Available online at www.sciencedirect.

com

Safety Science 46 (2008) 935948

www.elsevier.com/locate/ssci

A new conceptual framework to improve the application

of occupational health and safety management systems
A.M. Makin *, C. Winder
School of Safety Science, The University of New South Wales (UNSW), Sydney 2052, Australia

Abstract

The benets of using occupational health and safety management systems (OHS MS) have been typically restricted to
large scale, multi-site organisations, often from the manufacturing sector. Transferring these benets to smaller businesses
has been fraught with diculty, with the mechanics and bureaucracy of the system itself sometimes becoming overwhelm-
ing. A conceptual framework to ensure that an OHS MS has been carefully constructed and customised to the individual
organisation is presented here to bring together the merits of the three main control strategies that have emerged for deal-
ing with workplace hazards namely: safe place, safe person and safe systems. The overarching intention is to simplify the
implementation process and make the benets of OHS MS more obvious. This paper also argues that unless the hazard
prole of the organisation has been accurately determined and appropriately addressed; and the type of business operation
has been understood and analysed to appreciate which factors have the greatest impact on health and safety; compliance
auditing will have little impact on the organisations overall safety performance.
2007 Elsevier Ltd. All rights reserved.

Keywords: Occupational health and safety management systems; Safety programs; Hazard prole; Systems approach; Auditing; Safety
performance

1. Introduction

The identication of hazards and their corresponding control measures provides the foundation for a safety
program and essentially determines the scope, content and complexity of a successful occupational health and
safety management system (OHS MS) (Mearns and Flin, 1995). If this stage is performed poorly, the ability of
the OHS MS to protect health and safety will be limited, and the OHS MS may even degenerate into a paper
system (Saksvik and Quinlan, 2003). One of the problems with the risk management process is that often only
a simplied version of the full process is invoked, without considering the entire context of workplace hazards.
Psycho-social hazards are commonly overlooked, as are problems related to the way in which work is struc-
tured and organised (Johnstone, 1999).

*
Corresponding author.
E-mail address: ammakin@fastmail.fm (A.M. Makin).

0925-7535/$ - see front matter 2007 Elsevier Ltd. All rights reserved.
doi:10.1016/j.ssci.2007.11.011
936 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948

A more complete analysis may result after considering the potential hazards associated with each of the key
elements that combine together to create an organisation in the rst place. These comprise:

 the people to whom a duty of care is owed;

 the physical workplace that people use or convert in order to produce goods and/or services; and
 the management employed to organise and direct the transformation of resources into organisational
outputs.

These three components exist within an external environment that also impacts on the nature of the orga-
nisation, but is sometimes beyond its control. Hazards in the workplace may emerge from within, or from
changes to, any of these three elements; at the interfaces between these elements; or at the boundaries with
the external environment (see Fig. 1).
Recognition of these three critical areas as individual factors emerges as a recurring theme in the literature,
yet there has been a general tendency to focus on one particular area rather than consider the total hazard
landscape. A number of authors, however, have encouraged the consideration of these three main areas with-
out necessarily bringing this concept together as a framework, which has provided the opportunity for this
research (Edwards, 1988; McLeroy et al., 1988; Stephenson, 1991; Cox and Tait, 1998b).
A systematic examination of these three areas enables a unique hazard prole of the organisation to be
determined. It should be noted that not all these hazards will appear in every organisation, so the following
examples are given purely to illustrate how the framework may be applied. The term hazard prole is used
here to indicate the particular blend of characteristics within a given work environment that have the potential
to cause harm or loss to those whom a duty of care is owed.

2. The context of workplace hazards

2.1. Focusing on the physical workplace

The potential for harm to develop from the hardware used or the operating environment may involve
among other things: mechanical, structural and process design failures; conned spaces; dangerous goods
and hazardous substances; sources of ignition; materials handling and storage; access and egress; electrical
hazards; radiation; working from heights; biohazards; and moving vehicles and equipment such as forklifts.
On the interface between the physical workplace and the people component lie ergonomic hazards. Exam-
ples here include noise; vibration; lighting/glare; unguarded machinery such as exposed pinch points; worksta-
tion design; slippery surfaces; manual handling issues and poor amenities.
Hazards emerging on the interface between the physical workplace and the management may be related to
poor decisions concerning the operation of equipment or facilities, for example failure to test protective
equipment and alarms; failure to maintain equipment in good working order where the intention exists to

External
Environment People

Physical
Workplace Management

Fig. 1. Areas where hazards may develop in the workplace.

