FOU Global Course Handbook PDF

Foundation Certificate (Global) Course Handbook Lifting standards worldwide. Version 3 - Copyright @ 2025 by LEEA Welcome Handbook Contents | 1 - 4 Handbook Contents WELCOME 8 Introduction...

Foundation Certificate (Global) Course Handbook Lifting standards worldwide. Version 3 - Copyright @ 2025 by LEEA Welcome Handbook Contents | 1 - 4 Handbook Contents WELCOME 8 Introduction 9 COURSE OVERVIEW 10 Course Handbook 11 Required Activities 12 Case Studies - An Introduction 15 BRIEF HISTORY 17 Lifting Equipment of the Past 18 History of LEEA 21 MODULE A - LEEA’s Behaviours for a Safer World of Work 24 A.1. Learning Outcomes 25 A.2. Safety, Competence and Professionalism 26 A.3. Reflective Learning 29 A.4. Knowledge Check 31 MODULE B - Legislation and Regulations 32 B.1. Learning Outcomes 33 B.2. Legal Systems 34 B.3. Regulations 39 B.4. Duty Holders 41 B.5. Consequences of Not Managing Health and Safety 44 B.6. Reflective Learning 47 B.7. Standards 51 B.8. Codes of Practice 52 B.9. Guidance 53 B.10. Best Practice 54 B.11. Knowledge Check 55 MODULE C - Managing Risk 58 C.1. Learning Outcomes 59 C.2. Primary Reasons for Risk Assessment 60 3 Handbook Contents | 2 - 4 C.3. Common Workplace Hazards 61 C.4. Control Measures 64 C.5. Reflective Learning 66 C.6. The Five Steps to Risk Assessment 67 C.7. Reflective Learning 68 C.8. Knowledge Check 71 MODULE D - Industry Relevant Definitions 73 D.1. Learning Outcomes 74 D.2. Competent Person 75 D.3. Reflective Learning 78 D.4. Common Units of Measure 79 D.5. Lifting Equipment Categories, Accessories, and Appliances: 81 Definitions D.6. Effect of Working Angles 82 D.7. Single and Multi-Purpose Equipment 84 D.8. Minimum Breaking Load (MBL) 85 D.9. Factor of Safety 86 D.10. Working Load Limit (WLL) 87 D.11. Safe Working Load (SWL) 89 D.12. Hazardous Duties 90 D.13. Rated Capacity 91 D.14. Inspection and Examination 92 D.15. The Report of Thorough Examination 94 D.16. Reflective Learning 95 D.17. Knowledge Check 98 MODULE E - Manufacturing of Lifting Equipment 101 E.1. Learning Outcomes 102 E.2. Duties of the Manufacturer 103 E.3. Verification and Load Testing 107 E.4. Conformity and Documentation 108 4 Handbook Contents | 3 - 4 E.5. Reflective Learning 114 E.6. Knowledge Check 116 MODULE F - MATERIALS AND THEIR PROPERTIES 118 F.1. Learning Outcomes 119 F.2. Characteristics and Forces 120 F.3. Material Properties 124 F.4. Metals 126 F.5. Plastics 128 F.6. Natural Fibres 128 F.7. Heat Treatment 129 F.8. Stress and Strain 130 F.9. Reflective Learning 131 F.10. Knowledge Check 132 MODULE G - LIFTING ACCESSORIES 133 G.1. Learning Outcomes 134 G.2. Chain Slings 135 G.3. Wire Rope Slings 138 G.4. Textile Slings 140 G.5. High Modulus Polyethylene (HMPE) 142 G.6. Shackles 143 G.7. Eyebolts 146 G.8. Hoist Rings 147 G.9. Load Lashing Equipment 148 G.10. Reflective Learning 150 G.11. Knowledge Check 151 MODULE H - LIFTING APPLIANCES 153 H.1. Learning Outcomes 154 H.2. Bridge and Gantry Cranes 155 H.3. Supporting Structures 157 H.4. Supporting Structures (Continued) 161 5 Handbook Contents | 4 - 4 H.5. Manual Lifting Machines 164 H.6. Manual Lifting Machines (Continued) 167 H.7. Powered Lifting Machines 171 H.8. Reflective Learning 174 H.9. Knowledge Check 179 MODULE I - Purchasing and Control of Lifting Equipment 181 I.1. Learning Outcomes 182 I.2. Purchaser’s Responsibilities 183 I.3. Marking, Storage and Handling 186 I.4. Maintenance and Inspection 188 I.5. Training and Safe Use 190 I.6. Disposal 194 I.7. Reflective Learning 195 I.8. Knowledge Check 199 SUMMARY 201 Key Messaging 202 Feedback 207 Personal Commitment 208 Assessment Information 210 Thank You 211 Welcome Course Handbook | Introduction Introduction This course aims to provide you with a powerful insight into the world of lifting equipment, offering you the necessary foundation knowledge to perform your duties safely and efficiently. You can find more information about the structure of this course in the infographic below: Assessment Criteria Case Studies Reflective Learning Assignments Reflective Statements Knowledge Checks Feedback Personal Commitment Multiple-Choice Assessment Further Support You can find more detailed information about these activities in the Course Overview section. Should you require assistance throughout your studies, please email [email protected] providing a brief outline of your query and we will be delighted to help you. Continue onto the next page to start the course. 9 Course Overview 10 Course Overview | Course Handbook Course Handbook To help you in your learning journey, LEEA has designed a Course Handbook. You can use it as a point of reference, or as a place to make notes as you navigate the course. You can always access a digital copy of this file by selecting the download button available on the interacrtive PDF version of the Course Handbook, or the online learning course from any mobile device. This will take you to Dropbox, where you can download a copy for your own reference. Once there, click on the Download button at the top of the page. See screenshot below. 11 Course Overview | Required Activities Required Activities Assessed Modules This Foundation Certificate course is structured on two primary components: Learning Outcomes: What you should know and do throughout the course. Assessment Criteria: What will be expected of you to demonstrate achievement of the learning outcomes. Each module will have these two components stated at the beginning of the section. See screenshot below: Types of Required Activities To successfully complete this course, you must engage with the following types of activities. These have been designed to enhance your understanding of the course content and help you relate the information to real-life scenarios. 12 Course Overview | Required Activities The case studies will focus on our fictional organisations, Osprey Lifting and Turbo Engineering. They will be scenario based involving characters, premises and equipment from both organisations and other external bodies such as enforcing authorities, suppliers and customers. The case studies will encourage you to use your learning in order to identify and solve issues and problems, applying your new knowledge as you progress through the course. Reflective Learning Assignments are presented as multiple-choice questions or hyperlinks to tasks you need to complete on a different window. You can find these as part of the case studies, or after a complex piece of information. They are designed to help you retain course content and further develop the train of thought you will need in real-life scenarios. You can find these statements throughout the course. They provide a different insight relating to both the content course, and the case studies, inviting you to reflect about the situation. Knowledge checks are designed to help you test your knowledge and understanding of each particular module. They are an excellent opportunity to identify your strengths and areas for improvement, highlighting what modules might need revisiting for additional studying. Knowledge checks are presented in the format of multiple-choice questions. These will contribute to your overall score. 13 Course Overview | Required Activities End of Course Required Activities Once you have gone through all the modules in the course, you will be asked to interact with the following activities. These are all mandatory to officially mark the course as complete. Feedback At LEEA, we value continuous improvement, which is why we ask you to provide us with feedback about your learning experience. The online feedback form will be available at the end of the course. Personal Commitment As part of our continuous improvement strategy, you are required to complete a personal commitment form. This document encourages you to come up with three SMART goals that will help you on your professional development journey. One of the goals must be related to LEEA’s Behaviours for a Safer World of Work, which you will learn more about in the first module of this course. We recommend you go back to your “Personal Commitment” document at the end of each training day to keep your goals relevant to the content of the course. If you are accessing the Course Handbook through a mobile device, you can select the Download button below to access a digital copy of the “Personal Commitment” file. Alternatively, turn to page 208-209 in of this document. Multiple-Choice Assessment Following completion of the course, you will have 30 days to complete the final assessment. This is made of 50 multiple-choice questions drawn directly from the learning outcomes and assessment criteria of the course. Once you start, you will have 50 minutes to complete your assessment in the LEEA Academy App. The pass mark for the assessment is 75%. 14 Course Overview | Case Studies - An Introduction Case Studies - An Introduction Case studies are a great opportunity for you to explore real-life scenarios in a safe online environment, where you can learn from the choices you make. The case studies in this course are designed to reinforce and support the learning outcomes and assessment criteria stated for each module throughout the course. LEEA has created two virtual organisations: Turbo Engineering Osprey Lifting These two companies will face a series of opportunities and challenges throughout the course. You will need to answer questions and suggest solutions. Your performance will be assessed in terms of knowledge application, skill and behaviour based on the information you encounter to that point. Key Point: Your answers will form part of your learning record and will be monitored by the LEEA training team. Osprey Lifting’s services include maintenance, inspection, installation, repair and modernisation of all lifting equipment including bridge and gantry cranes, powered and manual lifting machines, supporting structures and lifting accessories. This company offers mobile cranes, tower cranes and offshore container inspection services. They are also an approved supplier and installer of work-at-height safety equipment and load-lashing equipment. Study the diagram below, to understand Osprey Lifting’s organisational structure. 