petrol station.

This forms part of the ‘Do’ element in the PDCA cycle, as described in SANS (ISO)
45001 (2018) (SABS 45001 2018:vii).

STUDY

Boyle (2019:358–359) and ensure that you understand how to identify emergency
events.

After identifying all the possible events that can occur, the actions required to
respond to these emergencies must be determined.

16.4.2 Identifying emergency management actions

The sooner actions are implemented to respond to an emergency, the less damage
it can cause to the organisation. It is thus necessary for detailed actions to be set out
to respond to the possible emergencies that were identified. The organisation needs
to ensure that every action identified achieves the required outcome of responding
to the emergency and mitigating the possible effects (Boyle 2019:359).

Boyle (2019:359) indicates that the identification of the required actions must be
done in two stages:
• specifying the objectives that must be achieved
• specifying the actions that must be implemented to achieve these objectives

The required actions must clearly explain who must do what, when, and with what
outcome. These criteria must be adhered to and measured to ensure that the actions
are carried out effectively (Boyle 2019:358).

The chosen action depends on the emergency. If there is a hazard of fire inside a
building, the action will be to evacuate employees to safety. If there is social unrest,
the action would be to institute a lockdown, where employees are kept safely inside
the workplace. For each identified emergency, a suitable action has to be identified
to ensure the safety of the employees (Ready.gov n.d.).

ACTIVITY 16.2: I DENTIFYING EMERGENCY MANAGEMENT

ACTIONS

As the health and safety officer employed at the local petrol station, make use of
the hazards that you have identified in activity 16.1. List at least one emergency
management action per hazard you have identified.

Watch online the video clip by GCADA.org on emergency action plans to see
what actions are identified and how they are implemented (5:15): https://youtu.
be/_CyTW-_TUpQ.

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STUDY

Boyle (2019:359–362) and make sure that you know how to identify the actions
required to mitigate emergencies.

This forms part of the ‘Do’ element in the PDCA cycle, as described in SANS (ISO)
45001 (2018) (SABS 45001 2018:vii).

After the possible emergencies have been identified and the actions to address the
emergencies have been selected, it is time for the emergency plan to be recorded.

16.5 RECORDING THE EMERGENCY PLAN

After all the possible emergencies and required actions have been identified and
assessed, the organisation needs to put together the emergency plan. Boyle (2019:362)
details the steps to record the plan by using a structured set of questions. The
appropriate set of questions will depend on the kind of emergency, as well as the
resources to be utilised. Planning to achieve the objectives of the emergency plan
can be done in three stages (Boyle 2019:363):
• Brainstorming the issues to be addressed
• Working out the details required
• Converting each detailed issue into a set of questions that sets the standard that
needs to be met

Developing an emergency plan begins with a clear understanding of all the emergencies
that can occur. After this understanding has been gained, the organisation must
identify all the resources that will be needed to address these emergencies, including
resources from local municipalities. The organisation needs to determine what
information has to be documented in the emergency plan. The organisation must also
prepare emergency procedures for the identified emergencies, foreseeable hazards,
and threats (Ready.gov n.d.).

25 DISCUSSION 16.2: HAZARD TYPES

There are numerous hazards to consider when developing an emergency plan.

List five hazard types and give at least one example of each.

Feedback will be given online.

A very important part of any emergency plan is a plot plan that clearly indicates the
location of fire equipment, emergency routes, and emergency exits. An example of
a plot plan is provided in figure 16.2. Note how all the emergency equipment and
escape routes from any part of the building are indicated. The plot plan should be
prominently displayed in the workplace, so that everyone can see where they need
to go in case of an emergency.

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 LEARNING UNIT 16: Emergency planning

FIGURE 16.2
Plot plan

Source: Shutterstock ID 393675034

ACTIVITY 16.3: RECORDING THE EMERGENCY PLAN

As the health and safety official of the petrol station, you need to develop an
emergency plan that details what needs to be done by whom when a fire occurs
at the petrol station when petrol fumes ignite due to a patron smoking close to his
car when it is being filled with petrol.

Watch online what an emergency procedure is, and what it means, by The Audiopedia
(4.01): https://youtu.be/OnT9Rk4ooh4.

STUDY

Boyle (2019:362–366) and ensure that you understand how to record an emergency
plan.

Figure 22.3 in Boyle (2019:366) outlines a summary of preparation procedures

when planning an emergency plan. After the emergency plan has been developed,
it must be tested to ensure that it meets the objectives that were set out and that the
organisation can successfully respond to any emergency that may occur.

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16.6 TESTING THE PLAN

A plan is only as good as the results it can deliver. It is important for the plan to
be tested to ensure that it can deliver the required results of effectively responding
to emergencies and minimising the damage caused by those emergencies (Boyle
2019:367). Employees must be trained on the emergency procedure and plan to
ensure that they know what must be done. This can be achieved by testing the plan
(Ready.gov n.d.).

Testing plans before implementation may entail testing the individual elements of
the plan or testing the effectiveness of the entire plan. An organisation can either
perform a desktop exercise or perform an actual emergency drill, where an emergency
is simulated and all the relevant resources are deployed. Testing after implementation
means testing whether the plan was implemented successfully, whether it met the
specified objectives, and if it worked the way it was intended to (Boyle 2019:368).
The plan must immediately be updated if any shortcomings are identified during
the testing, such as:
• emergencies that were not identified initially
• response to an emergency that was not sufficient
• changes in evacuation routes that will be safer for employees
Changes to the plan must be communicated to employees as soon as the updates
are complete.

This will ensure that employees are always ready to respond to an emergency in the
safest and most effective way (Ready.gov n.d.).

Watch online for an explanation of an organisational emergency plan and how it

is tested in practice, by Your ACSA Safety (6.33): https://youtu.be/SYC4Tpnuetg.

This falls under the ‘Check’ element of the PDCA cycle, and when corrective actions
are implemented to improve the emergency plan, it falls under the ‘Act’ part of the
PDCA cycle.

STUDY

Boyle (2019:367–370) and ensure that you understand how an emergency plan
can be tested and what it needs to be tested for.

Next, we will look at the steps to follow when an emergency occurs in the workplace.

16.7 RESPONDING TO AN EMERGENCY

The emergency planning process entails a thorough risk assessment, planning,
training, and testing to prepare the organisation for an emergency. It is safe to assume
that if the plan is tested and emergency drills are held regularly, the organisation will
be ready to respond when an emergency occurs in the workplace (Boyle 2019:369).

When an emergency occurs at a workplace, the emergency alarm is sounded to

warn all employees in the area of the emergency. It can cause panic and confusion if
employees do not have anyone to guide them through the emergency. For this very
reason, organisations appoint emergency co-ordinators who oversee the emergency
response and provide information to emergency services and responders. They ensure
that the employees are safely evacuated from the area, if required. All employees and

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visitors to the workplace need to follow the instructions given by the emergency co-
ordinator at all times. This will ensure that everyone remains calm and organised,
and prevent employees from causing further injury. It will also ensure that everyone
is accounted for when the co-ordinator or a designated person takes roll call to
determine everyone’s presence. If some employees are unaccounted for, trained
employees who use self-contained breathing apparatus can be sent to look for them,
if it is safe to do so (Aaron 2019).

Emergency response personnel will ensure that the emergency is mitigated by

extinguishing a fire or performing a hazardous chemical clean-up. Emergency
response teams are also responsible for providing medical treatment to any injured
employees (Aaron 2019). So, how does an organisation recover from an emergency?

16.8 RECOVERING FROM AN EMERGENCY

Recovery is the last part of the emergency management process flow. This is the
part where the organisation tries to get back to the way it was before the emergency
occurred. During this phase, the organisation will make its operations safe again by
clearing away anything that was left behind during the emergency. This may include
removing damaged equipment or cleaning up the scene of an accident or incident,
so that work can continue (Lawton 2014).

All disasters have common elements that can be grouped according to the following
categories (Lawton 2014):
• Loss of information, where a software system was damaged, and information
was lost
• Loss of access to facilities, where the facility is damaged and unsafe to enter
• Loss of people, where there are injuries or fatalities at the workplace
All of these categories must have a recovery plan to ensure that the information can
be recovered, the facilities can be accessed for necessary repairs, and that there is
medical treatment available for injured employees to ensure that they recover and
can continue with their tasks (Lawton 2014).

In cases like the Beirut explosion, which occurred on 4 August 2020, where a large
amount of ammonium nitrate exploded, causing fatalities, injuries and extensive
property damage, it will take a long time before the port and the surrounding
organisations will be back in operation. Organisations like grocery stores may be
able to recover from a workplace emergency much quicker due to the nature of the
risks that are present in their workplace.

To ensure that an organisation can recover from an emergency, specific activities

need to be executed in a specific sequence. If there is no structure to the recovery
activities, the recovery will take much longer and may result in additional hazards
and risks emerging. To ensure a structured recovery, an organisation can appoint
a disaster recovery team and assign specific duties to the team. These duties may
include physical clean-up and maintenance activities, media statements, performing
the incident investigation, and/or communicating with all relevant customers and
stakeholders as required (Lawton 2014).

Emergency planning and preparedness is an important part of the risk management

process. All hazards that can cause an emergency must be identified, assessed, and

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controlled to prevent loss from occurring. To mitigate the risks when an emergency
occurs, the organisation needs to be able to recover from the emergency.