 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948 937

close down an organisation; or where unsafe shortcuts have been taken to ensure continuity of output or
increased levels of production.
Hazards originating from interactions between the external physical environment and the physical work-
place may be related to climate, for example: heat and humidity causing heat stress, exposure to the cold;
or ultraviolet (UV) radiation in the case of outdoor workers. Mechanical failure may also result from exposure
of equipment to the elements, as in the case of brittle failure or metal fatigue.
Other inuences from the external environment may include a depressed economic climate which may
impact the choice of equipment, the frequency of maintenance or the ability to purchase adequate protective
equipment. The stringency of regulations in force may also aect the standard to which the physical workplace
has been built, and the type of plant or equipment selected. This eect may be more obvious in businesses
operating over several jurisdictions where dierences in legislation may apply.
Finally, hazards may result from changes or modications to the physical workplace such as when new
equipment is installed. Storms, natural disasters or terrorism may also create changes to the hardware and
operating environment, triggering emergency situations.

2.2. Focusing on people

Hazards may be generated from within the people section of the organisation, not only from the individ-
uals themselves, but also from the way in which people relate to others; or as a result of interactions between
people and the physical workplace, management and/or the external environment.
Harm arising from within the people component of the organisation may stem from singular or combined
psychological, biological or socio-cultural factors. Examples may include:

 discrimination on the basis of gender, sexuality, religious beliefs, pregnancy, disability, or family care
requirements;
 bullying, sexual or racial harassment, horseplay, practical jokes or initiation rites (Cowie et al., 2002;
Djurkovic et al., 2004);
 violence initiated from within the workplace, for example in the case of patients abusing health care workers
in the mental health industry or violence initiated from the public against workers, as in the case of armed
theft (Mayhew, 2005);
 conict, mistrust and antagonism where workplace relationships have broken down (Tidwell, 1998; Austra-
lian Government: Comcare and the Safety Rehabilitation and Compensation (SRC) Commission, 2004);
 impaired judgement resulting from cases of substance abuse or workers experiencing grief or loss; (Elking-
ton, 2001; Canadian Centre for Occupational Health and Safety, 2002);
 contagious illnesses and disease; and
 communication problems, including instances where people are at risk because they are working in isolation
or where language barriers exist.

Examination of the interface between the people component and the hardware and operating environment
may reveal hazards associated with poor design, human error and the limitation of humans as information
processors. This may include:

 working memory overload for example Miller found that ve to nine unrelated items can be successfully
retained in the working memory desktop at one time and workplace tasks that require more may be
problematic (Miller, 1956);
 code incompatibility codes are used to store information received by the senses: tasks involving verbal/
phonetic codes and visual/spatial codes are better suited to operate together than activities employing
two common codes such as speaking and writing which are both verbal (Avery and Baker, 1990a);
 perception errors the interpretation of stimulus may be aected by mental predisposition or expectation
(Avery and Baker, 1990b; Geller, 2001b);
 recall errors and the transferral of information from short-term to long-term memory may be inuenced by
mood, state, motivation, association and context at the time of learning (Geller, 2001b);
938 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948

 tunnelling of attention and misplaced priorities brought on by stressful circumstances (Avery and Baker,
1990b,c) and
 breakdown of selective attention the ability to decipher important information amidst multiple stimuli, or
the breakdown of focused attention where concentration is required, under conditions of fatigue (Avery
and Baker, 1990b).