15 Course Overview | Case Studies - An Introduction Turbo Engineering was originally formed to repair and maintain tractors and a wide range of agricultural machinery. The organisation has since expanded into a diverse range of business areas including, but not limited to oil and gas, renewables, marine, ports and shipping sectors. CEO Operations Sales & Business Technical & Engineering Manager Development Manager Manager Maintenance Tractor & Agricultural Machinery Agricultural Machinery Sales Repair Team Engineering New Business Ventures Expansion Projects Team (Oil & New Business Ventures Client Relations & Customer Service Gas, Renewables, Client Relations & Customer Service Marine/Ports/Shipping) Summary Throughout the course, you will encounter these two companies in scenarios that illustrate real- life challenges. These examples will prompt you to think critically, reflect on best practices, and reinforce your understanding of key terms and concepts as you progress. 16 Brief History 1717 Brief History | Lifting Equipment of the Past Lifting Equipment of the Past A Brief History Defying gravity is nothing new. Our ancestors engineered ways to create iconic structures over 5000 years ago. Today, we continue to follow in their footsteps. From Stonehenge in England, and the Pyramids of Giza in Egypt, to the Chrysler Building in New York, U.S.A. and the Burj Khalifa in Dubai, U.A.E., our industry continues to engineer innovative means to defy gravity with the highest regard for health and safety, striving to eliminate accidents, injuries and fatalities in the lifting equipment industry. Lifting Events in the Neolithic Period Stonehenge Stonehenge is a prehistoric monument located in Wiltshire, England. It is one of the most famous landmarks in the United Kingdom and is composed of a ring of standing stones, each around 13 feet high, 7 feet wide, and weighing approximately 25 Tons. Stones were likely erected using a combination of manpower, wooden scaffolding, and simple machines such as levers. Stonehenge was constructed in several stages. The earliest work dates back to around 3000 BC. The main construction phases occurred between 3000 BC and 2000 BC. 18 Brief History | Lifting Equipment of the Past Lifting Events in the Middle Ages The Treadwheel Crane The Treadwheel Crane, also known as a treadmill crane or a medieval crane, is a historical construction device used for lifting heavy loads. It was particularly common in medieval Europe from the Roman period through the Middle Ages and into the Renaissance. The wheel is large enough to allow workers to walk inside it, similar to a hamster wheel. As they walk, they turn the wheel, which in turn operates the lifting mechanism. The ratio between the treadwheel and the lifting shaft creates a mechanical advantage and heavy loads could be lifted compared to the effort put in by the treadwheel operators. The illustration below indicates the size relationship of the treadwheel to that of the lifting shaft: 19 Brief History | Lifting Equipment of the Past First Laws for the Lifting Industry The Code of Hammurabi Written during the reign of King Hammurabi of Babylon (1755-1750 BC) is one of the earliest records of ancient laws which established 282 laws inscribed in a huge stone pillar. The code prescribed harsh punishments for those found guilty of causing harm to another and their family or belongings; a principle of retaliatory justice. Ancient Roman Laws and Regulations The Romans implemented various laws concerning construction safety, including regulations governing the use of cranes and hoisting devices. While specific texts are limited, Roman engineers like Vitruvius, in his work “De Architectura” (On Architecture) from the 1st Century BC, highlighted the importance of safety in construction practices. He provided guidance on using appropriate lifting equipment, emphasizing the need for suitable materials and techniques. Vitruvius’s writings demonstrate a strong understanding of the risks involved in lifting heavy loads and the importance of implementing safe practices in construction. The Health and Morals of the Apprentices Act Fast-forward almost 4000 years to 1802 AD, the earliest recorded legislative intervention in the cause of health and safety dates from the Health & Morals of Apprentices Act established in England. The Act prevented apprentices working at night and for longer than 12 hours a day, and made provision for them to receive some basic education. The Factories Act 1961 In the UK, before LOLER (Lifting Operations and Lifting Equipment Regulations) was established in 1998, the The Factories Act, established in 1961 applied to various types of machinery, including prime movers, transmission machinery, hoists, lifts, chains, ropes, cranes and other machinery. The Act was broadly adopted in some other countries whilst developing their own specific laws for lifting equipment. The Act extended its provisions to warehouses and dock premises, treating them as if they were factories. Employees had to keep records of examinations and inspections of lifting gear, making sure they followed construction and maintenance requirements related to the quality of materials used, as well as the provision of a safe working environment through load marking and registration. As mentioned, this Act was later updated and consolidated in what we now know as LOLER which provides more detailed requirements and regulations applicable to the modern world. Summary In current times, we see that countries have developed more specific laws dealing with a variety of hazardous areas such as chemicals, electricity and of course lifting. As lifting equipment has evolved and advanced, so too has legislation in order to keep people safe by mitigating risk. New Zealand’s Maritime Rules - Ships’ Part 49: Lifting Appliances is an example of national legislation resulting from the evolution of lifting equipment laws. There are current international conventions that regulate lifting equipment in certain sectors. An example of this is the IMO (International Maritime Organization) Convention for the Safety of Life at Sea (SOLAS 1974) under which the ‘Guidelines for Lifting Appliances’ are provided in MSC.1/Circ1663, published 28 June 2023. Note: IMO is part of the ILO (International Labour Organization) which now has 187 member countries. Modern legislation will be covered in more detail in Module B: Legislation and Regulations. 20 Brief History | History of LEEA History of LEEA LEEA was established in 1944 as the Chain Tester’s Association. Since then, it has supported its stakeholders in eliminating accidents, injuries and fatalities. Association’s Nine people from eight companies meet to establish the 1944 Beginning London Chain Testers’ Association. The idea to form an association to take on the might of the UK government was conceived and the London Chain Testers Association was founded. The Association made quick progress on negotiations with the government and soon turned its attention to other areas where cooperative action would be mutually beneficial. Name Growth outside London leads to a name change. We 1946 Change become The Chain Testers Association of Great Britain. In 1946, as the Association’s boundaries extended across the UK, there was a name change to the Chain Tester’s Association of Great Britain. First The first Chain Testers Handbook is written and 1953 Handbook published. First The first examination scheme for lifting equipment 1959 Examination engineers is developed and rolled out. Code of The initial Code of Practice for the Safe Use of Lifting 1981 Practice Equipment is launched. The Code of Practice for the Safe Use of Lifting Equipment (COPSULE) was launched. Correspondence 1983 Courses Correspondence courses are offered to members. Training courses become available to equip students for examinations that are currently taken by over a thousand candidates globally each year. Rename to The organisation becomes the Lifting Equipment 1988 LEEA Engineers Association (LEEA). The Association’s name changed for a third time to the Lifting Equipment Engineers Association. This reflected the far wider range of activities our member companies were involved in. LOLER Lifting Operations and Lifting Equipment Regulations 1998 Introduced (LOLER) are introduced in Great Britain. The introduction of the Lifting Operations and Lifting Equipment Regulations (LOLER) significantly impacted the industry, necessitating a complete overhaul of LEEA’s training, qualifications, and publications. LEEA’s training, support and guidance grew in importance for members who needed to adhere to these new regulations. With no sector-specific health and safety legislation elsewhere, numerous global companies adopted LOLER as a best practice, thereby increasing the value of LEEA membership. 21 Brief History | History of LEEA Audits for Membership audits are introduced, helping to better 2004 Standards members and raise standards. LiftEx The first LiftEx event is launched in Birmingham, 2006 Launches offering a platform for the lifting industry. Accredited The Accredited Training Scheme is introduced to ensure 2008 Training high-quality training for members. The Registration Scheme is introduced for lifting Registration equipment inspectors. At the same time overseas 2009 Scheme instructor-led training begins with the first course help Launched in Singapore. TEAM Card registration and identity scheme for qualified engineers and technicians was introduced. Opening in Huntingdon, the centre provides near-live LEEA Centre of 2010 Excellence training environments with state of the art teaching facilities. Membership LEEA achieves a 50:50 split between UK and overseas 2011 Split members. E-Learning The LEEA E-Learning Academy is launched, making 2015 Academy training more accessible and affordable. 