16.9 SUMMARY
In this learning unit, we briefly looked at the aspects of emergency planning. You
were introduced to planning for an emergency, identifying possible emergency
events, and the actions required to respond to any emergency that may occur in an
organisation. We reviewed the process of recording an emergency plan and what is
required to test the plan and implement corrective actions to improve the plan. We
also considered how an organisation can recover from an emergency, to get back to
its usual activities. These aspects will be discussed in more detail in the module on
emergency planning and management.

16.10 SELF-ASSESSMENT QUESTIONS

(1) Explain the reasons for emergency planning.
(2) Expand on how to plan for emergencies.
(3) What are the various ways to identify emergency events? Discuss.
(4) Explain how emergency management actions can be identified.
(5) Expand on how to record an emergency plan.
(6) List the four processes that form part of the process flow in emergency
management.
(7) Illustrate the emergency management process flow.
(8) What are the types of hazards that must be considered when developing an
emergency plan?
(9) Discuss the documented emergency plan.
(10) Discuss the reasons for testing an emergency plan.
(11) How can an organisation recover from an emergency? Discuss.

16.11 RECOMMENDED READING

Aaron. 2019. Types of workplace emergencies and how to handle them. [Online] Available
from https://conserve.com.au/workplace-emergencies-how-to-handle-them/
[Accessed on 30 August 2020].
Lawton, P. 2014. Are you prepared to recover from a workplace disaster? [Online] Available
from https://ehsdailyadvisor.blr.com/2014/07/are-you-prepared-to-recover-
from-a-workplace-disaster/ [Accessed on 30 August 2020].
Ready.gov. n.d. Emergency response plan. [Online] Available from https://www.ready.
gov/business/implementation/emergency [Accessed on 27 August 2020].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2018. ISO 45001. Safety management systems – Re-
quirements. Pretoria: SABS.
Worksafe. 2019. What risk looks like in your industry. Petrol station. [Online] Available from
https://worksafe.govt.nz/managing-health-and-safety/managing-risks/what-
risk-looks-like-in-your-industry/petrol-station/ [Accessed on 30 August 2020].

16.12 OTHER VIDEOS OF INTEREST

Ahri. 2016. What is an emergency? [Online] Available from https://youtu.be/EqTHPSm-
bJ-I [Accessed on 29 August 2020].

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GCADA.org. 2017. Emergency action plans. [Online] Available from https://youtu.

be/_CyTW-_TUpQ [Accessed on 29 August 2020].
Hatford HealthCare. 2020. An introduction to emergency management. [Online] Available
from https://youtu.be/j59SEXukVmc [Accessed on 28 August 2020].
Lockspeiser, Ben. 2018. Four phases of emergency management. [Online] Available from
https://youtu.be/tKa8POjWfE0 [Accessed on 28 August 2020].
The Audiopedia. 2017. What is EMERGENCY PROCEDURE? What does EMER-
GENCY PROCEDURE mean? [Online] Available from https://youtu.be/
OnT9Rk4ooh4.
YorkRegionGovt. 2015. What is emergency or disaster preparedness? [Online] Available
from https://youtu.be/iAs0JLpkaxE [Accessed on 29 August 2020].
Your ACSA Safety. 2012. Emergency evacuation procedures. [Online] Available from
https://youtu.be/SYC4Tpnuetg [Accessed on 29 August 2020].

16.13 REFERENCES
Aaron. 2019. Types of workplace emergencies and how to handle them. [Online] Available
from https://conserve.com.au/workplace-emergencies-how-to-handle-them/
[Accessed on 30 August 2020].
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Momentum safety and ergonomics. 2020. Have you identifying workplace emer-
gencies. [Online] Available from: https://www.youtube.com/watch?v=F-
8A3W295Ug. [Accessed 27 August 2020]
Prudential overall supply. 2015. How to handle a workplace emergency. [Online]
Available from: https://www.youtube.com/watch?v=eDqSt2mOudM. [Ac-
cessed 27 August 2020].
Ready.gov. n.d. Emergency response plan. [Online] Available from https://www.ready.
gov/business/implementation/emergency [Accessed on 27 August 2020].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2018. ISO 45001. Safety management. Pretoria: SABS.

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17 LEARNING UNIT 17
17 ADVANCED AUDIT AND REVIEW

17.1 LEARNING OUTCOMES

After working through this learning unit and chapter 23 in the prescribed textbook,
you should be able to
(1) outline the reasons for conducting a health and safety management system audit
(2) categorise the different types of audits and give an overview of the five dif-
ferent audit phases
(3) summarise the audit objectives, scope and criteria
(4) expand on the process to initiate an audit
(5) discuss audit planning and the preparation of documented information for
the audit
(6) outline the activities that take place during the preparation for an audit
(7) explain the audit planning process
(8) outline the audit activities that take place during the audit
(9) expand on preparing the audit report and completing the audit
(10) explain the purpose of the review process
(11) outline new methods of measurement
(12) explain how the audit process is impacted by the digital and virtual environment

17.2 ABBREVIATIONS AND CONCEPTS

HSMS Health and Safety Management System
ISO International Organization for Standardization
SANS South African National Standards

Audit Audit criteria

Audit finding Audit objectives
Audit planning Audit report
Audit scope First-party audit
Hardware Initiating
Management review Sampling
Second-party audit Software
Third-party audit

17.3 INTRODUCTION
In learning unit 3, you were introduced to auditing as one of the tools used by
organisations to identify hazards, and in later learning units to the review of their
performance and the evaluation of the effectiveness of Health and Safety Management
Systems (HSMS). An audit was defined as an independent, systematic, and documented
process used to obtain objective, credible evidence to determine the extent to which
an organisation met its criteria (fulfilled its objectives) (SABS 2018:7). You were also
informed that an audit can only be successful if conducted by a competent auditor
(Boyle 2019:114).

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 LEARNING UNIT 17: Advanced audit and review

The HSMS audit is conducted in a structured manner and involves collecting

independent information on the suitability, adequacy, and effectiveness of the total
HSMS, and drawing up plans for corrective action. Auditing examines each of the
stages in the HSMS by measuring compliance with the controls the organisation
has developed and implemented. The ultimate aim is to assess the effectiveness and
suitability of the HSMS to ensure sustainability (EHSBD n.d.).

This learning unit will look at the advanced audit requirements and auditing techniques
as required by the SANS (ISO) 19011 Guidelines for auditing management systems
(2018) standard. You will also be introduced to the range of techniques used for
management reviews and we will take a brief look at using computers in health and
safety.

Watch online the guidelines for auditing, ISO 19011 (2018), by Doctor ISO (6.55):
https://youtu.be/knaLoJePj2M.

Let’s start with an overview of the audit process.

17.4 OVERVIEW OF THE AUDIT PROCESS

Safety audits are frequently conducted to verify compliance with health and safety
legislation. This is in most cases done by the health and safety professional in
the organisation, who will complete checklists and perform inspections in the
workplace (Boyle 2019:372). These audits are important, since they highlight any
shortcomings that need to be addressed and actioned to ensure compliance and
continual improvement.

Watch online the video clip by Media Partners on the safety audits that are conducted
in an organisation (2.38): https://youtu.be/LwRMFGPe46A.

In addition to these safety audits, organisations are required to have their entire (HSMS)
audited. The HSMS standards you have studied thus far require an organisation to
include an audit process as part of its HSMS. This includes the management areas
that are not covered by health and safety legislation, like its monitoring and measuring
processes. This type of audit is not limited to using checklists or inspections for
collecting data/evidence; a big part of is to interview employees across various levels
of the organisation. The HSMS audit process is governed by the requirements set
out in the ISO 19011 management standard (Boyle 2019:372).

Watch online the video clip by Batalas about what a management system audit is
(2.19): https://youtu.be/S1Z2FXhTDTs.

Three main categories of audits require certification against the health and safety,
quality or environmental management standards that you have studied thus far.
These categories are (Hammar 2015):
• First-party audits, which are internal audits conducted by members of the
organisation
• Second-party audits, which are audits conducted by an organisation on suppliers,
or audits conducted on other branches of the organisation by an organisational
auditing team reporting to the CEO or directors
• Third-party audits, which are audits that are conducted by an external certification
body like DQS Management Systems Solutions or the National Occupational

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Safety Association (NOSA) for the purpose of obtaining certification against the
selected management system standards

The audit process consists of five phases, regardless of whether it is a first-party or

second‑party internal audit, or a third-party external audit. These five phases are
(Internalaudit.ku.edu n.d.):
• Selection
The organisation selects which of its areas and processes must be audited.
• Planning
The organisation initiates contact with the selected qualified auditors.
• Execution
After the audit has been planned, the audit is conducted, and constant feedback
is provided to the organisation through regular meetings.
• Reporting
A summary of the audit findings is drawn up into a report and corrective ac-
tions can be suggested in some cases. The report is shared and the organisation
is provided the opportunity to comment before the final report is issued.
• Follow-up
There are specific time frames by when all the audit findings must be closed out.
The auditors will review the findings and the evidence of the corrective actions
that have been taken. The audit findings can only be cleared if the evidence is
sufficient.