On the interface between the people component and management strategies and methodology are hazards
concerning the way in which work is organised (Bohle and Quinlan, 2000). Examples include stress and/or
fatigue resulting from shift work arrangements, overtime, monotonous tasks or the pace of production activ-
ities (LaDou and Coleman, 1998). Stress may also result from the following (Holland, 1986; Petersen, 1988;
Dollard and Knott, 2004):

 role ambiguity/ role conict;

 responsibility for actions without the necessary authority;
 career uncertainty; and
 lack of perceived control over a situation.

Analysis of the interface between people and the external environment may reveal hazards resulting from
the inuence of customs, norms and social culture. Examples include the social acceptability of wearing of
personal protective equipment; expectations about the length of time spent at work away from the family;
or the willingness to be assertive when rights have been violated.
Low morale underpinned by resistance to change would be an example of a hazard arising from changes to
the people sector of the organisation. This low morale and associated workplace stress may be indicated by
unusually high turnover rates and absenteeism levels (Cowie et al., 2002; Dollard and Knott, 2004).

2.3. Focusing on management issues

Hazards generated from within management may derive from lack of leadership, commitment or compe-
tence (Deming, 1986a). Failure of management to acquaint themselves with their legal OHS obligations or
keep informed of changes may also place workers at greater risk of illness and injury. Hazards may also
develop in response to the culture of the organisation, for example if reporting of incidents were discouraged,
or the extent to which safety is valued by the organisation (Geller, 1994; Richardson, 1997; Hopkins, 2000).
On the interface between management and the people section are hazards arising from a lack of consulta-
tion, poor supervision and wilful violations from people in response to over specication of procedures or gen-
erally poor procedures. Decisions to use contracting personnel as opposed to permanent employees may
inadvertently generate hazards due to workforce instability and lack of local knowledge (Quinlan and May-
hew, 2001).
Examining the interface between management and the physical workplace may highlight hazards where
there has been a failure to understand the process or where too many defences in depth have been applied.
This may create problems in emergency situations if the purpose of defence mechanisms has been obscured or
if their impact on other sections of the process has not been properly understood (Deming, 1986a; Reason,
1997). Other hazards may emerge due to the selection of particular work practices or the structuring of organ-
isational activities (Bohle and Quinlan, 2000).
Negative inuences from the external environment on management strategies and methodology may
include cases where adversarial relationships have developed between the local regulatory authority and indus-
try, which may restrain the willingness to document workplace hazards and potentially inhibit the consulta-
tion process. The level of unionism and the ability to call upon external support may also inuence the power
balance between management and the workers, which may also impact upon management attitudes and read-
iness to deal with safety and health related issues in the workplace.
Hazards related to changes on a managerial level may originate from the failure to communicate revisions
to work methods and procedures, or failure to consider those aected or impacted by changes. Also included
 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948 939

here are hazards linked to too much ux and instability within the workforce, for example when the downsiz-
ing or restructuring of a business is occurring.

3. Techniques for dealing with hazards in the workplace

Once the hazard prole of an organisation has been determined, an assessment of how well the prevention
and control strategies applied match the hazard prole of the organisation may be evaluated, together with the
eectiveness of the various approaches that manage them. The three main approaches that have emerged for
dealing with the corresponding hazards are referred to here as: safe place, safe person and safe systems (see
Fig. 2). A broad outline of some of the options available within each strategy has been given for illustrative
purposes, and a general critique of the relative merits and limitations of each strategy provided. This exercise
highlights one of the key attributes of an OHS MS the ability to manage a multitude of complex hazards.

3.1. Safe place strategies

Safe place strategies are underpinned by the risk assessment process and the application of the hierarchy of
controls up to the point where alterations are made to the existing physical environment. Safe place strategies
also include arrangements for abnormal emergency situations, as well as monitoring and evaluation to assess
the ecacy of solutions applied and peer review of modications. These techniques are most eective when the
hazards are predictable and there is an abundance of information available about the potential problems. The
exibility and adaptability of this approach represent some of its greatest merits, however it is not without its
limitations.
The length and intensity of the risk management process is a major shortcoming of this approach and com-
plications have resulted from attempts to short-circuit the process (Taouk et al., 2001). For example, the eval-
uation stage needs to be conducted with sucient time to allow for the most appropriate solutions to be
identied and implemented (Gadd et al., 2004). Without adequate planning provisions to enable the full risk
management process to be conducted, issues may be dealt with supercially on the basis of expedience, rather
than eliminating problems from the source. Many risk assessments seem to resolve themselves by selecting the
existing controls.
Perception of risk is a highly contentious issue as it will vary from individual to individual and can lead to
inconsistency in the risk analysis stage (Cox and Tait, 1998a). The perception of risk may be inuenced by the
following factors (Fleming and Lardner, 1999; Geller, 2001a; Adams, 2003):