1000 2016 Members LEEA reaches the milestone of 1000 members. LEEA The LEEA Awards begin, helping to recognise and 2018 Awards reward excellence in the industry. LEEA celebrates its 75th anniversary with a Parliamentary Reception, launches the Apprenticeship 75th 2019 Anniversary Standard for Lifting Equipment, develops “Think Lifting”, and establishes the 75:75 Military Transition project, training and placing 75 veterans. Other Key Projects Licensed Training Partners: Using approved training companies to deliver LEEA training globally. Accredited Training Scheme: Accreditation of ‘end-user’/’operator’ training courses provided by LEEA members. The Lifting Equipment Technician Apprenticeship: Currently available in England. LEEA continues to work with other nations to provide similar apprenticeship schemes and National Occupational Standards. Military Transition Scheme: Supporting our Armed Forces leavers and veterans to transition to our industry. 22 Brief History | History of LEEA Enhancing the audit process and raising the bar of membership: Maintaining the highest standards. Conducting more training at members’ premises and online: Increasing capacity and availability of training by offering more virtual classroom courses. Technical triage system: Proactively providing technical information to our members within specified times. Update to COPSULE: ‘Code of Practice - Safe Use of Lifting Equipment’ continual updates. Hosting more member events. Introduction of ‘Chat Bot’ on our website: Fast, simplified access to technical information. Annual LEEA Awards and gala dinner and celebrity host: Celebrating the very best achievements from within our industry. 23 VersionEquipment Lifting 3 Lifting Equipment Engineers Engineers Association Association | Lifting | Lifting Standards Standards Worldwide ™ Worldwide Version™3 MODULE A LEEA’s Behaviours for a Safer World of Work 24 24 24 Module A | A.1. Learning Outcomes WELCOME TO MODULE A LEEA’s Behaviours For A Safer World Of Work At the end of this module, we expect that the students will be able to: Understand how human behaviours directly relate to accidents in the workplace and how LEEA’s Behaviours for a Safer World of Work will support the reduction of accidents, injuries and fatalities in our industry. ASSESSMENT CRITERIA At the end of this module you will be able to: Identify the types of human error that contribute to workplace accidents. Define LEEA’s Behaviours for a Safer World at Work. Identify how you may improve on LEEA’s defined behaviours in your work to reduce accidents, injuries and fatalities. Note: We estimate that it will take approximately 45 minutes to complete this module. 25 Module A | A.2. Safety, Competence and Professionalism Safety, Competence and Professionalism Workplace Accidents It is said that almost all workplace accidents are a consequence of human action (or lack of action). Errors and violations are the main factors. Error: A human error is an action or decision that was not intended. The action or decision was not aligned to the accepted standard. Violation: To deliberately ignore a rule or procedure. ‘Breaking the rules’. “ Everyone can make errors no matter how well-trained and motivated they are. However, the consequences of such human failure in the workplace can be severe. Analysis of accidents and incidents shows that human failure contributes to almost all accidents. HSE (United Kingdom) “ Human Factors: Managing Human Failures LEEA’s Behaviours for a Safer World of Work are unashamedly and deliberately designed to significantly impact this alarming statistic by influencing and changing both attitudes and behaviours. Our vision with these Behaviours for a Safer World of Work is to create a safe environment in the lifting and height safety industries, resulting in eliminated accidents, injuries and fatalities. “ By educating, influencing and enabling all stakeholders in our industry to ensure that best practice becomes everyday practice, we will ensure that each person goes to work in a safe environment and returns home to their loved ones and friends, every day. Lifting Equipment Engineering Association “ LEEA’s Mission Statement 26 Module A | A.2. Safety, Competence and Professionalism LEEA’s Behaviours for a Safer World of Work In order to combat and improve human behaviour and attitude, LEEA’s new generation of training will always focus on the following behaviours for a safer world of work: safety, competence and professionalism. These three behaviours are designed to directly impact the number of workplace accidents in our industry through human behaviour changes. Look after yourself and others: Take care of yourself by ensuring you are healthy, safe and well, then you will be in a position to help others. Follow your training: Apply the learning and instructions gained from your training Safety to your workplace. Speak up: If you spot anything that looks unsafe or incorrect speak up and report it. Know what you can do: Know what you can do taking into account your knowledge, skills and behaviours. Know what you can’t do: Recognise the limits of your capabilities, and if at any Competence time you do not feel entirely confident to perform a task or make a decision, ensure that you ask someone for help and support. Keep yourself up to date: Commit to continuous learning and development and stay informed about the latest developments in our industry. Diligence: Carry out your work with care by ensuring you don’t cut corners or rush. Communication: This is a two-way process. Active listening, embracing feedback Professionalism and giving clear instructions are key to effective communication. Lead by example: Anyone can be a leader. Ensure you set an example for others to follow (behaviour, attitude, appearance). 27 Module A | A.2. Safety, Competence and Professionalism Key Point: You are a representative of our professional industry and an ambassador for your company. You are expected to advocate and demonstrate LEEA’s Behaviours for a Safer World of Work. Example Chernobyl Disaster (1986) Chernobyl Nuclear Power Plant is situated in Northern Ukraine. In 1986, a 1000-megawatt reactor exploded releasing radioactivity across Europe. The consequences were enormous and resulted in disastrous environmental and human costs. The exact causes of the incident have been subject to much debate, but the primary investigations cited that plant operators had deliberately violated systematic and numerous safety procedures. Summary We can look at many examples of accidents where human error has contributed to loss of life and injuries, but there are many minor accidents and near misses that also involve human errors. As professionals, we must intervene and stop all potential accidents and near misses before they occur. Humans will make mistakes through errors and violations. To change this we need to work on human behaviours and consequences. For example, would the engineers at Chernobyl have taken the actions they did if they were aware of the consequences their decisions would cause? Of course not. In summary, this course aims to help keep you, your colleagues and others safe at work. LEEA’s Behaviours for a Safer World of Work provide a framework to support this objective. “ Safety first is safety always. Charles M Hayes Senior Railway Executive “ 28 Module A | A.3. Reflective Learning As previously established, a sound knowledge and understanding of LEEA’s Behaviours for a Safer World of Work is one of the ways in which this training can positively influence the safety of workplaces. Having this in mind, think about your current performance against each of the three behaviours and answer the questions below. Type in your answer and select “Submit” to answer each question. How could you improve how you showcase “Safety” in your day- to-day job? Give at least one example. How could you improve how you showcase “Professionalism” in your day-to-day job? Give at least one example. 29 Module A | A.3. Reflective Learning How could you improve how you showcase “Competence” in your day-to-day job? Give at least one example. Key Point: Once you have completed this assignment it will be recorded as proof of reflective learning and you may receive feedback from our tutors from time to time. 30 Module A | A.4. Knowledge Check If accessing this Course Handbook from a mobile or electronic device, click on the correct answer and then select “Submit” to send in your response. If using this Course Handbook in its printed version, simply tick the correct response using a pen. Then refer back to your answers when it’s time for you to input your responses in the LEEA App. How many accidents in the workplace are due to human error? 30% Approximately 60% Almost all accidents What are the two primary causes of human error in relation to health and safety incidents? Qualifications and Experience Safety and Professionalism Errors and Violations In what ways does LEEA work with stakeholders to meet its vision of no accidents, injuries or fatalities? Advice, Audit and Supervise Educate, Influence and Enable Penalise, Warn and Sanction 31 VersionEquipment Lifting 3 Lifting Equipment Engineers Engineers Association Association | Lifting | Lifting Standards Standards Worldwide ™ Worldwide Version™3 MODULE B Legislation and Regulations 32 Module B | B.1. Learning Outcomes WELCOME TO MODULE B Legislation and Regulations At the end of this module, we expect that the students will be able to: Understand the legal framework for health and safety, as well as the duty holder’s responsibilities. ASSESSMENT CRITERIA At the end of this module you will be able to: Explain what laws apply to the duty-holder. Identify the function of enforcement authorities and their inspectors. Identify what authoritative sources of information are available to help duty holders comply with legislation and regulations. Explain the consequences of not effectively managing health and safety at work. Note: We estimate that it will take approximately 2 hours and 45 minutes to complete this module. 