Watch online the video clip on the audit process, by Edspira (6.41): https://youtu.
be/cODdJvE1RCE.

STUDY

Boyle (2019:372) and ensure that you understand the audit overview section.

The next section in this learning unit will look at the audit objectives, scope, and
criteria.

17.5 AUDIT OBJECTIVES, SCOPE AND CRITERIA

SANS (ISO) 19011 (2018) requires that an organisation must establish an audit
programme to audit its management system or systems. This audit can include one
or more of the management system standards with which the organisation is required
to comply. The management system requirements to be audited depend on the type
of organisation and industry in which it operates (SABS 2018:6).

Knowing where to start with an audit is critical to ensuring its success. The objectives,
scope, and criteria provide the strategic direction that the audit must follow to achieve
the desired outcome.

The organisation will determine the objectives of the audit, as the organisation
knows what the need is that must be met. The objectives, scope, and criteria are
mutually agreed upon by the organisation and the auditors. All information, like

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the requirements of the auditing team and resource requirements, is documented

to ensure that no disputes arise later on (Boyle 2019:373).

17.5.1 Audit objectives

Audit objectives define what is to be achieved by the audit. In the case of HSMS audits
or general audits, the objective is to evaluate the effectiveness of the organisation’s
efforts to comply with set standards, legal requirements, and codes of practice
(EHSDB n.d.).

Different organisations have to comply with different, industry-specific management

standard requirements. This will have an impact their audit objectives. Boyle
(2019:373) lists a wide range of possible audit objectives that are applicable to any
type of organisation.

17.5.2 Audit scope

The audit scope describes the extent and boundaries of the audit and must take the
following into account (Boyle 2019:374):
• The physical location (which may include a plot plan or a map of the areas)
• Organisational units (which can include organisational charts that indicate the
departments or sections to be audited)
• Activities that have to be audited (like the production of fire extinguisher cylinders)
• Procedures (linked sets of activities)
• The audit duration (the time frame during which the audit will be conducted)

26 DISCUSSION 17.1: AUDIT ACTIVITIES

Discuss with your fellow students what organisational activities will form part of
the audit.

17.5.3 Audit criteria

Audit criteria are the standards that the organisation are required to achieve, according
to the HSMS requirements. The audit criteria will play a big role in the effectiveness
of the audit and the strength of its outcome. Audits focus on whether the organisation
meets its set criteria, and therefore the criteria have to be clearly defined (Caaf-fcar.
ca 2020).

According to Boyle (2019:374), audit criteria are defined as the set of requirements
used as a reference against which objective evidence is compared. It is important
to note that the audit criteria will vary between external and internal audits. Boyle
(2019:374) differentiates between the internal and external audit criteria.

Watch online for an explanation of the audit objectives, scope and criteria by IRM
systems (4.15): https://youtu.be/5dI7bW5UJT0.

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STUDY

Boyle (2019:373–374) and ensure that you understand the audit objectives, scope
and criteria.

27 DISCUSSION 17.2: A
 UDIT OBJECTIVES, SCOPE AND
CRITERIA

Discuss with your fellow students whether the audit objectives, scope and criteria
apply to an organisation that produces cake flour. Provide one example of a possible
HSMS audit objective for such an organisation.

Let us now consider the process of initiating an audit.

17.6 INITIATING AN AUDIT

After the objective, scope and criteria of the audit have been established and agreed
upon, the auditors will make contact with the organisation to initiate the audit. Boyle
(2019:375) lists the purposes of contacting the organisation.

The lead auditor is accountable to initiate contact with the auditee to (SABS 2018:18):
• confirm how communication will take place with the organisation’s representatives
• confirm that the auditing team is authorised to conduct the audit
• provide information regarding the audit objectives, scope and criteria, and also on
the audit methods and audit team composition, including any technical experts
that will participate in the audit
• request access to relevant information for audit planning purposes
• request information on the risks and opportunities that can impact the audit
• determine applicable statutory and regulatory requirements and other requirements
with which the organisation must comply
• confirm the confidentiality and disclosure agreement
• make audit arrangements, including the schedule and access to the premises
• determine any areas of concern related to the specific audit
• ensure that the organisation is satisfied with the auditing team

17.6.1 Determining the feasibility of the audit

At the first meeting that takes place between the auditors and the organisation, the
feasibility of the audit must be determined. This requires decisions to be made on
(Boyle 2019:375)
• whether there is enough suitable information available to plan the audit
• whether the organisation is co-operative
• whether sufficient time and resources are available to conduct the audit

Watch online the video clip by Patrick Lee on preliminary audit activities to see
how auditors manage these activities (7.55): https://youtu.be/uLEyKhPxDLQ.

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17.6.2 Preparing audit activities

The activities that are required to prepare for an audit can be grouped into four
categories:
• reviewing the auditee’s documented information
• planning the audit
• assigning work to the audit team
• preparing documented information for the audit
These tasks are conducted by the auditors prior to the audit to ensure that the auditing
team know exactly who needs to do what during the audit (Boyle 2019:376).

STUDY

Boyle (2019:375–376) and ensure that you understand what activities take place
during preparation for an audit.

In the next section, we will look at audit planning.

17.7 AUDIT PLANNING

After the feasibility of the audit has been determined and the auditors have their
duties assigned to them, it is time to plan the audit. Since SANS (ISO) 19011 (2018)
requires the audit to follow a risk-based approach, the planning phase needs to
consider certain risks. These risks include (Boyle 2019:378):
• the risk posed to the organisational processes by the audit
• not achieving the audit objectives
• achieving poorly planned audit objectives and not adding value
• the risk posed to the organisation by performing the audit
Consideration must be given to opportunities to improve the effectiveness and
efficiency of the audit activities. Boyle (2019:378) list the topics to be addressed
during audit planning. Boyle (2019:379) also list a range of additional considerations
to be taken into account, as necessary.

It is important to remember that an audit needs to be flexible and that space should
be allowed for changes to be made to the audit plan and the organisational members
involved in the audit (Boyle 2019:379). When planning an audit, it is necessary to
decide on an adequate audit strategy.

Watch online how to decide on the right audit strategy, as discussed by

AmandaLovesToAudit (5.17): https://youtu.be/djv_x-6Gw7k,

STUDY

Boyle (2019:378) and ensure that you understand the audit planning process.

17.8 PREPARING DOCUMENTED INFORMATION FOR THE AUDIT

For an audit to be conducted effectively, certain paperwork must be prepared in
advance. This may include physical or digital documents that will be used by the

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auditors when conducting the audit. This documentation can include forms, sampling
plans, or checklists (Boyle 2019:379).

The auditing team must review the relevant documented information on the
management system before the audit, so that they understand the organisation’s
operations and can prepare applicable audit work documents for a successful audit
(SABS 2018:31).

There are numerous software solutions available to auditors that can be used for the
following (Boyle 2019:388):
• preparing and maintaining a checklist
• recording audit results
• analysing results
• providing numerical results
• preparing audit reports
Watch online on how to audit using a checklist and audit observations, as explained
by Your ACSA Safety (4.17): https://youtu.be/LZXAxV0wSEc.

Audits are conducted on a sample basis due to the sheer volume of information
that must be collected and reviewed, so the auditing team needs to have a clear
understanding of how the sampling will be done. Various sampling techniques,
types of sampling and sampling criteria can be used (Boyle 2019:381–382). Boyle
(2019:382) lists the criteria that form the basis of how samples are divided and provide
examples of random samples.

STUDY

Boyle (2019:382–383) and ensure that you understand what needs to be prepared
for an audit and the kinds of sampling and criteria to be used.

The next section of this learning unit will look at audit activities.

17.9 AUDIT ACTIVITIES

Audits are conducted by sampling information across the organisation to
verify compliance with legal and other requirements. It is collected by reviewing
documented information and interviewing employees across all levels of the
organisation (Boyle 2019:384).

The audit activities consist of an opening meeting, the communication that takes
place during the audit, collecting and verifying evidence, generating audit findings,
and the closing meeting.

17.9.1 Opening meeting

The SANS (ISO) 19011 (2018) standard requires that an opening meeting be held
with the organisation’s management team and the employees who will be audited.
This is done to confirm agreement with the audit plan, to introduce the auditing
team, and to ensure that all the planned audit activities can be carried out as agreed.
Situations like shutdowns or the national Covid-19 lockdown will typically impact
audits (Boyle 2019:384).

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 LEARNING UNIT 17: Advanced audit and review

Boyle (2019:384) lists the items that the lead auditor should consider to present
during the opening meeting.

ACTIVITY 17.1: OPENING MEETING

You are the health and safety professional at a bakery that supplies fresh bread
and buns to local grocery stores. You have been tasked to conduct an internal
audit using SANS (ISO) 45001 (2018). Using the knowledge you have gained,
develop the agenda for an opening meeting on 10 slides in Microsoft Power Point,
for presentation to the organisation.

Watch online the video clip about the audit opening meeting for more information
on the requirements for such a meeting, as presented by Quality Gurus (10.11):
https://youtu.be/HfmuFb8DdWE.

17.9.2 Communication during the audit

Frequent communication should take place between the auditing team and the
organisation, and in some cases with interested parties. Mandatory reporting of
nonconformities to a regulator is an example of communication with interested
parties. Boyle (2019:384–385) lists various types of communication that takes place
during the audit.

