Nebosh IGC1 Revision Guide PDF

NEBOSH International Certificate Unit IGC1Management of International Health and Safety

Revision Guide

RRC Ref. IGC1RG.1.2

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No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form, or by any means, electronic, electrostatic, mechanical, photocopied or otherwise, without the express permission in writing from RRC.

RRC acknowledges with thanks the co-operation of NEBOSH in the production of this guide.

Revision Guide Unit IGC1: Management of International Health and Safety

© RRC International 3

Contents

Welcome to your NEBOSH International General Certificate Revision Guide! 1

Revising Effectively 2

Element 1: Foundations in Health and Safety 9

Element 2: Health and Safety Management Systems 1 - Policy 19

Element 3: Health and Safety Management Systems 2 - Organising 27

Element 4: Health and Safety Management Systems 3 - Planning 47

Element 5: Health and Safety Management Systems 4 - Measuring, Audit and Review 67

And Finally… 82

Revision Guide Introduction


Welcome to your NEBOSH International General Certificate Revision Guide!This Revision Guide has been created to help you build a structured revision plan towards your end-of-unit exam for Unit IGC1, including some guidance on how to answer exam-style questions. It’s split into elements as defined by the NEBOSH syllabus and each element-section contains two main parts:

� Revision Notes

When revising for an exam, many students rely on either trying to learn the whole course, which is virtually impossible, or spending most of their revision time on topics they believe are likely to come up in the exam – neither are good revision techniques as they leave too much to chance. This part of your Revision Guide provides a summary of the RRC course material; it’s designed to remind you of the key principles and ideas you studied in this Unit.

� Exam-Style Questions

This part of your Revision Guide provides some example exam questions and model answers. It will give you an insight into what your NEBOSH examiner expects from you and some common mistakes to avoid. These model answers have been written as ideal answers and not under exam conditions or time restraints, so it may not always be possible to write up such a detailed answer in the actual exam. It is also worth keeping in mind that some questions will require you to use knowledge from more than one element of the course.

Remember this booklet has been prepared with the exam in mind – it is not intended to replace a proper course of learning! By combining an overview of each topic with practice exam questions, you’re revising the course content and improving your exam technique at the same time – it’s perfect preparation for your NEBOSH exam.

There’s no substitute for hard work, and the more study time you can spare the better, but the key is to use this time effectively.

2 © RRC International


Revising Effectively

Using the SyllabusYour secret to success is the Guide to the NEBOSH International General Certificate. This sets out the structure of the course and contains the syllabus. If you don’t already have a copy of the syllabus, we strongly recommend that you buy one, keep it with you and read it every day. All NEBOSH exam questions are set from the syllabus, so as you become more familiar with it you’ll be less likely to be ‘thrown’ by a surprise question.

Keep in mind that you’ll be expected to apply your knowledge to both familiar and unfamiliar situations!

As exam questions are taken from the syllabus, mapping your study notes against the syllabus can be a very useful revision technique. If you have studied with RRC you will see that the material follows the syllabus quite closely, but this exercise is important to help you appreciate the overall ‘picture’. When you’re studying one specific section in isolation, it can be very easy to lose sight of how the material fits together, what practical use it is, or how a health and safety practitioner might make use of it in real life. Referring back to the syllabus will put each topic in perspective and help you see how it relates to the field of health and safety generally. It will also help you cross-reference the material with other related topics, which you may have to do in more complex exam questions.

To get this overview, you need to know the elements that make up the course and how they relate to the RRC sections. Each element (e.g. Unit IGC1, Element 1: Foundations in Health and Safety) includes two important sections:

� Learning Outcomes, which detail what you should be able to explain, understand, assess, carry out, etc. after completing the element.

� Content, which gives you the topics you should be fully familiar with.

You can use both these sections of the syllabus to test whether you have the relevant skills, knowledge and understanding for each element, or whether you need to look again at certain topics.



An idea for an effective revision technique is to take a pin (blunt, of course, for health and safety reasons!) and randomly stick it in any part of the syllabus. Then write down what you know about that topic. This might be very little at first, in which case go back to your study notes and summarise the key issues that you need to work on. Make a note of this topic, then return to it a few weeks later and see how much more you can remember. If you practise this regularly, you will eventually cover the entire syllabus and in the process find that you understand and retain the material much more effectively.

This is ‘active revision’, as it actively tests your memory to see what you have learnt – and it is far more effective than ‘passive revision’ where you simply read your study notes and usually switch off after 30 seconds, taking in little of the material.