 what is known about the risk, including future implications;

 the actual level of control over the situation;
 situational awareness and understanding of outside inuences;
 the depth of task knowledge;

External
Environment
Safe Person

OHS MS

Safe Place Safe Systems

Fig. 2. Strategies for dealing with complex hazards.

940 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948

 whether the potential consequences relate to everyday experiences, require specialist knowledge or are the
subject of speculation;
 experience and the frequency of previous task performance;
 the potential to imagine vivid, gruesome or frightening outcomes; and
 personality-dependent risk taking attributes.

Complacency can be very dangerous where the task is routinely performed leading to risk habituation.
Activities with low level consequences but high levels of frequency are prone to being underestimated. This
normalisation of dangers may be overcome by ensuring the involvement of objective team assessors during
the risk assessment stage (Fleming and Lardner, 1999).
Uncertainty or underestimation attached to the values used in quantitative risk assessments may lead to a
false sense of condence in the outcomes of the risk assessment process. Therefore, the risk assessment process
is more reliable when handling problems of a predictable nature, or where substantial evidence has been col-
lected to support assertions (Standards Australia, 2004).
A further drawback with risk management methodology is that its application may unveil long lists of
problems requiring capital expenditure and there is the possibility that funds set aside to address safety pro-
gram issues may be transferred across to other, seemingly more urgent projects (Winder and Makin, 2006).
Therefore, safe place strategies strive to ensure that the existing physical environment is harm-free and the
strength of this methodology lies in its practical and portable application and the intent to remove predictable
hazards from their physical source. The shortcomings of this approach are mainly associated with the mechan-
ics of the process itself and the fact that the action deals with what already exists rather than the planning
stage.

3.2. Safe person strategies

Safe person strategies involve all those techniques that focus on:

 equipping the person with the knowledge of skills to avoid creating dangerous scenarios in the rst instance
or with the ability to deal with unsafe situations should they arise;
 communicating awareness of situations that have the potential to cause harm; or
 with the recovery of a person after an illness or injury experience whether it be physical or psychological.

Due to the complexity of issues associated with the human factor, a wide range of treatment options have
been listed here including:

 pre-employment screening and the use of employee selection criteria;

 training needs analysis for competency, awareness and refresher training;
 continuing education, networking and role development;
 the communication of equity and anti-harassment policies;
 sensitivity to diversity such as cultural dierences; special consideration of the needs for younger, pregnant
and older workers;
 awareness of fatigue, circadian rhythms and attention spans to ensure the careful planning of rosters and
shiftwork;
 employee assistance programs;
 health promotion and vaccination programs;
 health surveillance;
 perception surveys and suggestion/ feedback initiatives;
 the use of personal protective equipment;
 rehabilitation programs;
 the use of performance appraisals; and
 the application of behavioural-based safety (BBS) (Krause and Hidley, 1989; Geller and Steven, 1999; Kra-
use, 2001).
 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948 941

In summary, safe person strategies have the advantage of being able to deal with potential hazards of a
more complex and irregular nature, and this is reected in the broad range of treatment options available.
Where the elimination of hazards is not a viable option, methods for coping with the possibility of danger
provides a sensible alternative, and in some cases this may simply involve creating awareness of the potential
for problems to arise (Pollock, 1999). Furthermore, not all workplaces are xed, many workers are required
to travel to various locations where the nature of the physical work environment may be unknown or their
purpose may be to make the area safe. Examples include repair and maintenance work, asbestos removalists,
and emergency service workers. In these instances it is may be necessary to draw upon competency skills,
training, the ability to routinely perform informal risk assessments and the strength of their situational judge-
ment. Safe person strategies are therefore particularly useful for non-routine and specialist work environ-
ments, and allow for more latitude in the decision making process (Makin and Winder, 2006). However, it
must be acknowledged that these strategies are vulnerable to the complexities of human nature.