The auditing team should also frequently convene to exchange information, assess
audit progress and reassign work between the audit team members as needed, to
ensure that the audit is completed on time and achieves its objectives (SABS 2018:23).

17.9.3 Collecting and verifying information

Audit evidence can be collected using several techniques like interviewing people, by
checking documents, procedures and completed records, and by observing locations
and activities that form part of the organisation’s operations. The evidence can be
in the form of documents, procedures, training records, statements of fact, or
other forms of information relevant to the audit criteria. It is important to note
that whatever audit evidence is collected, must be verifiable – otherwise, it cannot
be seen as evidence (Boyle 2019:385).

Watch online what factors go into deciding how much evidence auditors should
collect, by AmandaLovesToAudit (21.17): https://youtu.be/-A-YamSNxwI.

17.9.4 Generating audit findings and determining audit conclusions

After the audit has been conducted and all the required evidence has been reviewed,
the auditors generate audit findings by stating what the requirement is for the Health
and Safety Management System Standard that they were auditing against. They also
state what they found and list the evidence that was provided by the organisation.
The audit evidence should be evaluated against the audit criteria set out, to determine
what the areas for possible improvement are. Nonconformities and the evidence
therefor must be recorded, and the severity thereof can then be determined. The
audit findings must be discussed with and agreed upon by the organisation to ensure
that the audit evidence is accurate (SABS 2018:25).

SMA3701/1193


Watch online the video clip by TopSkills Auditing on the elements of audit
findings for an explanation of how audit findings are written (6.04): https://youtu.
be/pFr7iH7vYBc.

ACTIVITY 17.2 AUDIT FINDINGS

You are the health and safety professional at a bakery that supplies fresh bread and
buns to local grocery stores. You have conducted an internal audit in the baking
department. One of the elements you have audited is safe work procedures. You
have found that the safe work procedure for removing the freshly baked bread from
the hot oven includes identified hazards and steps. The employees follow the steps
in the procedure to prevent injury as required. However, the oven door is defective
and can easily lead to a burn injury. This has been reported to management, but
nothing has been done about it.

In accordance with SANS (ISO) 45001 (2018), clause 8.1.2, “Eliminating hazards
and removing OHS risks”, the organisation is mandated to use the hierarchy of
controls to eliminate or mitigate this risk.

Considering the information provided, generate a comprehensive audit finding

statement in 50 to 100 words.

17.9.5 Closing meeting

After the audit has been completed and all the best practices, findings, and
opportunities for improvement were identified, they are presented to the organisation
during the closing meeting.

Watch online the audit closing meeting, by The Windshire Group (1.50): https://
youtu.be/6dTvZM5px2U.

STUDY

Boyle (2019:386) and ensure that you understand what needs to be included in
the audit closing meeting.

The next section of this learning unit will focus on preparing the audit report
and completing the audit.

17.10 PREPARING THE AUDIT REPORT AND COMPLETING THE

AUDIT
As soon as the audit is completed, the auditors will assemble and present the audit
team leader with their findings. The audit team leader is responsible for the preparation
of the audit report. The content of this report should provide a complete, accurate,
concise, and clear record of the audit. It is important that all the items in the audit
scope be included or referred to in the audit report. These items include (Boyle
2019:386):
• the audit objectives, scope, and criteria
• identification of the audit team and the organisation’s participants in the audit
• the audit dates and locations
• the audit findings noted and any related evidence supporting the findings
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 LEARNING UNIT 17: Advanced audit and review

• the audit conclusions

• a note on the degree to which the audit criteria have been fulfilled
• any unresolved concerns between the audit team and the organisation’s participants
• any areas within the audit scope not covered, including any issues of availability
of evidence, resources, or confidentiality, with related justifications

Watch online how to prepare and effectively write an audit report and make audit
recommendations, by Internal Audit (2.56): https://youtu.be/-OjZlP15378.

17.10.1 Distribution of the audit report

The audit report should be issued within the time period agreed during the audit
planning phase. The audit report should be dated and any arrangements that were
made regarding approval of the report should be followed. Copies of the report
should be sent to the recipients and the report should not be distributed or discussed
with persons outside the audited organisation (Boyle 2019:386).

17.10.2 Completing the audit

The audit is completed when all the planned audit activities have been carried out. This
means that the closing meeting has taken place and that the approved audit report has
been distributed to the organisation that was audited. The documented information
used and generated during the audit has to be managed by the organisation and its
employees. ISO 19011 specifies the following (Boyle 2019:387):
• Documented information pertaining to the audit should be retained or disposed
of. This is done by agreement between the auditors and the organisation, in
accordance with audit programme procedures and the applicable requirements
that must be met.
• Unless required by law, no information obtained during the audit, or the audit
report itself, may be disclosed to any other party. Disclosure requires the explicit
approval of the organisation.
• Lessons learned from the audit can help identify possible risks and opportunities
for the audit programme. It can also identify risks and opportunities for the
organisation.

STUDY

Boyle (2019:387) and ensure that you understand what is required to complete
an audit.

17.11 REVIEW
You were introduced to management review in learning unit 9, paragraph 9.10. The
purpose of a review was identified as follows (Boyle 2019:388)
• It checks that the individual elements of the HSMS are functioning as intended.
• It checks that the HSMS as a whole is functioning as intended.
• It verifies that data flows between the processes and ensures data analysis that
considers the output information from all elements of the HSMS.
• It looks for ways to improve on the current activities to become more efficient,
effective, and adequate.

SMA3701/1195


The SANS (ISO) 19011 (2018) standard requires that the effectiveness of the
audit programme be reviewed in the Management Review. This means that audit
findings, best practices, and opportunities for improvement must be discussed at
the management review meeting held by the organisation (SABS 2018:17).

Boyle (2019:389–391) provides more detail on the techniques used for the management
review.

STUDY

Boyle (2019:389–391) and ensure that you understand the purpose of the
management review.

We will now look at new methods of measurement.

17.12 NEW METHODS OF MEASUREMENT

As the organisation evolves and improves the effectiveness of its HSMS, there might
be a need to select new measures of performance. If a measure has achieved its target
and continues to do so, the measurement has become redundant. The organisation
cannot stop doing what it was doing to reduce injuries to zero, and it cannot purely
use the number of injuries as its only measure of success. It still needs to comply with
the requirement of continual improvement, which means that a new measurement
will be needed. Such a new measure can be the number of environmental incidents,
or the number of customer complaints received by the packaging department (Boyle
2019:392).

17.13 USING COMPUTERS

With the digital and virtual environment that has become the norm during the
Covid-19 national lockdown, the use of computers has become vital for most
organisations. In some instances, site visits are conducted briefly at the beginning
of the audit and the rest of the verification takes place virtually. There are various
software and hardware programs available to assist organisations in the audit process,
whether as an auditing or certification body, or as an auditee (Boyle 2019:398).

STUDY

Boyle (2019:388) and ensure that you understand how software programs are
applied in an organisation.

STUDY

Boyle (2019:393–397) and ensure that you understand how computers are used
in organisational risk management.

17.14 SUMMARY
This learning unit investigated several aspects of auditing. These included preliminary
actions, performing an audit, completing an audit and the management review. The

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use of digital checklists was noted and the need to transition to a more virtual way
of working by using computers instead of paper-based systems was considered.

17.15 SELF-ASSESSMENT QUESTIONS

(1) Give an outline of the reasons for conducting a health and safety management
system audit and discuss the different types of audits.
(2) Discuss the different audit phases.
(3) Summarise the audit objectives, scope and criteria.
(4) Expand on the process to initiate an audit.
(5) Explain why it is it important for the lead auditor to initiate contact with the
auditee.
(6) Discuss audit planning and the preparation of documented information for
the audit.
(7) Outline activities that take place during the preparation for an audit.
(8) Expand on preparing the audit report and completing the audit.
(9) Elaborate on the purpose of the review process.
(10) Outline new methods of measurement.
(11) Explain how the audit process is impacted by the digital and virtual environment.

17.16 RECOMMENDED READING

Caaf-fcar.ca. 2020. Selecting audit criteria. [Online] Available from https://www.caaf-fcar.
ca/en/efficiency-audit-methodology/planning-an-audit-of-efficiency/selecting-
audit-criteria [Accessed on 4 September 2020].
EHSDB. n.d. Environmental Health and Safety Data Base. n.d. Safety audit. [On-
line] Available from http://www.ehsdb.com/safety-audit.php [Accessed on 6
September 2020].
Hammer, M. 2015. First-, second- and third-party audits, what are the differences? [Online]
Available from https://advisera.com/9001academy/blog/2015/02/24/first-
second-third-party-audits-differences/ [Accessed on 4 September 2020].
Internalaudit.ku.edu. n.d. The audit process. [Online] Available from https://interna-
laudit.ku.edu/project-process#:~:text=There%20are%20five%20phases%20
of,Reporting%2C%20and%20Follow%2DUp [Accessed on 3 September 2020].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2018. SANS (ISO) 19011 – Guidelines for auditing
management systems. Pretoria: SABS.