33 Module B | B.2. Legal Systems Legal Systems Statutory Law vs. Civil Law In this section, we will look at the difference between statutory law and civil law. Statutory Law: written down and passed by a legislative body, e.g. Government. Civil Law: deals with the rights and responsibilities of individuals and organisations towards each other. Statutory Law Statutory law is written down and passed by a legislative body, e.g. Government. Legislation can cover many things, such as Health and Safety, Banking and Finance, Education, Healthcare and many others. The legislation can be in the form of an: Act Decree Written Law Resolution Other titles This can vary depending on the country, for example. These are possible variations in some countries. Statute Laws are known Statute Laws are known Statute Laws are known as Acts of Parliament. as Written Laws. as Acts of Congress. These laws are officially recorded and can be looked up in legal books or codes; for example, in the USA, the ‘United States Code’ contains all federal statutory laws. In Australia, such books and codes are held in the ‘Federal Register of Legislation’. Key Point: All organisations and workers must comply with these laws which consist of rules, orders, treaties and regulations. 34 Module B | B.2. Legal Systems Health and Safety Statutory Law Examples: Health and Safety at Work Health and Occupational Safety Labor Law (Law 12) Work Act (1974). Safety Act (2011). and Health Act (1970). (2003). Civil Law Civil law governs the rights and obligations that individuals and organisations have towards each other. These rights and duties are established by laws or have evolved through tradition and common practices. Breaches of rights or obligations (situations where one party’s wrongful actions cause harm or injury to another) are known as a ‘legal wrongs’ or ‘tort’. One of the most common torts in health and safety cases is negligence. For example, a car accident caused by careless driving, medical malpractice, and slip and fall incidents. When someone believes they have been wronged in civil law, they can file a lawsuit against the responsible person or organisation, and they can seek compensation and/or other remedies. This includes cases where they have suffered a ‘loss’ due to the wrongdoing. In the case of companies being the claimants, they are recognised as the ‘corporate person’, who can also file a claim and pursue legal action if their rights are violated. Whether the claimant is an individual or a corporate entity, they are always responsible for initiating legal action themselves. Differences between statutory and civil law Aspect Civil Law Statutory Law Claim against another party (individual/ Legal proceedings started by Purpose organisation) enforcing authorities Insurance Organisations can insure against losses No insurance against penalties Consequence of Compensation for loss, including legal Punished by fines, imprisonment, breach costs prohibition, improvement notices Lower burden: based on the balance of Higher burden: must be beyond all Burden of Proof reasonable doubt probabilities The individual or organisation who has Enforcing authorities initiate legal Who Initiates Action been wronged proceedings 35 Module B | B.2. Legal Systems Enforcement Authorities Globally, health and safety enforcement agencies typically appoint inspectors who are tasked to inspect workplaces and investigate accidents and causes of ill health. As a result of their work, organisations and individuals may be prosecuted under statutory law. Power of Entry: Enter premises at any time Conduct Interviews: Interview anyone using police assistance when required, involved and take statements for official where a dangerous situation is suspected. records. Prevent Access: Shut down access to Access to Documents: Inspect all parts, or all of the areas involved to enable a documents including books, records, thorough investigation to take place. technical files and any other data deemed relevant. Seize and Retain Items: Inspectors may take control and remove any articles or Conduct Investigations: Investigate substances that are found to be dangerous thoroughly taking photographs, and to people. measurements, and creating sketches and drawings with notes to assist with their Collect Samples: Take samples of enquiry. substances and articles and dismantle items to access such samples or articles. At Turbo Engineering, a forklift truck was carrying a full pallet of paint tins, and one of the forks snapped. The load dropped to the floor and created a serious spillage of paint which had to be controlled in the first instance and then cleaned by a specialist contractor. An employee was injured when she slipped on the paint spillage resulting in a fracture to their arm. Important facts to notice: Some portable electrical tools were damaged beyond repair due to the paint spillage. The forklift was found to have been supplied with cranks in one of the forks and this led to its premature failure. It also came to light that Turbo Engineering had not carried out any planned maintenance or inspections of the forklift. No risk assessments had been carried out for forklift operations or control and transportation of hazardous substances, including spillage containment. 36 Module B | B.2. Legal Systems Considering this scenario, there have been breaches of law which are either statutory or civil. Your task is to identify which of these laws apply to the breaches. Read each statement carefully, and select the correct answer depending on the statement applying to civil or statutory law. The employee tripped on paint spillage and broke her arm as a consequence of her fall. Civil Law Statutory Law Both of the above The forklift is supplied with existing defects of cranks in the fork. Civil Law Statutory Law Both of the above Maintenance and inspections had not been carried out on the forklift since it had been purchased by Turbo Engineering. Civil Law Statutory Law Both of the above Risk assessment had not been carried out for forklift operations or control and transportation of hazardous substances, including spillage containment. Civil Law Statutory Law Both of the above 37 Module B | B.2. Legal Systems Turbo Engineering wishes to recover costs for the damaged portable electrical equipment. Civil Law Statutory Law Both of the above 38 Module B | B.3. Regulations Regulations Regulations A regulation is a rule or directive made and maintained by an authority, such as a government agency, to control or govern behaviour, practices, or procedures within specific areas. There are many sets of regulations applying to health and safety. Other regulations apply to places of work and some are specific to industries, operations, substances, materials or premises. Breaking these rules can lead to penalties, fines, or other legal consequences. Regulations are like the rules of the game, ensuring everyone plays fair and stays safe. General Employer Duties Employers, as duty holders, must comply with both national and international laws regarding health and safety. International laws are outlined by the International Labour Organisation (ILO) through conventions and regulations for its 187 member states. “ Each member country shall, in the light of national conditions and practice, and consultation with the most representative organisations of employers and workers, formulate, implement and periodically review a coherent national policy on occupational safety, occupational health and the working environment. ILO Convention - C155 “ “ The enforcement of laws and regulations concerning occupational safety and health and the working environment shall be secured by an adequate and appropriate system of inspection. The enforcement system shall provide for adequate penalties for violations of the laws and regulations. ILO Convention - C155 “ 39 Module B | B.3. Regulations The ILO Occupational Safety and Health Recommendation R164 of 1981 provides specific recommendations for actions to be taken by duty holders in particular areas of work. For example, Section 3 (D) covers the design, construction, use and maintenance. It also covers testing, and inspection of machinery and equipment liable to present hazards, as well as their approval and transfer. Section 3 (F) covers handling, stacking and storage of loads and materials, manually or mechanically. Member countries must issue or approve regulations, codes of practice or other suitable provisions on occupational safety and health and the working environment. Remember LEEA’s Behaviours for a Safer World of Work. Within the value of competence, you should aways: Know what you can do Know what you can’t do Keep yourself up to date 40 Module B | B.4. Duty Holders Duty Holders Duty Holders Duty holders are formed by both organisations and workers who are responsible for ensuring rules and standards are followed. They both have specific roles to ensure that everything is done properly and legally, protecting both people and the environment. Top Level Duty Holders The Organisation The legal entity or registered name of the Company, i.e. the Employer, such as Osprey Lifting and Turbo Engineering. The organisation needs to establish a health and safety policy that is much more than a document – it should be an integral part of your organisation’s culture, values and performance standards. The Board They should set the direction for effective health and safety management and check that suitable arrangements are in place. CEO and Executive Directors They must develop/oversee policies to avoid health and safety problems and must respond quickly when difficulties arise or new risks are introduced; non-executives must make sure that health and safety are properly addressed. Managers and Supervisors They play critical roles in maintaining a safe working environment and safeguarding all employees. Their duties are both proactive and reactive, ensuring that health and safety policies are implemented and that risks are minimised through supervising, consulting, informing and checking. Some of their duties include: Developing, implementing and enforcing safety policies Maintaining health and safety documentation and reports Investigating accidents at work Allocating training and education resources Managing breaches of health and safety Developing emergency plans and procedures All Other Workers They have a duty to take care of themselves and others and cooperate with the organisation’s health and safety arrangements. 