3.3. Safe system strategies

A safe systems approach addresses many hazards associated with lack of leadership and direction and as a
result many of the options available are preventive by nature such as creating a safety policy; establishing
safety criteria for the selection of suppliers, raw materials, design and equipment. Provisions for organisational
learning where control measures have failed, such as carrying out incident investigations, are included. Both
preventive and reactive strategies need to be in place to manage safety and health eectively, and one of the
merits of a systems approach are the cues and prompts that it provides to facilitate both of these responses
(McSween, 1995).
A safe system approach usually requires the provision of regular feedback and open communication to fur-
ther a deeper understanding of the work process and the impact of key variables (Ragan and Carder, 1994).
However, there are continuing problems with the use of measures for safety failures such as illness and injury
statistics for assessing safety performance, as they may be linked with organisational politics and the need for
managers to save face. Under-reporting presents a major threat to safety program improvements because it is
dicult to understand a situation when the facts have been distorted or worse, absent. A culture of trust,
respect and transparency must be in place before a systems approach will work eectively (Vincoli, 1991; Hud-
son, 2001). One of the redeeming features of a systems approach is that when a problem has been identied,
examination of the system can redirect unwelcome attention away from managers or workers, reducing the
opportunity for blame and encouraging solutions that benet the organisation as a whole.
Therefore, it can be seen that safe system strategies build safety in at the concept stage and are most eec-
tive when delivered within a suitable culture. However, OHS MS have been particularly criticised for becom-
ing paper tigers, which has often resulted in their benets being restricted to large scale manufacturers with
routine, continuous operations (Saksvik and Nytro, 1996). Problems with OHS MS may also occur when the
proposed corrective action continually results in piecemeal changes to the procedures rather than searching for
higher order solutions that address either the physical or conceptual core issues. Constant changes to proce-
dures results in end users losing condence in the system. Furthermore, it is important not to over specify the
system. It is important to appreciate the dierence between applications where human judgement and experi-
ence add value and where consistency and replication are necessary (Winder and Makin, 2006). These criti-
cisms represent an opportunity to restore OHS MS to their intended purpose to provide one the most
preventive means of delivering OHS benets to the workplace, wherever it might be. Implicit in this intention
are the fundamental concepts of planning, understanding the process, making adjustments where necessary,
and continual evaluation of outcomes (Standards Australia, 2001).

4. The building blocks of an OHS MS

By applying the Deming Plan, Do, Check, Act cycle across the three strategically dierent approaches to
safety, a number of building blocks for an OHS MS emerge see Table 1 (Deming, 1986b; Standards Aus-
tralia, 2001).
942 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948

Table 1
The building blocks of an OHS MS
Safe place Safe person Safe systems
Baseline risk assessment Equal opportunity/anti-harassment OHS policy
Ergonomic assessments Training needs analysis Goal setting
Access/egress Inductions contractors/visitors Accountability
Plant/equipment Selection criteria Due diligence review/gap analysis
Materials storage/handling/disposal Work organisation Resource allocation/administration
Amenities/environment Accommodating diversity Procurement with OHS Criteria
Electrical Job descriptions Supply with OHS consideration
Noise Training Competent supervision
Hazardous substances Behaviour modication Safe working procedures
Biohazards Health promotion Communication
Radiation Networking, mentoring, further education Consultation
Installations/demolition Conict resolution Legislative updates
Preventive maintenance Employee assistance programs Procedural updates
Modications peer review/commissioning First aid/reporting Record keeping/archives
Security site/personal Rehabilitation Customer service recall/hotlines
Emergency preparedness Health surveillance Incident management
Housekeeping Performance appraisals Self assessment tool
Plant inspections/monitoring Feedback programs Audits
Risk review Review of personnel turnover System review