17.17 OTHER VIDEOS OF INTEREST

AmandaLovesToAudit. 2012. Deciding on the right audit strateg y. [Online] Available from
https://youtu.be/djv_x-6Gw7k [Accessed on 6 September 2020].
AmandaLovesToAudit. 2018. What factors go into deciding HOW MUCH EVIDENCE
auditors should collect? ASA/ISA530. [Online] Available from https://youtu.be/-
A-YamSNxwI [Accessed on 6 September 2020].
Batalas Ltd. 2016. What is a management system audit? [Online] Available from https://
youtu.be/S1Z2FXhTDTs [Accessed on 6 September 2020].
Doctor ISO. 2019. ISO 19011 2018 – Guideline for auditing. [Online] Available from
https://youtu.be/knaLoJePj2M [Accessed on 6 September 2020].
Edspira. 2019. The audit process. [Online] Available from https://youtu.be/cOD-
dJvE1RCE [Accessed on 5 September 2020].

SMA3701/1197


Internal Audit. 2018. Write highly effective internal audit reports – audit recommendation.
[Online] Available from https://youtu.be/-OjZlP15378 [Accessed on 4 Sep-
tember 2020].
IRM Systems. 2019. What is meant by audit objective, scope and criteria? [Online] Avail-
able from https://youtu.be/5dI7bW5UJT0 [Accessed on 6 September 2020].
Lee, P. 2017. Auditing – 3.2 – Preliminary engagement activities. [Online] Available from
https://youtu.be/uLEyKhPxDLQ [Accessed on 6 September 2020].
Media Partners. 2015. Safety audits. [Online] Available from https://youtu.be/LwRM-
FGPe46A [Accessed on 6 September 2020].
Quality Gurus. 2014. Audit opening meeting. [Online] Available from https://youtu.be/
HfmuFb8DdWE [Accessed on 5 September 2020].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2018. SANS (ISO) 19011 – Guidelines for auditing
management systems. Pretoria: SABS.
The Windshire Group. 2017. Closing out the supplier audit. [Online] Available from
https://youtu.be/6dTvZM5px2U [Accessed on 5 September 2020].
TopSkills Auditing. 2016. Audit finding elements. [Online] Available from https://
youtu.be/pFr7iH7vYBc [Accessed on 5 September 2020].
Your ACSA Safety. 2013. Audit observation. [Online] Available from https://youtu.
be/LZXAxV0wSEc.

17.18 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
EHSDB. n.d. Safety audit. [Online] Available from http://www.ehsdb.com/safety-
audit.php [Accessed on 6 September 2020].
Hammer, M. 2015. First-, second- & third-party audits, what are the differences? [Online]
Available from https://advisera.com/9001academy/blog/2015/02/24/first-
second-third-party-audits-differences/ [Accessed on 4 September 2020].
Internalaudit.ku.edu. n.d. The audit process. [Online] Available from https://interna-
laudit.ku.edu/project-process#:~:text=There%20are%20five%20phases%20
of,Reporting%2C%20and%20Follow%2DUp [Accessed on 3 September 2020].
SABS. See South African Bureau of Standards.
South African Bureau of Standards. 2018. SANS (ISO) 19011 – Guidelines for auditing
management systems. Pretoria: SABS.

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 18 LEARNING UNIT 18
18 FINANCIAL ISSUES

18.1 LEARNING OUTCOMES

After working through this learning unit and chapter 24 in the prescribed textbook,
you should be able to
(1) substantiate why it is difficult to deal with health and safety in terms of pure
finance
(2) explain the various risk management terms related to financial issues
(3) explain the relation between cost-benefit analysis and risk control
(4) discuss the process of calculating risk management costs
(5) discuss the process of calculating risk management benefits
(6) expand on spin-offs and opportunities
(7) explain break-even analysis as a risk management strategy
(8) identify the costs related to risk control measures
(9) summarise the types of insurance available to organisations

18.2 ABBREVIATIONS AND CONCEPTS

Business risk Break-even analysis
Cost-benefit analysis Costing
Financial aspects Insurance
Known losses Loss
Possible losses Pure risk
Residual risk Risk acceptance
Risk assessment Risk avoidance
Risk control Risk management
Risk transfer Spin-offs and opportunities

18.3 INTRODUCTION
Risk management is the process of identifying hazards, assessing risks, implementing
control measures, and verifying the effectiveness of such measures. Risk management
is a core organisational process that prevents loss, but it also provides the organisation
with other benefits (Referenceforbusiness.com 2020).

One of the main benefits of risk management is the financial benefit it has for the
organisation. If risks are properly managed, incidents are minimised and subsequent
expenses to the organisation are limited (Boyle 2019:400).

There are various aspects of an organisation that impact its financial well-being that
must be managed. In this learning unit, we will look at the following five aspects
(Boyle 2019:400):
• cost-benefit analysis
• break-even analysis
• costing risk control measures
SMA3701/1199


• types of insurance
• risk management tools

Boyle (2019:400) lists several reasons why it is difficult to deal with health and safety
in terms of pure finance.

28 DISCUSSION 18.1: RISK MANAGEMENT

Discuss with your fellow students if you think it is important for an organisation
that produces car batteries to have a risk management programme in place.
Substantiate your answer.

Feedback will be given online.

STUDY

Boyle (2019:400) and ensure that you understand the risk management terminology
and the difficulties with financial issues.

Watch online the financial benefits and myths of risk management, by

OneMinuteRiskManager (1.56): https://youtu.be/1YEnxrdnF_w.

In the next section, we will discuss the cost-benefit analysis.

18.4 COST-BENEFIT ANALYSIS

All organisations can make use of cost-benefit analyses across various organisational
levels. The most common reason that a cost-benefit analysis is employed is to see
whether the risk management resource expenditure is adding the expected benefits.
This requires that both the costs and the benefits be calculated (Boyle 2019:401).

For a cost-benefit analysis, all the risk control options are expressed in monetary
values, to enable those involved in the decision-making process to select the most
effective or value-adding control (Vandepoel 2009).

The future benefits to be gained from spending money on a certain control must be
taken into account when doing a cost-benefit analysis (Vandepoel 2009). In some
cases, more than one control measure can be implemented regardless of their value,
but in other cases, the control measure with the highest net benefits will be selected
to be implemented (Vandepoel 2009).

Watch online how a cost-benefit analysis is conducted, as explained by Enhance

Tuition (4.07): https://youtu.be/CYY_qs2lDnQ.

18.4.1 Calculating costs

To calculate the risk management costs incurred by an organisation, numerous
individual costs must be considered. This can be done using the three-stage approach
described in Boyle (2019:401). This approach requires the following (Boyle 2019:402):
• Identification of the sources of costs, where the organisation looks at each element
of the Health and Safety Management System (HSMS) and estimates the costs
of maintaining that element.

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 LEARNING UNIT 18: Financial issues

• Quantifying the sources of costs by assigning a value to the source of the cost,
which means assigning units like time, hours or days, and the number of items
that have to be purchased. Expenditure on quality must also be taken into account.
• Calculating monetary values, which focuses on deriving monetary values for the
items already identified in the previous phase. It is very important to calculate the
cost of risk management for the organisation to understand how much is spent
on risk management.

The costs associated with risk management and risk control include the costs of
insurance premiums, retained losses, productivity losses, and the costs related to
implementing risk control measures (Thealsgroup.com 2014).

18.4.2 Calculating benefits

Most organisations believe that risk management is a core organisational function, yet
organisations are reluctant to spend a lot of money on risk control measures. This is
because risk is based on the uncertainty of a future event occurring (Riskdecisions.com
2009).

For the risk management process to be deemed effective, its benefits, like injury
reduction, must outweigh the expenses. The main benefits of risk management,
according to Boyle (2019:404), are
• the reduction of known losses, where the costs of losses are calculated in the
same manner as the cost of risk management
• the prevention of possible losses, which refers to the cost of losses that could
have occurred if the HSMS were not in place in the organisation
• ‘spin-off’ or opportunity benefits, where there are benefits that arise from
expenditure on risk management which can be estimated by the organisation

18.4.3 Comparing costs and benefits

As soon as the costs and the benefits are calculated, the organisation needs to make
a comparison that will show whether the effort and expenditure are worth it. This
will depend on whether the benefit gained from the expenditure and effort brings
about a significant advantage for the organisation. If the benefit outweighs the costs,
then it will be satisfactory to the organisation (Boyle 2019:406).

STUDY

Boyle (2019:402–406) and ensure that you understand how to calculate the costs
and benefits of the risk management process.

18.5 BREAK-EVEN ANALYSIS

A break-even analysis is often used as a risk management strategy in organisations. It
evaluates the risk of organisational investment in risk control and risk management
(Forafinancial.com 2019).

Organisations use the break-even analysis to establish where the costs of risk
management control and the benefits of having the control are even. This is done
by calculating the following costs related to risk control measures (Boyle 2019:408):

SMA3701/1201


• Implementation costs, where the costs are related to getting the control implemented
in the organisation.
• Maintenance cost, which is the cost of ensuring that the control remains effective. It
is important to include the organisational and operational costs in this calculation.
• Opportunity costs, which are the costs associated with the decrease in production
or other costs that will be incurred if the system changes due to downtime.

Watch online how to calculate the break-even analysis, as explained by

giuseppecalamandrei (3.08): https://youtu.be/36pKuDYRDXg.