41 Module B | B.4. Duty Holders Leading Health and Safety: A Framework for Success Effective health and safety management starts with strong leadership and active involvement at all levels of an organisation. Achieving a safe workplace requires a collaborative approach where leaders, workers, and systems work together seamlessly. The key components of a successful health and safety strategy include: Strong and active leadership from the top: Visible, active commitment from the board Establishing effective downward communication systems and management structures Integration of good health and safety management with business decisions Worker Involvement: Engaging the workforce in the promotion and achievement of safe and healthy condition Effective upward communication Providing high-quality training Assessment and Review: Identifying and managing health and safety risks Accessing (and following) competent advice Monitoring, reporting and reviewing performance Other Duty Holders Within an Organisation Both the organisation and the worker have a lawful duty of care to each other and to other workers. This includes exercising reasonable care in order to protect others from the risks of foreseeable injury, health problems or death at work. Organisations must provide a safe working environment and follow health and safety regulations. Workers must fully comply with all health and safety arrangements. Laws require duty holders to carry out specific tasks related to health and safety. If duty holders lack the necessary skills, they can appoint qualified individuals or organisations to perform these tasks on their behalf. However, even when tasks are delegated, the duty holder remains responsible for ensuring everything is done correctly. Anyone tasked with these responsibilities must be suitably qualified, experienced, and trained — in other words, they must be competent. Key Point: Responsibilities are placed on suppliers and users to ensure lifting equipment and operations are safe and protect everyone’s health. This is done by making sure the equipment is properly designed, built, maintained, and used correctly. 42 Module B | B.4. Duty Holders Key Point: National legislation and specific international conventions require that anyone undertaking a duty holder task is suitably and sufficiently trained in health and safety matters, and is informed of all measures that the organisation has taken to protect all workers and the related policies. Furthermore, duty holders should inform their supervisor if they become aware of any situation that presents a danger to life or health. Remember LEEA’s Behaviours for a Safer World of Work. Within the value of safety, you should aways: Know what you can do Know what you can’t do Keep yourself up to date 43 Module B | B.5. Consequences of Not Managing Health and Safety Consequences of Not Managing Health and Safety The Meaning of Consequences Consequences are the outcomes or results that follow our actions or decisions. These are sometimes difficult to realise and understand, and it is often the case that negative impacts are the main focus of poorly managed health and safety management. Negative consequences of poorly managed health and safety will of course have detrimental impacts in many areas for businesses which we will look at, however, effectively managed health and safety can also result in a positive impact for businesses which have proven track records in keeping people, plant and premises safe, for example, this may provide a commercial advantage over competitors and recognition for awards, etc. “ Health and safety at work is not only a sound economic policy; it is a basic human right. Kofi Annan “ UN Secretary General (1997-2006) Negative Consequences of NOT Managing Health and Safety Injuries and Illnesses: Employees may suffer from accidents, injuries, and work- related illnesses. This can include anything from minor cuts and bruises to serious injuries such as fractures, burns, or even life-threatening conditions. Fatalities: In the worst-case scenarios, poor health and safety management can lead to fatalities. Workplace accidents can have devastating effects on families Human and communities. Consequences Long-term Health Issues: Chronic exposure to hazardous substances or unsafe working conditions can lead to long-term health problems such as respiratory issues, hearing loss, or musculoskeletal disorders. Mental Health: Poor safety standards can lead to stress, anxiety, and other mental health issues among employees, reducing their overall well-being. 44 Module B | B.5. Consequences of Not Managing Health and Safety Regulatory Penalties: Organisations may face fines and penalties from regulatory bodies for non-compliance with health and safety laws and regulations. Lawsuits: Injured employees or their families may file lawsuits against the Legal organisation, leading to significant legal costs and potential compensation pay- Consequences outs. Criminal Charges: In extreme cases, company executives or managers may face criminal charges if negligence is proven to have led to serious injury or death. Increased Costs: Organisations may incur increased costs related to medical expenses, workers’ compensation, and insurance premiums. Lost Productivity: Injuries and illnesses can result in absenteeism, reduced Financial productivity, and disruptions to business operations. Consequences Damage to Equipment: Poor safety practices can lead to damage to machinery, equipment, and property, necessitating costly repairs or replacements. Regulatory Fines: Fines for health and safety violations can be substantial, impacting the company’s financial stability. Damage to Reputation: Organisations known for poor health and safety practices can suffer reputational damage, leading to a loss of business, Reputational customers, and potential partners. Consequences Negative Publicity: Media coverage of workplace accidents can tarnish an organisation’s public image, affecting its brand and market position. Disruption of Business Activities: Accidents and unsafe conditions can disrupt normal business operations, causing delays and affecting the overall efficiency Operational of the workplace. Consequences Staff Turnover: High rates of injuries and illnesses can lead to increased staff turnover, as employees seek safer working environments. This can result in additional costs for recruiting and training new employees. Employee Morale: Poor health and safety management can lead to low Moral and employee morale and job satisfaction, as workers feel undervalued and unsafe. Ethical Corporate Responsibility: Organisations have a moral and ethical obligation Consequences to provide a safe working environment. Failure to do so can undermine their integrity and ethical standards. “ The safety of the people shall be the highest law. Marcus Tullius Cisero “ Roman Statesmen, Scholar, and Writer 45 Module B | B.5. Consequences of Not Managing Health and Safety My name is Mike Menditt and I work at Turbo Engineering as the Engineering Manager. I am the company’s appointed person for all operations on site. Most people call me dodgy Dan! I work at Turbo Engineering as a Technician. I am currently being trained to become an appointed person for lifting operations in the workshop, but it’s not going too well at the moment. We’ve had a couple of dropped loads and I always seem to get the blame. Turbo Engineering is loading a tractor onto their trailer for return transportation to their client after being serviced at their workshop. Mike Menditt (Engineering Manager) is in charge of the lifting operation. On the previous day, he asked Danny Danger (Technician) to carry out a pre-use inspection of the crane to ensure that all functions were available and working correctly, including emergency stop buttons and any other safety features, and to provide him with a written report following the checks. On the day of the lift, Mike is operating the crane and Danny is providing hand signals to Mike to guide the tractor safely onto the trailer. As the tractor is being lowered onto the trailer it suddenly drops onto the trailer and lands with a loud impact. The trailer has sustained damage to its base and the crane hook, lifting beam and chain slings attached to it have crashed into the top of the tractor cabin, breaking glass cabin windows and causing further damage as it landed. 