You will find it easier if you make sure that you have an overall understanding of the topic first, then fill in the detailed knowledge requirements later. Ask yourself searching questions on each topic such as:

� ‘What use is this?’,

� ‘How would a health and safety practitioner apply this in real life?’,

� ‘What is the point of this topic?’,

until you feel that you fully understand why a health and safety practitioner would need to know about each area. Once you have this level of general understanding, the details will be much easier to retain, and in some cases you may be able to derive them from your own workplace experiences.

Your revision aim is to achieve this comprehensive overview of the syllabus. Once you have done this, you will be able to at least say something about each of the topic areas and tackle any question set on the syllabus content.



The ExamThe exam for this Unit comprises one long question (worth 20 marks) and ten short questions (worth eight marks each). You have to answer ALL questions.

You have two hours to complete your answers. This means that you have about 25 minutes to answer the long question and around eight minutes for each short question. This should leave enough time for you to read the questions thoroughly before you attempt to answer, and to read through your answers at the end.

NEBOSH are renowned for setting challenging questions and for marking strictly. The examiners are not trying to catch you out, but they do word their questions to ask for specific information. They also expect this information to be given in the requested format.

The most common mistake that students make is not reading the questions properly. Often students provide excellent answers but, unfortunately, they don’t answer the question.

Understanding everything in the syllabus is of no use if you have poor examination technique. To achieve maximum marks, you will need to:

� Read the question carefully.

� Understand what information is being requested.

� Understand the breadth of knowledge required.

� Provide the information in a logical and coherent way.

� Manage your time effectively – you need to allocate your time evenly throughout the exam to take into account the number of marks allocated per question.



NEBOSH Command Words

It is important to identify the command word or action verb within the question as this will give you an indication of the depth of knowledge required in your answer. The following meanings of the command words have been identified by NEBOSH.

� Identify

� Outline

� Describe

� Explain

� Give

IdentifyGive the item its name or title, often requiring just a word or short phrase.

Example:

Question: Identify FOUR organisational factors that might give rise to a poor health and safety culture within an organisation.

Answer: � Lack of management commitment.

� Absence of good quality training.

� Lack of consultation on health and safety matters.

� Inadequate resourcing of health and safety management.

OutlineGive a brief summary of the item or its key features. A detailed explanation is not required, but the answers must be more than just a single word or phrase.

Example:

Question: Outline TWO categories of worker who might be more vulnerable to risk in a workplace.

Answer: � Lone workers – workers who work away from immediate and direct contact with their work colleagues.

� Young people – workers who because of their age lack experience in the workplace, are immature and have a poor perception of risk.



DescribeGive a detailed written account of the subject or item. Sufficient so that someone reading that description can visualise the item in their mind’s eye.

Example:

Question Describe the ‘statement of intent’ section of a health and safety policy document.

Answer: The statement of intent is usually a one page document with a title at the top of the page followed by several paragraphs of text. At the bottom of the document there will be the name and signature of the person at the top of the organisation (e.g. the Managing Director), along with the date the document was signed and a date when the document will be reviewed. Each paragraph of text on the page will summarise the key aims and objectives of the organisation with regards health and safety.

ExplainGive an understanding of why or how something happens. With more detail than an outline would require.

Example:

Question: Explain the moral reason why an organisation should maintain high standards of health and safety.

Answer: The moral reason for maintaining high standards of health and safety arises from the basic human sense of right and wrong. When workers or others are injured or made ill by work activity they will experience pain and suffering. This pain and suffering is morally unacceptable if it can be avoided.

GiveProvide without explanation. Is often used in conjunction with example (as in: ‘give an example of’).

Example:

Question: Outline the meaning of the word ‘hazard’ and give one work-related example.

Answer: The word hazard means ‘something with the potential to cause harm’. An example of a work-related hazard would be an electrical flex trailing across the floor of a workroom that presents a risk of tripping.



Exam StrategyThe examination process may seem complex but success is simply a case of averaging around half marks or more for each question. Marks are awarded for giving ideas that are relevant to the requirements of the question, and convincing the examiner that you understand what you’re talking about. If you have the knowledge and understanding gained from studying the syllabus as set out above, then this should not be a problem.

Another important exam skill is to carefully read and analyse the question so that you are clear about what is required to answer it. The more you study past exam questions, the more familiar you will become with the way they tend to be phrased and the kind of answer the examiners are looking for.