An examination of Table 1 reveals that the framework presented includes a balance between strategic ele-
ments that involve planning for the future; implementation elements which may involve either routine tasks or
require specialist skills; provision for contingency arrangements where prevention and control strategies have
failed; and checking elements that involve measurement and monitoring which may be used for feedback pur-
poses to improve the process.
Many of the elements of traditional OHS MS structures may be viewed as prevention and control measures
to address hazards commonly encountered in large organisations, for example lack of direction and focus
may be addressed by having a well formulated policy and measurable objectives; the need to provide training
and perform a training needs analysis addresses lack of skill and competency; and the requirement to update
procedures and having access to the latest legislation addresses hazards associated with using out of date infor-
mation. Often the OHS MS structure separates these common hazard control measures from those that are
unique to the particular industry or operation, grouping them into a generic requirement to identify and con-
trol all workplace hazards. This approach may have disguised the true value and purpose of some of the typ-
ical OHS MS elements, and provided detailed guidelines on how to manage only some of organisations
hazards.

4.1. Application of the safe place, safe person, safe systems framework preliminary pilot study results

To illustrate the practical application of the safe place, safe person, safe systems framework, a pilot study
was conducted using an assessment tool based on each of the elements given in Table 1. For each of the build-
ing block elements, a denition and scope was developed. During the pilot study, which was conducted on a
medium sized plastics manufacturing facility, it was found this information was easier to convey when pre-
sented in two formats: one to explain what the requirements entail; and the other to concisely communicate
the risk presenting to the organisation should these elements be overlooked. A preliminary assessment was
then conducted to determine whether or not each element applied to the pilot site. This would allow the frame-
work to be customised to the individual organisation. In the pilot study, it was found that all but one of the
elements applied Customer Service Recall/Hotlines, on the grounds that it was an intermediate product
and there were no direct dealings with the end users. However, had another smaller site been selected for
the pilot study, it is foreseeable that many more elements would not have applied and this would have illus-
trated this customisation aspect more vividly.
 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948 943

A risk ranking exercise was then performed using a set of potential risk factors and possible prevention and
control strategies which were developed for each element and set out as a series of prompts. The applicable
elements were then ranked according to the risk on a scale of one to four with 4 = High: 3 = Medium-High;
2 = Medium; 1 = Low. It was also important to provide positive feedback, so elements which were handled
with expertise were allocated a risk ranking of zero, with 0 = Well Done. These rankings were then used to
assess the hazard prole of the organisation without any prevention and control strategies applied before
interventions, and also the residual risk after the prevention and control strategies have been implemented.
The point of this exercise was to demonstrate the inherent risk areas for individual organisations and illustrate
where vulnerability exists should current prevention and control strategies fail. For example, in the pilot study,
electrical testing needed to be conducted on plant and machinery in some instances whilst the machines where
running. This was a high risk exercise, so in the hazard prole it was rated as high. However, contractors had
been used to carry out this task that had a long period of experience and history with the facility, and had a
high degree of local knowledge. Therefore, once interventions were used to manage the situation, the residual
risk was reduced to low. By having a before rating of high and an after rating of low, the point was con-
veyed to the organisation that should the personnel currently being used for this task change, so would the risk
presenting to the business and so this was an area of potential vulnerability. In another example, the facility
had an emergency plan documented in accordance with the local OHS regulations. Emergency assembly
points had been identied and key management personnel trained. However, the contact list had not been
updated and employees working in the plant had not had a emergency drill for more than 18 months, so
the eectiveness of the interventions applied was minimal, resulting both the before and after ratings
being high. These are shown in Figs. 35.
These rating scores were then summed and distributed across the three main areas where hazards may arise
to provide a visual representation of where the organisation was most exposed to breaches of duty of care,
both before and after risk treatment options have been applied. Such information may be helpful when com-
municating to attract resources, and also for promoting transparency and providing feedback to workers. An
example of this application is illustrated in Fig. 6.