46 Module B | B.6. Reflective Learning Reflective Learning Establishing the Cause of the Accident This incident was reported to the relevant enforcing authority who attended site to investigate the causes. Following the investigation, issues were raised by the enforcement agency to Tracey Turbo (Managing Director). The report highlighted: Competence of Duty Holders Failure to effectively maintain lifting appliances The investigation had revealed that Mike Menditt said he had asked Danny Danger to carry out a pre-use inspection of the crane and provide him with a report as soon as he had completed the task. Danny Danger said that when he operated the crane the hoist brake was a bit noisy, so he climbed the access ladder to the crane and changed the hoist brake settings until the noise disappeared when he operated it. He assumed he had done a good job and prevented an issue from occurring. He included this in his report to Mike Menditt which was sent by email on completion of his checks. Breaches The enforcement authority issued an Improvement Notice against Turbo Engineering as a result of the following breaches of legislation: 1. Failure to Provide Adequate Training and Supervision for Crane Inspections: The organisation had failed in its duty to provide suitable and sufficient training to Danny Danger who was asked to carry out the pre-use inspections of the crane and report on its condition. There were no records of training, information, instruction or supervision for Danny whilst performing this task. 2. Negligence in Reviewing Safety Reports Prior to Lifting Operations: Mike Menditt did not access and read the report that Danny had emailed to him on the completion of his operational checks and proceeded with the lifting operation regardless. Mike failed in his duty to protect the health and safety of himself and others by not performing his duty with the due diligence necessary to mitigate risks. 3. Absence of Established Lift Plan and Risk Assessment: An established lift plan and risk assessment were not available for the lifting operation that took place. 4. Inadequate Training for Working at Height Operations: Danny Danger accessed the crane which became a working-at-height situation. Again, Danny had not been trained for this duty. 5. Lack of Maintenance Program and Record-Keeping for Crane Safety: There was no evidence of an established maintenance programme for the cranes on site and no record of the last maintenance or thorough examinations carried out. 47 Module B | B.6. Reflective Learning Consequence Turbo Engineering has been given 28 days to implement all preventative and corrective actions, after which they will be re-visited by the enforcement agency. In addition to this, they now face a fine, based on their organisation’s turnover, of up to 1.2 million pounds. Tracey Turbo has now contacted a LEEA member (Osprey Lifting) for their specialist advice and recommendations moving forward. She asked them where she could source best practice advice for carrying our pre-use inspections to their cranes on site as she wanted to ensure this information was made available immediately to Mike Menditt and his staff. Tracey was advised to download a copy of LEEA’s COSPULE and go to section 2.9 Inspection and Maintenance (2.9.1 Pre-Use Inspection) for this information in the first instance. If you are accessing the Course Handbook through a mobile device, you can select the Download Resource button below to access a digital copy of LEEA’s COPSULE file. Alternatively, access the equivalent section in the elearning course, or ask your trainer for a copy. Legislation and Regulations Reflect about what you have learned throughout this section, then type your answer in the boxes provided. These will be monitored by a member of LEEA Academy Training Team. As we know, the organisation (employer) must provide a safe working environment and follow health and safety regulations at all times. In what ways did Turbo Engineering fail in its duty holder responsibilities? 48 Module B | B.6. Reflective Learning What possible consequences do Turbo Engineering now face as a result of their health and safety legislation breaches, other than a large fine? Remember LEEA’s Behaviours for a Safer World of Work. Which of LEEA’s Behaviours for a Safer World of Work did Mike Menditt breach when he asked Danny to carry out the crane operational checks? Which of LEEA’s Behaviours for a Safer World of Work did Danny Danger breach when he changed the hoist brake settings? 49 Module B | B.6. Reflective Learning When questioned by the enforcement authority about how their organisation manages health and safety at work, Tracy Turbo did not understand what was being asked of her. She said that whilst she had ultimate accountability, all workers had a part to play and that everyone was equally responsible for health and safety matters. What does Tracey mean when she said that all workers have an equal responsibility for health and safety matters? 50 Module B | B.7. Standards Standards Standards Standards are published specifications that set a common language and contain a technical specification or other precise criteria. They are: Designed to be used consistently, as a rule, a guideline, or a definition. Applied to many materials, products, methods and services helping to make life simpler and increase the reliability and effectiveness of goods and services. Designed for voluntary use and does not impose any regulations, but many have such recognition that compliance with them gives a presumption of conformity. Quasi-Legal Quasi-legal describes situations, rules, or decisions that aren’t fully legal but have some legal- like influence or authority. They operate in areas where formal laws may not fully apply, providing guidance and structure but they do not have formal legal recognition. An example here could be a professional body that can issue licences and enforce standards in professions like medicine or law, acting with legal-like authority but not as a government agency. Turbo Engineering holds a library of standards at their premises which is maintained and kept current by Karen Keeper (Purchasing Manager). These include design and manufacturing standards and safe use and selection of types of equipment. They are available digitally for staff to reference when required and centrally controlled by Karen to ensure only current and valid standards are available. Various standards are used at Turbo Engineering as they service a global market. These include but are not limited to: ISO (International Organisation for Standardisation) EN (European) AS (Australian Standards) ASME (American Standard of Mechanical Engineers) 51 Module B | B.8. Codes of Practice Codes of Practice Codes of Practice A Code of Practice is a set of written rules which explain how people working in a particular profession should perform a particular job. There are various types of Codes of Practice: ACoP (Approved Code of Practice) RCoP (Recommended Code of Practice) A trade or professional Code of Practice Technical publications Safety information sheets The regulations which provide detailed requirements in respect of the general duties do not specify how employers and others should meet those requirements. This is the role of the Approved Codes of Practice (ACoPs). These detail how to comply with the legal requirements. ACoPs are produced by regulatory authorities. RCoPs (Recommended Code of Practice) are usually acknowledged and sometimes endorsed by regulatory authorities within a specific industry or profession. An example of a Recommended Code of Practice would be LEEA’s COPSULE (Code of Practice for the Safe Use of Lifting Equipment). If you are accessing the Course Handbook through a mobile device, you can select the Download Resource buttonon the right to access a digital copy of LEEA’s COPSULE file. You will refer to it throughout this course. Alternatively, access the equivalent section in the elearning course, or ask your trainer for a copy. How do Codes of Practice help us in our work? 52 Module B | B.9. Guidance Guidance Guidance Guidance documents are official publications from government agencies, organisations, or authoritative bodies. They offer instructions, recommendations and supporting information to help people and organisations follow laws, regulations, or industry standards. Guidance documents are not legally binding but they help to clarify rules and offer best practices. LEEA (along with many other trade associations) has produced a range of Guidance documents for its members which are available at the link below. Key Point: Have a look at ‘Chain for Lifting Purposes’ on Page 23. Under the heading ‘Description’, you will note that only specific lengths of chain link are allowable for chains used for lifting purposes. Osprey Lifting holds a library of LEEA Guidance documents for their reference. These include: LEEA 032 (Guidance on Written Schemes of Examination for Lifting Equipment V2.1- July 2023) LEEA 052 (Guidance on the testing of hand operated lifting machines - Version 3 - August 2021) LEEA 059-1 (Guidance to documentation and marking - Part 1 (Manual Lifting Machines) - Version 4 - November 2022) If you are accessing the Course Handbook through a mobile device, you can select the Download Resource button below to access a digital copy of LEEA’s Guidance document, which Osprey Lifting LTD has access to. Alternatively, access the equivalent section in the elearning course, or ask your trainer for a copy. Please take this opportunity to look at the document and the valuable information it provides. It is a pictorial guide to various types of lifting equipment and the relevant international standards that apply. 53 Module B | B.10 Best Practice Best Practice Best Practice Best practice is usually the standard that good companies choose and therefore these exist as internal standards within organisations. Best practices are the most effective and efficient ways of doing things, based on experience and research. Using best practices helps people and organisations get the best results and avoid common problems. Regulations, standards and codes of practice are at the core of best practice. Best practice is then elevated to even higher standards by including methods that have been tried, tested, and proven to work well. Key Aspects of Best Practice 1. Proven Success: Best practices are typically backed by evidence and have a track record of successful implementation. 