Students often make the mistake of going into too much detail on specific topics and failing to address the wider issues. If you only deal with half of the relevant issues you can only achieve half of the marks! Try to give as broad an answer as you can, without stepping outside the subject matter of the question altogether. Ensure that you explain each issue to convince the examiner that you have the all-important understanding. Giving relevant workplace examples is a good way of doing this.

Last-Minute PreparationFinally, a useful way to combine syllabus study with exam practice is to attempt to set and answer your own exam questions. By adding a question word, such as ‘explain’ or ‘describe’, in front of the syllabus topic areas you can produce a whole range of questions similar to many of those used in past papers. This is excellent exam practice because it serves as a valuable topic revision aid, and at the same time requiring you to set out your knowledge just as you would under exam conditions.





Element 1: Foundations in Health and Safety

Scope and Nature of Occupational Health and SafetyMulti-disciplinary Nature of Health and Safety

Health and safety involves removing, or minimising, the causes of accidents and other events in the workplace which may have adverse effects on workers. It means investigating a range of issues (i.e. chemical, biological and physical) as well as understanding why people behave the way they do (i.e. psychological, or human factors).

Barriers to Health and Safety

Although risks to health and safety are now better monitored, it is not always easy to identify the relationship between cause and effect because of the:

� Range and complexity of practical and behavioural issues to be considered.

� Competing and conflicting demands placed on management and workers.

Definitions

Health and safety at work covers a wide range of concepts.

� Health refers to the physical and mental condition of all people at the workplace (employees, contractors and visitors) and their protection from harm in the form of injury or disease.

� Safety refers to the conditions at the workplace and applies to the pursuit of a state where the risk of harm has been eliminated or reduced to an acceptable level.

� Welfare refers to the general well-being of, primarily, employees at the workplace and the promotion of conditions which help to provide for their needs in respect of health, comfort, and social and personal well-being.

� Incidents are events that give rise to an accident or have the potential to lead to an accident. They include both accidents and near-misses.

� Accidents are undesired and unplanned events which may cause personal injury, damage to property or equipment, or loss of output, or all three. Occupational accidents are those that are work-related and which result in fatal or non-fatal injury. Commuting accidents are those that occur on the way to and from work and which result in death or personal injury.

� Dangerous occurrences are events or situations, often specified in national or local laws, that could harm employees at work (but don’t necessarily do so) in such a way that there is a legal requirement to report them.



� Near-misses are any form of accident which could, under other circumstances, result in injury or loss, but in this particular case do not.

� Work-related ill health may be either physiological or psychological:

– Physiological problems are those diseases or injuries suffered as a result of long-term exposure to dangerous substances in the workplace (such as various types of dust or fumes) or to damaging working practices (such as repetitive movements or excessive noise).

– Psychological problems are stress-related and can be due to traumatic events or result from long-term exposure to workplace pressures.

� A hazard is an article, substance or situation that has the potential to cause harm or damage. Not all hazards will cause harm all of the time. It depends on the circumstances.

� Risk is the likelihood of harm occurring together with its consequences. The degree of risk depends upon the likelihood of harm happening and the severity of the outcome, i.e. type of injury, numbers involved, etc.

Moral, Social and Economic Reasons for Health and SafetyMoral

The moral duty one person has to another. Although legislation and extensive guidance have helped to reduce the number of work-related accidents, the global statistics published by the International Labour Organisation (ILO) show an unacceptably high number of injuries and fatalities and financial loss due to workplace incidents.

Societal Expectations

Standards of health and safety improve over time; a simple requirement such as “safe place of work” has changed over the years. Though individuals often express an ambivalent attitude to health and safety, when a serious injury or disease is caused by work the overall response from society is not ambivalent, but one of condemnation. Improvements in communication and understanding also have an impact.

Social/Legal

The framework of laws that governs the conduct of businesses and organisations.

An employer has a duty to provide:

� Safe place of work – both the workplace and access to and from the workplace.

� Safe plant and equipment – machinery, tools, plant, equipment and appliances used by workers in the performance of their work must be kept in a well-maintained and safe condition.

� Safe systems of work – appropriate review, planning and control measures should ensure that working methods are safe.

� Training and supervision which ensure that staff are competent.



Economic

The cost to business of accidents and ill health.

Apart from the prosecutions and fines, or damages paid as compensation for injuries to workers that may result from accidents, unsafe working conditions are likely to impact on motivation and morale in the workforce and therefore on production levels. Poor business conduct can also seriously damage the reputation and long-term financial viability of an organisation.

The costs of failures in health and safety at work fall into two groups:

� Direct costs – these are measurable costs arising directly from an accident and/or claim for liability under the civil or criminal courts.