29 DISCUSSION 18.2: BREAK-EVEN ANALYSIS

Discuss with your fellow students if you think it is important for an organisation that
sells cutlery to the public to do a break-even analysis. Substantiate your answer.

Feedback will be given online.

For accurate calculations to be done, the benefits associated with risk control measures
must be deducted from their cost. The risk control life span must also be taken into
account and the time frames of the calculation might need to be amended. Boyle
(2019:409) lists possible problems associated with calculation techniques.

STUDY

Boyle (2019:409) and ensure that you understand how to calculate the break-even
analysis of risk control measures.

We will now look at insurance as a financial risk control measure.

18.6 INSURANCE
Organisations make use of insurance to safeguard them against the financial impact
of loss. They arrange their cover in the light of what risks they face, and even though
the insurance company accepts the financial implications of the risk, the organisation
remains accountable for managing all its risks. Boyle (2019:410) lists the kinds of
insurance that are available to organisations as:
• Employers’ liability, where employers insure against their liability to pay damages
for occupational injuries and illnesses.
• Public liability, which is cover taken out against liability for injury or illness or
property damage to third parties due to accidents or incidents.
• Professional indemnity cover, which is cover against liability for damage arising
from professional advice given by employees or the employer.
• Product liability cover, which is cover against liability for damage or other losses
arising from product defects and customer complaints.
• Other losses for which there are a wide range of other insurances available. Some
of these insurances safeguard against a specific source of loss, like theft or fire.
Other insurances safeguard particular types of assets like information, vehicles,
and personnel.

The benefit of having sufficient insurance cover is that an organisation can focus
on their main activities without having to spend too much time on contingency
planning. Insurance helps to promote business continuity and shares the risk of

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loss, thus alleviating the strain on the organisation if an unwanted event occurs
(Securenow.in n.d.).

Watch online the video clip on insurance policies and understanding insurance
policies, by DWolf (7.07): https://youtu.be/XFTLb9F414k.

ACTIVITY 18.1: INSURANCE

You are the health and safety professional employed at an organisation that
manufactures car batteries. You are tasked to identify 5 hazards, assess one risk
per identified hazard, and provide a proposal on which of the hazards identified
you believe will require insurance to prevent the organisation from suffering serious
loss if an unwanted event were to occur.

Keep the manufacturing, selling, and customer care processes in mind when
drafting your proposal.

Feedback will be given online.

STUDY

Boyle (2019:410) and ensure that you understand the kinds of insurance available
to organisations.

18.7 RISK MANAGEMENT TOOLS REVIEWED

Organisations are diverse and so are the risks they are exposed to. This requires
that their risk response must be organisation-specific. Each organisation decides
which risks they are willing to accept and how they will manage their risks. Boyle
(2019:410) describes four risk management tools that organisations could apply
and the possible problems that can arise if these techniques are not implemented
properly. The tools are:
• Risk assessment
• Risk control
• Costing techniques
• Use of insurance
Watch online the video clip by GreenFacts.org on risk management tools and
understanding risk assessment, management and perception (5.30): https://youtu.
be/PZmNZi8bon8.

STUDY

Boyle (2019:410) and ensure that you understand the risk management tools
available to organisations.

18.8 SUMMARY
This learning unit dealt with some of the financial issues pertaining to risk management
in organisations. It provided you with an overview of the difficulties associated with
these financial issues. The learning unit covered various types of financial analysis,

SMA3701/1203


such as cost-benefit analysis, break-even analysis, and the costing of risk control
measures. The purpose of insurance and a brief review of risk management tools
were also provided.

18.9 SELF-ASSESSMENT QUESTIONS

(1) Explain why it is difficult to deal with health and safety in terms of pure finance.
(2) Define the risk management terminology relating to financial issues:

• pure risk and business risk

• risk avoidance
• residual risk
• risk acceptance
• risk transfer
• transfer of the financial aspects of risk
(3) Explain the relation between cost-benefit analysis and risk control.
(4) Discuss the process of calculating risk management costs.
(5) Discuss the process of calculating risk management benefits.
(6) Expand on spin-offs and opportunities.
(7) Explain break-even analysis as a risk management strategy.
(8) Discuss the costs of risk control that are calculated as part of a break-even
analysis.
(9) Summarise the various insurances available to an organisation.

18.10 RECOMMENDED READING

Forafinancial.com. 2019. Breaking down the break-even analysis: A quick overview. [On-
line] Available from https://www.forafinancial.com/blog/small-business/
break-even-analysis/#:~:text=Break%20even%20analysis%20is%20
considered,on%20the%20amount%20to%20produce [Accessed on 17 Sep-
tember 2020].
Referenceforbusiness.com. 2020. Risk management. [Online] Available from https://
www.referenceforbusiness.com/encyclopedia/Res-Sec/Risk-Management.
html [Accessed on 18 September 2020].
Riskdecisions.com. 2009. How do you put a value on risk management? [Online] Available
from https://www.riskdecisions.com/put-value-risk-management/ [Accessed
on 20 September 2020].
Securenow.in. n.d. What are the benefits of business insurance? [Online] Available from
https://securenow.in/insuropedia/what-are-the-benefits-business-insurance/
[Accessed on 21 September 2020].
Vandepoel, I. 2009. Cost benefit analysis, in Philosophy of technolog y and engineering
sciences, edited by A Meijers. Elsevier. [Online] Available from https://www.
sciencedirect.com/topics/engineering/cost-benefit-analysis [Accessed on
20 September 2020].

18.11 OTHER VIDEOS OF INTEREST

DWolf. 2016. Insurance | Risk Management | Understanding insurance policies. [Online]
Available from https://youtu.be/XFTLb9F414k [Accessed on 20 September
2020].

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 LEARNING UNIT 18: Financial issues

EnhanceTuition. 2017. Cost benefit analysis. [Online] Available from https://youtu.be/

CYY_qs2lDnQ [Accessed on 20 September 2020].
Giuseppecalamandrei. 2016. The break-even analysis. [Online] Available from https://
youtu.be/36pKuDYRDXg [Accessed on 20 September 2020].
Greenfacts.org. 2014. Hazard, risk and safety – Understanding risk assessment, management
and perception. [Online] Available from https://youtu.be/PZmNZi8bon8 [Ac-
cessed on 20 September 2020].
OneMinuteRiskManager. 2015. Risk management myth 5: There are no financial benefits
in risk management. [Online] Available from https://youtu.be/1YEnxrdnF_w
[Accessed on 18 September 2020].
Thealsgroup.com. 2014. What is total cost of risk? [Online] Available from https://
info.thealsgroup.com/blog/total-cost-risk [Accessed on 18 September 2020].

18.12 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Forafinancial.com 2019. Breaking down the break-even analysis: A quick overview. [On-
line] Available from https://www.forafinancial.com/blog/small-business/
break-even-analysis/#:~:text=Break%20even%20analysis%20is%20
considered,on%20the%20amount%20to%20produce [Accessed on 17 Sep-
tember 2020].
Referenceforbusiness.com. 2009. Risk management. [Online] Available from https://
www.referenceforbusiness.com/encyclopedia/Res-Sec/Risk-Management.
html [Accessed on 18 September 2020].
Vandepoel, I. 2009. Cost benefit analysis, in Philosophy of technolog y and engineering
sciences, edited by A Meijers. Elsevier. [Online] Available from https://www.
sciencedirect.com/topics/engineering/cost-benefit-analysis [Accessed on
20 September 2020].

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19 LEARNING UNIT 19
19 HUMAN FACTORS – ADVANCED

19.1 LEARNING OUTCOMES

After working through this learning unit and chapter 25 to 30 in the prescribed
textbook, you should be able to

(1) define human reliability and outline the individual differences of a person
(2) identify the physiological and psychological factors that make us unique/dif-
ferent from one another
(3) identify the main sources of differences between individuals
(4) examine individual attitude, motivation, personality and intelligence in rela-
tion to individual differences
(5) examine the aspects/components of attitudes
(6) explore aspects related to changing attitudes
(7) explain how an employee’s perception influences the decisions they make
(8) identify human error types in scenarios
(9) investigate the influence of external factors on human error
(10) clarify how organisations can improve human reliability

19.2 ABBREVIATIONS AND CONCEPTS

Attitude Behaviour
Difference Human error
Human factors Human reliability
Intelligence Motivation
Personality Psychology

19.3 INTRODUCTION
In learning unit 11, you were introduced to the human differences and human factors
that are present in an organisation. We investigated many of the aspects of human
factors, namely psychology, medicine, occupational hygiene, sociology, anthropology,
ergonomics, and physiology. In this learning unit, we will explore how human
reliability can be improved by managing these aspects effectively.

19.4 HUMAN RELIABILITY FACTORS

According to Boyle (2019:415), human factors are primarily linked to individual
reliability. This means that employees choose to avoid doing harmful things that put
themselves or others at risk of injury or negative consequences. It also means that
employees choose to do things which are necessary to prevent harm. The definition
that is presented in Boyle (2019:415) for human reliability suggests that employees
do the right thing at the right time and avoid doing the wrong thing.

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 LEARNING UNIT 19: Human factors – advanced

Watch online the video by SeeHearSayLearn on human reliability (6.58): https://

youtu.be/H7GMRyn4g9Q.

Refer back to learning unit 11 for more detail on human factors.