2. Benchmarking: They serve as benchmarks against which other methods or practices can be measured. 3. Continuous Improvement: Best practices are not static; they evolve through continuous improvement and adaptation to new circumstances and innovations. 4. Replicability: They can be reliably replicated across different settings and contexts to achieve similar results. 5. Efficiency and Effectiveness: Best practices are designed to maximize efficiency and effectiveness, ensuring that resources are used optimally to achieve desired outcomes. 54 Module B | B.11. Knowledge Checks If accessing this Course Handbook from a mobile or electronic device, simply click on the correct answer. If using this Course Handbook in its printed version, simply tick the correct response using a pen. Then refer back to your answers when it’s time for you to input your responses in the LEEA App. Which of the following are powers of enforcement authority inspectors? Gain access to the premises with police assistance Terminate the employment of the Managing Director Inspect any documents and relevant data Interview and take statements from people involved Remove and organisation’s quality management certification Close access to premise or equipment to enable investigation Primary legislation (statutory law) is written and passed by which of the following: Duty Holders Legislative Bodies Health and Safety Enforcement Agencies 55 Module B | B.11. Knowledge Checks If a duty holder does not have the skills to perform a specific task and therefore delegate the task to a competent person, who is responsible for making sure that the work is carried out safely and correctly? The duty holders The delegated competent person The duty holder’s health and safety consultant Which of the following documents might Turbo Engineering hold in its standards library? Recommended Code of Practice for Safe Use of Welding Equipment Health and Safety Act Specifications for design of towed agricultural machinery Which of the following publications would assist a company in performing a particular job in a specific profession? Select all that apply. Primary legislation Codes of Practice Benchmark data Best practices are a means of helping businesses to conduct areas of their work effectively and efficiently. On what basis are best practices formed? Approval from a legislative body Experience and research Trial and error 56 Module B | B.11. Knowledge Checks In accordance with LEEA Guidance document 060, which of the following is the only type of chain to be used for lifting purposes? (Please refer to your downloaded LEEA Guidance document 060 from section B.9.) Short Link Long Link Medium Link In which recommended Code of Practice would a user of lifting equipment find information regarding their duties? LEEA’s COPSULE LEEA Guidance Document 060 Statute Law 57 MODULE C Managing Risks 58 58 58 Module C | C.1. Learning Outcomes WELCOME TO MODULE C Managing Risk At the end of this module, we expect that the students will be able to: Understand the risk assessment process and how it contributes to managing risks in the workplace. ASSESSMENT CRITERIA At the end of this module you will be able to: Identify the different types of risk assessment and their uses in the workplace. Identify hazards and risks in the workplace using a risk assessment template. Identify the correct control measures needed to reduce risks to safe levels. Explain how a risk assessment is applied and monitored in the workplace. Note: We estimate that it will take approximately 2 hours and 15 minutes to complete this module. 59 Module C | C.2. Primary Reasons for Risk Assessment Primary Reasons for Risk Assessment Definition of Risk Assessment Risk assessments are designed to assess the hazards at work and then help to reduce the risk from them to a safe level. There are legal requirements for completing risk assessments. There are different types of risk assessments commonly used in the workplace. General Risk Assessment: Designed to assess hazards and risks of an area or activity and apply controls. E.g. Store room risk assessment. Specialist Risk Assessment: Designed to focus on a specific hazard and assess the risk and controls. E.g. Noise risk assessment, and manual handling risk assessment. These are often used when a general risk assessment highlights a concern that needs further investigation. Dynamic Risk Assessment: Dynamic risk assessments are used when something unexpected happens. They are principally the same in that they look for hazards, risks and controls but are usually simpler and easier to complete as there may be an urgent need to complete. E.g. a crane accidently drops its load and now the workers must safely clean it up. Before they do, they will use a dynamic risk assessment. Each of the risk assessments mentioned above is designed to identify the risk from hazards at work and then suggest appropriate controls to reduce the risk to a safe level. The output from a risk assessment is to communicate the key elements (hazards and controls) to those who could be affected by the risk. This is often done using a set of safe work instructions commonly known as a safe system of work or method statement. There are various ways of communicating safe work instructions. They could be: Principally, as long as all people who could be affected by the hazards are made aware of those hazards and the necessary controls then it should meet legal requirements. For the remainder of this course we will use a ‘General risk assessment’ as an example. If you are accessing the Course Handbook through a mobile device, you can select the Download Resource button below to access more information on Managing Risks and Risk Assessments at Work. Alternatively, access the equivalent section in the elearning course, or ask your trainer for a copy. 60 Module C | C.3. Common Workplace Hazards Common Workplace Hazards Understanding Hazards in the Workplace A hazard refers to anything that has the potential to cause harm, injury, illness, or damage in the workplace. Hazards can take many forms, from physical objects and unsafe conditions to chemical, biological, or ergonomic factors. Identifying and understanding these hazards is a critical part of ensuring workplace safety, as it allows organisations to implement controls and preventive measures to mitigate risks. Hazard: Something with the potential to cause harm or an adverse effect. Risk: Likelihood of harm or adverse effect to occur and how serious its consequence could be. Key Point: Although a hazard can be anything with the potential to cause harm, only those hazards that are likely to do so should be included in a risk assessment. Example A ballpoint pen would not need to be included in a general risk assessment for an office. However, if the pen was on a manufacturing site where titanium is used, pens might be banned as precaution. That’s because there is a risk of the tungsten in the ballpoint pen getting into the titanium and contaminating the finished product. This would affect its strength and could cause a metal failure when in use. The hazard (pen) stayed the same but the risk (likelihood and consequence) changed when we moved from an office to a manufacturing site. An employee at Osprey Lifting has recently been involved in an accident on-site. An extension lead was left trailing across the floor, unattended. As a result, he tripped over the extension lead and sustained injuries to his head, right elbow and both hands. 61 Module C | C.3. Common Workplace Hazards If accessing this Course Handbook from a mobile or electronic device, simply click on the correct answer. If using this Course Handbook in its printed version, simply tick the correct response using a pen. Then refer back to your answers when it’s time for you to input your responses in the LEEA App. What is the hazard in this situation? The extension lead The employee Both of the above What is the risk? The likelihood and consequences of the employee being harmed The potential to cause harm The effect (severity of injuries sustained) “ A risk is the likelihood that a hazard will actually cause its adverse effects, together with a measure of the effect. It is a two-part concept and you have to have both parts to make sense of it. Likelihoods can be expressed as probabilities or in a qualitative way. The effect can be described in many different ways. HSE (United Kingdom) Definition of a risk “ 62 Module C | C.3. Common Workplace Hazards Common Hazards in the Lifting Industry 63 Module C | C.4. Control Measures Control Measures Applying the Hierarchy of Controls in Risk Assessment The Hierarchy of Controls offers a structured approach to managing workplace risks by prioritising the most effective control measures. In risk assessments, it helps ensure that hazards are addressed in the most efficient way, starting with elimination and moving down to less effective methods like PPE. This section explains how to apply each level of the hierarchy when assessing and controlling risks. Study the diagram below showing the control measures hierarchy used to determine what controls should be used. In the first instance, we should ask whether we can: 1. Eliminate the hazard entirely. 2. If this isn’t possible, how can we ensure that the risk of harm is reduced to a minimum level. The hierarchy of control measures is used to manage workplace risks effectively. They can include: Redesigning the Job: Modify tasks or roles to eliminate or reduce hazards, making them safer. Replacing Materials, Machinery, or Process: Substitute hazardous materials or equipment with safer alternatives to minimise risk. Organising Work to Reduce Exposure: Change workflows, schedules, or layouts to minimize workers’ exposure to risks. Implementing Practical Safety Measures: Identify necessary controls like safety barriers, ventilation, or procedures that make the work environment safer. 