Emergency Preparedeness
Hazardous Substances
Noise
Ergonomic Assessments
Baseline Risk Assessment
Risk Review
Modifications - Peer Review/Commissioning
Housekeeping
Security - Site/Personal
Preventive Maintenance/Repairs
Amenities/Environment
Storage/Handling/Disposa
l
Plant/Equipment
Access/Egress
Plant Inspections/Monitoring
Installations/Demolitions
Radiation
Biohazards
Electrical

0 1 2 3 4
Safe Place Risk Rankings
With Intervention Without Intervention

Fig. 3. Pilot study: impact of interventions on risk ranking scores for Safe Place: without interventions and with interventions in place.
944 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948

Training
Inductions- Contractors/Visitors
Feedback Programs
Health Surveillance
Rehabilitation
First Aid/Reporting
Employee Assistance Programs
Job Descriptions-Task Structure
Accomodating Diversity
Work Organisation
Selection Criteria
Training Needs Analysis
Review of Turnover
Performance Appraisals
Conflict Resolution
Behaviour Modification
Equal Opportunity/ Anti-Harrassment
Networking, Mentoring, Further Education
Health Promotion

0 1 2 3 4
Safe Person Risk Ranking
With Intervention Without Intervention

Fig. 4. Pilot study: impact of interventions on risk ranking scores for Safe Person: without interventions and with interventions in place.

Self-Assessment Tool
Incident Management
Consultation
Safe Working Procedures
Competent Supervision
Procurement with OHS Criteria
Resource Allocation/Administration
Due Diligence Review/Gap Analysis
System Rewiew
Audits
Legislative Updates
Communication
Accountability
Goal Setting
OHS Policy
Record Keeping/Archives
Procedural Updates
Supply with OHS Consideration

0 1 2 3 4
Safe Systems Risk Rating
With Intervention Without Intervention

Fig. 5. Pilot study: impact of interventions on risk ranking scores for Safe System: without interventions and with interventions in place.

In this particular pilot study, the distribution of risks across the three areas were very similar before and
after interventions were applied with the residual risk shrinking only slightly in the safe person area. As this
was a qualitative assessment, the percentages have only been included to help read the diagrammatic repre-
 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948 945

Safe Systems
Safe Place Safe Systems
34% Safe Place
37% 36%
39%

Safe Person Safe Person

29% 25%
Without Interventions (Before) With Interventions (After)
Fig. 6. Pilot study: distribution of risks without interventions and with interventions in place.

sentation and care should be taken not to attach undue signicance to the actual numbers. This exercise was
an important illustration to the business as it was under a period of restricted cash ow, so there was little
opportunity to address the problems related to the physical equipment, machinery and work environment.
In an attempt to manage the situation, the operations personnel had relied typically on safe person strate-
gies by utilising a high level of personnel competence, experience and skill. Whilst this was admirable, the
fact remained that the physical work environment and plant posed a signicant threat to the overarching
safety and welfare of the workers, and this risk would be even higher if key management personnel were to
leave. Furthermore, the organisation had elected to handle most of its risks informally on an as needs basis.
There was little documentation and few formal triggers and cues to remind personnel when actions were nec-
essary. Therefore, the residual risk in the safe systems area remained signicant, and the lack of documenta-
tion could be detrimental to the organisation should they nd themselves in a litigation situation as there
would be little objective evidence to demonstrate the precautionary measures they were taking.
After this ranking exercise had been completed, a management representative was then asked to select three
elements that the organisation wanted to target for improvement. Only three elements were selected in recog-
nition of the length of time it takes to implement a systematic approach to safety. These were: work organi-
sation, incident management and access and egress. Then the organisation was requested to develop three
questions related to outputs associated with each of the three elements targeted for improvement. The ques-
tions were to be phrased so that they would provide either a yes or no response, where a no response resulted,
an explanation was to be entered. Hence there were a total of nine questions that the organisation would ask
themselves every month for a period of four months. The answers were to be independently checked and a
single process owner for each question was encouraged so there would be no confusion as to responsibilities
for the actions. As a back drop to this, the organisation was provided with some guidelines on the selection of
measurement criteria so they could have some means of gauging whether or not the actions that they were
taking had been eective. In this pilot study, the organisation chose to continue monitoring lost time injuries,
medical treatment injuries, rst aid injuries and near misses. It was anticipated that once three elements had
been improved, the organisation could then move on and target another three elements, and once they were
improved the process could be iterated until eventually all the relevant elements had been suciently treated.
The personnel involved with the pilot study found it to be a useful approach and were very co-operative
throughout the exercise.
One of the most useful ndings of the pilot study was the ability of the analysis to draw attention to the
impact of work organisation and problems with resource allocation and administration. By separating the
three areas safe place, safe person and safe systems, the study was able to highlight the eect of the 12 h shift
arrangements which exacerbated the problems with manual handling, solvent exposure and noise. Although
the shift pattern was very much desired by the factory operators due to the extended break periods, there was
greater potential for fatigue and prolonged exposure to solvents as well as noise. Hence, whilst not directly
obvious to management due to their focus on the physical work environment, this issue was reconsidered
and a decision made to investigate patterns in the timing of injuries to see if there was a correlation between
injury frequency and the length of time on shift. Attention was also drawn to the restrictive cash ow for the
946 A.M. Makin, C. Winder / Safety Science 46 (2008) 935948