30 DISCUSSION 19.1: HUMAN RELIABILITY

Discuss with your fellow students whether you think it is important for an organisation
to encourage human reliability with measures like incentive schemes that reward
positive behaviour. Substantiate your answer.

Feedback will be given online.

19.5 INDIVIDUAL DIFFERENCES

In learning unit 11, we pointed out that all human beings are different from one
another, but that there are certain common themes across the human factors field
of study. You were also informed about motivation, intelligence, personality and
attitudes. Let’s explore these in more detail.

Watch online for more information on individual differences, as explained by Lylle

Krissia Dionisio (3.16): https://youtu.be/cggONQZT9kM.

19.5.1 Motivation
Motivation is defined in Boyle (2019:416) as the factors influencing employees to
act or respond in a certain way. Boyle (2019:416–418) elaborates on various theories
of motivation.

Watch online for a different view on human motivation, by duct tape then beer
(3.16): https://youtu.be/mGd6HDcO77Y.

One of the first known motivation theories is Maslow’s (hierarchy) theory on human
needs, in which Maslow introduced five basic human needs. The five needs that
Maslow lists are (Boyle 2019:416):
• Physiological
The basic human need for food and drink
• Safety
An environment that does not place the employee in distress, whether mental
or physical
• Belongingness
The need for an employee to feel that they belong to a group in the workplace
• Esteem
The need to feel valued by others; the need for an employee to feel that they make
a contribution to the workplace
• Self-actualisation
The need an employee feels to fulfil their fill potential

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Watch online Maslow’s hierarchy of needs, by Sprouts (2.47): https://youtu.

be/O-4ithG_07Q.

The second theory that Boyle mentions, is Vroom’s expectancy theory. This theory
alludes to employees making choices in accordance with three factors that they
consider. These factors are:
• Expectancy
The employee judges how likely he/she is to complete an action successfully.
• Instrumentality
The employee decides whether or not completing the action will lead to the
outcome that he/she desires.
• Valence
This refers to the extent to which the individual values the outcome that is desired
in the instrumentality factors.

This theory is also known as the instrumentality theory or the VIE (Valence,
Instrumentality and Expectancy) theory (Boyle 2019:416).

Watch online Vroom’s expectancy theory, by Anisuzzaman Jiko (4.02): https://

youtu.be/IpnzW06shsM.

The third type of theory that is discussed in Boyle (2019:417) is Goal-setting theories.
There are a few common points that have been clearly established relating to these
theories. These commonalities are that (Boyle 2019:418)
• goals can only motivate an employee to the extent that he/she is willing to achieve
them
• goals that require more effort to achieve are much more rewarding than goals
that do not stretch employees
• specific, clearly set goals are more motivating than vague, generalised goals
• feedback on progress towards achieving the goal will assist in keeping employees
motivated, which means that organisations need to put effort into planning goals
and setting clear and stretched, but not impossible goals

Watch online more about creating employee motivation by using the goal-setting
theory, by Ben Baran (3.54): https://youtu.be/_yj2wsPJEWs.

STUDY

Boyle (2019:416–418) and ensure that you understand all the theories of motivation
and how they apply to organisations.

19.5.2 Intelligence
Let’s consider what intelligence is.

31 DISCUSSION 19.2: INTELLIGENCE

Discuss with your fellow students your understanding of what intelligence is and
how it can be measured.

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 LEARNING UNIT 19: Human factors – advanced

Feedback will be given online.

Boyle (2019:419) provides a formula that can assist in calculating an individual’s IQ.
This IQ refers to an employee’s ability to process information or to apply their mind
and think about something. The nature/nurture controversy is about whether an
employee has an innate high level of intelligence, or whether they have developed
their intelligence through experience gained in their lives.

As discussed in learning unit 11, intelligence can be subdivided into three categories,
namely verbal, spatial and numerical intelligence.

Watch online a discussion on theories of intelligence, by MCAT Khan Academy

khanacademymedicine (7.10): https://youtu.be/oaJ01Ex7DLw.

32 DISCUSSION 19.3: TYPES OF INTELLIGENCE

Discuss with your fellow students the various types of intelligence.

Feedback will be given online.

STUDY

Boyle (2019:420–423) and ensure that you understand these concepts.

After the discussion, watch online the video clip on multiple intelligences, for some
additional information, by Practical Psychology (4.15): https://youtu.be/s2EdujrM0vA.

19.5.3 Personality
In learning unit 11, you were introduced to personality as a term used to describe
the general characteristics of how an individual think and behaves. Boyle (2019:423)
outlines various psychoanalytic theories, which include
• the id
• the ego
• the superego

ACTIVITY 19.1: PSYCHIC FORCES

Conduct research on the psychic forces identified by Freud and indicate in 150 to
200 words how these could influence the workplace.

It is important to note that employees will most likely make use of the following
methods to ease any anxiety that they may feel (Boyle 2019:423):
• denial
• projection
• reaction formation

Read online what personality is, by Brendan Bauer (3.50): https://youtu.be/

o72551HqNlw.

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Watch online: For additional information, this open educational resource by Mark
Kelland explains personality theory from an African perspective: https://www.
oercommons.org/authoring/22859-personality-theory/20/view

STUDY

Boyle (2019:189–190) and ensure that you understand how personality impacts
a workplace.

STUDY

Boyle (2019:423–427) and ensure that you understand the elements involved in
human personality.

19.5.4 Trait theory

The Trait theory dates back to the late 5th century BC to Hippocrates putting
individuals in four categories, namely:
• Phlegmatic – people who are calm, unexcitable and unaggressive
• Choleric – people who are irritable and quick-tempered
• Sanguine – people who are generally cheerful and optimistic
• Melancholic – people who are sad and depressed

It is important to note that even though employees can be grouped into these
categories, they are not always feeling the same or behaving in the same manner.
A calm person can get angry or sad and a quick-tempered person can be calm in
certain situations (Boyle 2019:425).

A second variant of the trait theory postulates that there are different dimensions
of personality and that the characteristics of an employee can be plotted on a chart
in accordance with each dimension (Boyle 2019:425).

19.5.5 Attitudes
In learning unit 11, an employee’s attitude was defined as the employee’s view
on and commitment to a specific aspect. In chapter 26 of Boyle (2019:429), the
relationship between attitude and behaviour is explained in terms of
• a cognitive component
• an affective component
• a behavioural component

It is important to note that attitudes can be measured and changed. It is also

important to note what role genetic and cultural factors play with regard to attitude
(Boyle 2019:433).

Watch online the components of attitude, by Shreena Desai (3.11): https://youtu.

be/ym7-UCipjpU.

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 LEARNING UNIT 19: Human factors – advanced

ACTIVITY 19.2: MEASURING ATTITUDE

Give a brief discussion of 200 to 250 words about the ways in which attitude can
be measured.

STUDY

Boyle (2019:428–433) and ensure that you understand the components of attitudes.

In the next section we will look at human error in the workplace.

19.6 HUMAN ERROR

Human error is a factor in everyday life, from forgetting to add sugar in coffee to
accidently bumping a tool off a scaffold. Employees make mistakes all the time and
this makes human behaviour and human error critical factors to manage. The first
step in preventing human error from occurring is identifying the human errors that
could result in harm. The next step is to identify the causes of these types of errors.
As soon as there is accurate information available on these matters, the organisation
can design and implement preventive and corrective actions to prevent harm (Boyle
2019:415).

Human error can be classified into the following error types (Boyle 2019:436):
• commission
• omission
• selection
• sequence
• time
• qualitative

ACTIVITY 19.3: HUMAN ERROR

According to Boyle (2019:437), Rasmussen identified three basic types of error. In

200 to 250 words explore and discuss these types of error and give two examples
of each in the workplace.

Since human error plays a big role in most accidents and incidents, it is a
critical component of risk management and accident prevention (Boyle 2019:440).

Watch online to gain an understanding of human error and the management thereof,
as discussed by In a Nutshell (2.25): https://youtu.be/eGS5-qs_aZw.

ACTIVITY 19.4: REASON – HUMAN ERROR TYPES

Review figure 27.1 in Boyle (2019:437) and indicate which one of the human errors
below will be seen as a slip, a lapse or a mistake. Substantiate your answers in
50 to 100 words.
• A forklift driver is spotted getting onto the forklift and starting to drive it without
first doing the forklift inspection.

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• An employee in an admin building picked up a heavy box. Her cellphone started

ringing and, as she stretched to reach it while holding the box, she strained
a muscle.
• A new employee slipped and fell on a wet walkway. The employee was not
wearing the prescribed kind of shoes, as she had not yet been informed of
the requirement.

STUDY

Boyle (2019:436–441) and ensure that you understand the role human error plays
in the workplace.

Next, we will look at how perception influences decision-making.

19.7 PERCEPTION AND DECISION-MAKING

Perception refers to how an employee sees something in the workplace. This is
relevant to the hazards and risks that the employee is exposed to, and also to the value
of safety rules. If an employee does not perceive high noise levels in the workplace
as a hazard to his/her health, the employee may perceive the safety rule that states
that hearing protection must be worn as irrelevant and will not obey it. This will,
of course, come at a price and when the employee starts to realise that he/she is
struggling to hear, it will be too late (Boyle 2019:415).