64 Module C | C.4. Control Measures Providing Personal Protective Equipment (PPE): Ensure workers have appropriate PPE, and emphasise consistent use to protect against remaining hazards after other controls are in place. This hierarchy emphasises that eliminating or reducing hazards at the source (job design, substitution) is preferable before relying on PPE, which should be the last line of defence. The illustration below shows a snapshot of Turbo Engineering’s workshop. There are several hazards to be seen. Reflect about what you have learned throughout this section, then type your answer in the boxes provided. These will be monitored by a member of LEEA Academy Training Team. List the hazards below together with the most effective control measures you would use for each of them. Did you consider alternatives to PPE or was this your safe choice? Can you be certain a simple, cost effective control doesn’t exist higher up the hierarchy? Do you feel confident it is now safe? 65 Module C | C.5. Reflective Learning The illustration below shows a snapshot of Osprey’s Lifting. There are several hazards to be seen. Reflect about what you have learned throughout this section, then type your answer in the boxes provided. These will be monitored by a member of LEEA Academy Training Team. Taking a look at the illustration above, identify as many hazards as you can. Type the hazards you have spotted into the box below, and alongside each of them, state who or what may be harmed by the hazard. Note: Remember that hazards should have a realistic chance of causing harm or an adverse effect. 66 Module C | C.6. The Five Steps to Risk Assessment The Five Steps to Risk Assessment Carrying Out a Risk Assessment An accepted method for carrying out a risk assessment is to follow five key steps. STEP 1 - Identify the Hazards: This should be a list of hazards that have a foreseeable chance of causing harm and/or an adverse effect. STEP 2 - Assess the Risks: Assess the risk by considering who might be harmed and how. What existing controls do we currently have? STEP 3 - Control the Risks: Control the risk. Are we happy with the current level of control or do we need more? If we do need additional controls what are they? Who will implement it? When will it be complete? STEP 4 - Record your Findings: Record your findings using your company approved template and ensure you share the document with other workers either directly or in the form of safe work instructions. STEP 5 - Review the Controls: Periodically review the controls e.g. 12 months or after any changes that impact the risk assessment. E.g. new equipment, change to a process, etc. Example Template for a Risk Assessment 67 Module C | C.7. Reflective Learning Mike Menditt is carrying out maintenance on an overhead travelling crane (bridge crane). He recognises the work requires him to work at height but will access the crane using a mobile elevated work platform (access platform) as shown below: Mike will be working from the access platform basket and will have a small set of hand tools with him, including a 500ml tin of lubricant, wire brush and cleaning cloths. The crane is parked in the middle of the factory bay and workers will be able to walk underneath as Mike is working above. Other important factors to have in mind: Another crane is operating on the same track but the operators have been asked to stay away from the crane where Mike is working. As the power cannot be isolated, Mike will be working on a ‘live’ crane that has electrical power available. It has been a while since Mike operated this access platform but he is confident of his ability to operate it safely. Unfortunately, there are no other staff available to assist Mike at this time whilst he is working on the crane. The workshop is very noisy at the moment due to the large amount of fabrication work that is being carried out. 68 Module C | C.7. Reflective Learning Managing Risks STEP 1 - If accessing the Course Handbook through a mobile device, simply select Download Resource button below to access an empty template for a Risk Assessment. Alternatively, ask your trainer for a copy. STEP 2 - Fill in and save your Risk Assessment. Identify the hazards present in the situation described above. Assess their risk to people, plants, and premises. State what suitable controls you would put in place for each of them. STEP 3 - If accessing the Course Handbook through a mobile device, upload your completed Risk Assessment using the button below. Alternatively, keep hold of it and access the online version of the course through the LEEA App to complete this activity. This will take you to a third party window (Jotform) where you will be asked to upload your file. 69 Module C | C.7. Reflective Learning Crossword We have put together a crossword to help you reinforce what you have learned so far. The clues are all available from your learning this far into the course. The solution will be provided to you later. 70 Module C | C.8. Knowledge Check If accessing this Course Handbook from a mobile or electronic device, simply click on the correct answer. If using this Course Handbook in its printed version, simply tick the correct response using a pen. Then refer back to your answers when it’s time for you to input your responses in the LEEA App. Managing risks in the workplace starts with which of the following? Ensuring first aid and medical facilities are available Risk assessment Issuing PPE to all workers When following the 5 steps to risk assessment, once the hazards have been identified, and associated risks have been assessed and controlled, what final step is necessary to complete the process? Issue PPE to all workers directly involved Record the findings and review the controls Hold a tool-box talk to explain the risk assessment A type of risk assessment that focuses on a specific hazard, assessing the risks and controls is known as: Hazard perception Risk management Specialist risk assessment 71 Module C | C.8. Knowledge Check In the process of controlling risks, what is the most effective method? Eliminate the risk PPE Substitution What hazards should be included in a risk assessment? Only hazards that could cause fatality Potential hazards likely to cause harm to people or damage to equipment and property Only hazards with a potential to cause damage to equipment and property 72 MODULE D Industry Relevant Definitions 73 73 Module D | D.1. Learning Outcomes WELCOME TO MODULE D Industry Relevant Definitions At the end of this module, we expect that the students will be able to: Understand definitions and key terms commonly used in the lifting equipment industry and their application. ASSESSMENT CRITERIA At the end of this module you will be able to: Understand the definition and attributes of the competent person. Understand different categories of lifting equipment. Explain terms used in regard to the mechanics and operation of lifting equipment. Define safety-related terms used in lifting equipment. Explain the requirements for inspection and examination of lifting equipment. Identify documentation and records that must accompany inspections and their importance for compliance and traceability. Note: We estimate that it will take approximately 2 hours and 25 minutes to complete this module. 74 Module D | D.2. Competent Person Competent Person Competent Person The term ‘Competent Person’ has been used in various legislation around the world for a long time. Current legislation uses the term for a variety of duties to describe a person with the necessary attributes: Skills Knowledge Attitude Training Experience (to perform the specific duty to which the requirement refers) There can therefore be several ‘Competent People’, each with their own duties and responsibilities, i.e. competent for the purpose. I am Richie Right. I work at Osprey Lifting as a Senior Lifting Equipment Technician. I have completed the LEEA Foundation Certificate and hold LEEA diplomas for Lifting Accessories, Manual and Powered Machines, Bridge and Gantry Cranes, and Supporting Structures. I have been in the Lifting Equipment Industry for over 12 years, and I have attended many other training courses in Working at Height, Risk Assessment and Powered Access Equipment Operations. Attitude Richy is committed to LEEA’s Behaviours for a Safer World of Work and holds regular short training sessions with other team members to promote their importance and explain how following them will help to eliminate human errors and violations. Richy actively seeks continuous improvement in his role and researches new topics to enrich his knowledge. He keeps himself current with the very latest information from the lifting equipment industry and LEEA. Richy’s appraisal records commend how he regularly receives good feedback from his customers when working on their site. Customers say that Richy is respectful, courteous and very helpful. 75 Module D | D.2. Competent Person 76 Module D | D.2. Competent Person Think back to the incident that took place earlier where the tractor dropped onto the trailer. Danny Danger had tampered with the crane’s hoist brake but was not competent to have done so. Why? Danny did not have the ability to adjust the brake. He had no skills, had received no training and no information was provided to him. He certainly wasn’t experienced in this type of work. Danny broke several of LEEA’s Behaviours for a Safer World of Work on that occasion. The Competent Person should have the maturity to seek such specialist advice and assistance as may be required to enable him/her to make necessary judgements and be a sound judge of the extent to which he/she can accept the supporting opinions of other specialists. For example, the competent person inspecting, maintaining or examining lifting equipment must be able to certify with confidence whether it is free from defect and suitable in every way for the duty the equipment is required.