organisation which resulted in signicant delays in dealing with problems related to the physical workplace.
The analysis also highlighted that sucient time to address safety and health issues had not been factored into
daily workloads and responsibilities.
On a more optimistic note, areas that were handled well by the pilot site such as inductions, consultation
and rst aid and reporting; were acknowledged. This positive reinforcement provided some incentive to take
the other elements to the same level of achievement.

5. Conclusion

By utilising a systematic approach to safety, OHS MS optimise the overall co-ordination of prevention and
control measures embodied in these three philosophies, and so oer much more than the traditional ve treat-
ment options advocated by the hierarchy of controls elimination, substitution; isolation; administrative con-
trols and lastly personal protective equipment (Winder and Makin, 2006). Upon examination it can be seen
that these traditional treatment options are most eective for dealing with hazards of the physical environment
and less for hazards of a human factors nature.
The conventional application of risk management plays a very important role in an OHS MS, but it is not
the complete picture. Not only should hazards and risks be identied on a broader, organisational context, but
they must be handled in an appropriate manner. Solutions must be planned for and outcomes measured. Eval-
uation of solutions must take place and the information captured to improve operations. Changes need to be
communicated to those impacted by the change. Triggers need to be in place so people know when to conduct
a risk assessment, how to conduct one eectively, who to involve and who to inform of the outcome. Risk
assessments need to be performed by people with the necessary technical competencies who have contextual
knowledge of the workplace as well as having skills in performing the risk assessment itself. It is important to
know when the scope of the risk assessment is within the capabilities of those internal to an organisation, and
when specialist assistance is required. OHS MS can help orchestrate all these activities so they are logically co-
ordinated and sequenced to provide information within the timelines necessary.
OHS MS will gain widespread support when the value of its contribution to the daily running of an orga-
nisation is obvious to workers, and this will only be the case if there is eective and meaningful consultation, a
culture of trust and the OHS MS has been designed to accurately capture the OHS needs of an organisation in
terms of controlling critical processes, whilst allowing sucient freedom to enable workers to exercise the
experience, education, judgement and skills they have acquired as necessary. Not only should businesses be
seen as learning organisations but also as thinking organisations, reected by an OHS MS that is com-
mensurate with the organisational risk assessed at the physical, personal and managerial level. OHS MS need
to demonstrate a full understanding of an organisations hazard prole by the application and co-ordination
of appropriate prevention and control strategies. This then gives the OHS MS being used internal validity,
which in turn allows compliance auditing against existing policies, plans, procedures and practices to be
meaningful.

Acknowledgements

The authors wish to thank the following people for their valuable comments and input: Dr. Anne Wyatt
and Dr Carlo Caponecchia.

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