Because decision-making is influenced by perception, the organisation must assist

employees with their perception of risks and health and safety as a whole, to ensure
successful risk management (Boyle 2019:415).

Watch online the video by GreenFacts.org, to gain an understanding of hazard,

risk, safety, risk assessment, management, and perception (5.30): https://youtu.be/
PZmNZi8bon8.

Boyle (2019:442) explains the aspects of information processing that are required
for perception. They are:
• the attention mechanism
• long-term memory
• short-term memory
• expectancies
• stereotyping
• decision-making
• cost-benefit decisions
STUDY

Boyle (2019:442–459) and ensure that you understand the processes of perception
and decision-making.

Website of interest:

The website on organisational behaviour by Pearson contains very insightful information:

https://wps.pearsoned.co.uk/ema_uk_he_robbins_orgbeuro_1/151/38820/9938085.
cw/-/9938106/index.html.

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 LEARNING UNIT 19: Human factors – advanced

Next, we will look at external influences on human behaviour.

19.8 EXTERNAL INFLUENCES ON HUMAN ERROR

Human error is influenced by the physical and social environments in which employees
find themselves. The physical environment refers to the workplace and its layout. If
a switch is located in a place that requires an employee to stretch across a piece of
rotating equipment, it will force him/her to expose himself/herself to risk of injury.

The social environment refers to the safety culture within a team or work group.
If a team leader disregards barricading that is meant to control access to an area in
the workplace where hazardous work is performed, the team will get accustomed
to it and will also start doing it. The culture of disregarding barricading can come
at a steep price. What would happen if an employee climbs over barricading and a
suspended load drops from an overhead crane? (Boyle 2019:415)

There are three main requirements if human error is to be avoided and human
reliability maintained (Boyle 2019:460):
• The individuals concerned must be competent and capable of avoiding errors.
• The individuals concerned must be willing to avoid errors. This refers to the
employee’s motivation.
• The individuals concerned must be enabled or empowered to avoid errors. This
is referred to organisational factors.

Watch online how organisations can manage personal behaviour to avoid human
error, how to minimise corporate risk, and how to manage personal behaviour, as
set out by Gamification Europe (22.38): https://youtu.be/Mf7sU20SjJc.

STUDY

Boyle (2019:460–467) and ensure that you understand all the external influences
on human error.

Certain theories of motivation were discussed in Boyle (2019:416–434). Other

motivational theories include:
• Group motivation
• Rewarding reliability
• Providing feedback on reliability
• Higher-level motivation

STUDY

Boyle (2019:467–472) and ensure that you understand interpersonal relationship

studies and how these studies benefit organisations. You will need to understand
the importance of providing feedback on reliability and the higher-level motivations.

19.8.1 Organisational factors

Organisational factors can either enable an employee to become more reliable, or
force the employee to become less reliable. This means that organisational factors
require a lot of attention to ensure that they do not negatively impact the employees

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and the organisation in turn (Boyle 2019:472). The main organisational factors that
are deemed to play a key role in human reliability are listed as (Boyle 2019:473):
• the mediation process in the organisation
• management of change in the organisation
• managing conflict that occurs in the organisation

ACTIVITY 19.5: CONFLICT MANAGEMENT

Two approaches to conflict management are applicable to every organisation. As

the health and safety professional employed in a brick manufacturing organisation,
you need to resolve the conflict that have arisen between two colleagues during
a risk assessment. The one employee argues that it is necessary to move any
number of bricks exceeding three bricks with a wheelbarrow, instead of manually
carrying them. This will eliminate the possibility of a back injury. The second
employee argues that since only three or four bricks can be carried at a time, a
back injury is not very likely to occur (Handy 1993).

In 50 to 100 words, explain how you can use the two conflict management techniques
to manage this conflict.

Next, we will look at how organisations can improve human reliability.

19.9 IMPROVING HUMAN RELIABILITY

As mentioned in the introduction, human reliability refers to employees doing the
right thing at the right time and avoiding doing the wrong thing. Let’s look at how
organisations can improve human reliability.

It is important to note that there is a variability in performance between individuals

(inter-individual variability) and by the same individual at different times (intra-
individual variability). This means that there is a significant chance that tasks which
have to be carried out by people over a period of time, will result in an error (Boyle
2019:480).

Boyle (2019:135) defines the role of ergonomics and outlines error-prone tasks in
chapter seven (Boyle 2019:49) in the introduction to task analysis and Hierarchy Task
Analysis (HTA). In this section, Boyle (2019:481) reviews Task Analysis for Error
Identification (TAFEI), Predictive Human Error Analysis (PHEA), Quantified
Human Reliability Assessment (QHRA), environmental factors, ergonomics and
the man-machine interface.

Organisations can improve human reliability by selecting the most suitable candidate
for a position and ensuring that regular refresher training is presented to employees.

Watch online how human reliability can be improved, by MeridiumAPM (1.16):

https://youtu.be/ZcF3LJc0-40.

Boyle (2019:480) states that the term ‘human factors’ is used for all aspects of human
psychology and physiology of relevance to risk management. He lists five elements
that make up these human factors (Boyle 2019:491).

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 LEARNING UNIT 19: Human factors – advanced

STUDY

Boyle (2019:480–491) and ensure that you understand the role that ergonomics
play in human reliability.

19.10 SUMMARY
This learning unit recapped information that was shared in learning unit 11 and
looked at human factors in more detail. Various aspects of human factors like
individual differences, human error, perception and decision-making were discussed.
You were also introduced to the external influences on human behaviour and how
human reliability can be improved.

This is the final learning unit in this module, SMA3701. We hope you have enjoyed
the journey into the world of safety risk management.

19.11 SELF-ASSESSMENT QUESTIONS

(1) Give your own definition of human reliability.
(2) Outline the individual differences of a person.
(3) Describe the physiological and psychological factors that make us unique/
different from one another.
(4) Identify and describe two main sources of differences between individuals.
(5) Examine individual attitude, motivation, personality and intelligence in rela-
tion to individual differences.
(6) Examine and clarify the ‘components of attitudes’.
(7) Examine and discuss aspects related to changing attitudes.
(8) Explain how an employee’s perception influences the decisions they make.
(9) Discuss the influence of external factors on human error.
(10) Explain how organisations can improve human reliability.

19.12 OTHER VIDEOS OF INTEREST

Baran, B. 2012. Employee motivation: Goal-setting theory. [Online] Available from https://
youtu.be/_yj2wsPJEWs [Accessed on 20 October 2020].
Bauer, B. 2017. What is personality? [Online] Available from https://youtu.be/
o72551HqNlw [Accessed on 5 October 2020].
Desai, S. 2013. Components of attitudes. [Online] Available from https://youtu.be/ym7-
UCipjpU [Accessed on 24 October 2020].
Dionisio, LK. 2016. Individual differences. [Online] Available from https://youtu.be/
cggONQZT9kM [Accessed on 6 October 2020].
Duct tape then beer. 2017. Our theory of human motivation. [Online] Available from
https://youtu.be/mGd6HDcO77Y [Accessed on 8 October 2020].
Gamification Europe. 2020. Human error: How to minimise corporate risk and manage
personal behaviour. [Online] Available from https://youtu.be/Mf7sU20SjJc [Ac-
cessed on 8 October 2020].
GreenFacts.org. 2014. Hazard, risk and safety – Understanding risk assessment, management
and perception. [Online] Available from https://youtu.be/PZmNZi8bon8 [Ac-
cessed on 4 October 2020].
In a Nutshell. 2016. Understanding and managing human error. [Online] Available from
https://youtu.be/eGS5-qs_aZw [Accessed on 3 October 2020].

SMA3701/1215


Jiko, A. 2018. Vroom’s expectancy theory. [Online] Available from https://youtu.be/

IpnzW06shsM [Accessed on 20 October 2020].
Kelland, M. 2017. Personality theory. [Online] Available from https://www.oercom-
mons.org/authoring/22859-personality-theory/20/view. [Accessed 21 Sept
2020].
khanacademymedicine. 2015. Theories of intelligence | Processing the environment | MCAT
| Khan Academy. [Online] Available from https://youtu.be/oaJ01Ex7DLw [Ac-
cessed on 6 October 2020].
MeridiumAPM. 2016. Polinter – Improving human reliability. [Online] Available from
https://youtu.be/ZcF3LJc0-40 [Accessed on 4 October 2020].
Practical Psychology. 2016. 8 intelligences – Theory of multiple intelligences explained – Dr
Howard Gardner. [Online] Available from https://youtu.be/s2EdujrM0vA [Ac-
cessed on 26 October 2020].
SeeHearSayLearn. 2017. Human reliability – Know it all. [Online] Available from https://
youtu.be/n4Vm8beqVBs [Accessed on 7 October 2020].
Sprouts. 2017. Maslow’s hierarchy of needs. [Online] Available from https://youtu.be/O-
4ithG_07Q [Accessed on 20 October 2020].
SWS Psychology. 2017. Attitude | Components of attitude | features of attitude. [Online]
Available from https://youtu.be/YwZ7TIak5Xw [Accessed on 4 October 2020].

19.13 REFERENCES
Boyle T. 2019. Health and safety: Risk management. 5th edition. New York: Routledge.
Handy C. 1993. Understanding organisations. Penguin.

216