� Indirect costs – these costs may arise as a consequence of an incident but may not involve payment of money.

Roles of National Governments and International Bodies All countries have a common aim – to protect people at work. Most of the responsibility falls on employers as they provide the work, tools and systems, although workers have duties too.

Employers’ Legal Responsibilities

Article 10 of R164 (the ILO’s Occupational Safety and Health Recommendations 1981) identifies some of the basic duties placed on employers to:

� Provide workplaces and work equipment, and use work methods, which are safe and no risk to health.

� Provide appropriate instructions and training.

� Provide necessary supervision.

� Put in place health and safety arrangements adapted to suit the size and nature of the undertaking.

� Provide any necessary personal protective clothing and equipment free of charge.

� Ensure that the hours of work do not adversely affect employees’ safety and health.

� Remove any extreme physical and mental fatigue.

� Stay up-to-date with knowledge in order to comply with the above.



Workers’ Responsibilities and Rights

Article 19 of C155 (the ILO’s Occupational Safety and Health Convention 1981) states that individuals workers and their representatives have to co-operate with their employer so that he can fulfil his safety obligations.

In addition, workers should:

� Take reasonable care of their own safety and that of other people who might be affected by the things that they do and the things that they fail to do.

� Comply with safety instructions and procedures.

� Use all safety equipment properly and not tamper with it.

� Report any situation which they believe could be a hazard and which they cannot themselves correct.

� Report any work-related accident or ill health.

Workers’ rights include:

� The right to be provided with adequate information on actions the employer has taken to ensure occupational safety and health.

� The right to the necessary training in occupational safety and health.

� The right to be consulted by the employer on all matters of occupational safety and health relating to their work.

� The right to leave a workplace which he has reason to think presents an imminent and serious danger to his life or health and not be compelled to return until it is safe.

Role of Enforcement Agencies

Each country has a number of agencies that investigate incidents and enforce laws (i.e. enforcement agencies and fire authorities) or provide advice (i.e. insurance companies).

Consequences of Non-Compliance

A breach of health and safety legislation is usually a criminal offence and may result in heavy fines or even imprisonment.

In cases of civil liability, an organisation or individual may be required to pay compensation for injuries or loss sustained, particularly in cases of negligence. Negligence involves not exercising reasonable care towards others and causing harm as a result of something you do or fail to do.

In many countries worker compensation is based on proving negligence, i.e. sharing blame or fault. In other countries a no-fault compensation system is operated, where negligence does not have to be proved in a court.



International Standards and Conventions

Most countries have their own laws and enforcement bodies. The United Nations has led the way in upholding international standards in health and safety particularly through the International Labour Organisation (ILO) which sets international standards through ‘conventions’ and ‘recommendations’.

The International Organisation for Standardisation (ISO) has been the main instigator of the Quality Management Standard (ISO 9001) and the Environmental Management Standard (ISO 14001).

Sources of Information

Information on national standards can be obtained from the relevant national regulatory bodies, who publish guidance documents which provide information on the legal standards required. Many of the regulatory bodies have websites which are valuable sources of information, such as:

Health and Safety Executive (HSE) in the UK at:

http://www.hse.gov.uk

Occupational Safety and Health Administration (OSHA) in the US at:

http://www.osha.gov

And in Western Australia at:

http://www.commerce.wa.gov.au/WorkSafe



Exam-Style QuestionsShort Questions

1. Identify EIGHT costs which could follow an accident that are not usually covered by insurance. Do not include compensation to the injured worker as that is usually covered by insurance. (8 marks)

2. Outline the why an organisation should maintain good standards of health and safety. (8 marks)

3. Outline the responsibilities that the following parties have for health and safety under International Labour Organisation (ILO) conventions and recommendations:

(a) Employers. (4 marks)

(b) Workers. (4 marks)

Long Questions

4. (a) Identify some of the most significant possible consequences of a serious workplace accident to:

(i) the injured worker (3 marks)

(ii) the employer. (3 marks)

(b) Identify FOUR direct and FOUR indirect costs to the employer that might arise as the result of accidents at work. (8 marks)

(c) Describe the actions an enforcement agency may take following an accident at work. (6 marks)



Model AnswersShort Questions

1. Uninsured costs might include:

� Product loss or damage.

� Loss of production/output.

� Loss of orders.

� Loss of company image.

� Cost of time spent investigating the accident.

� Loss of time and resources.

� Cost of recruitment of replacement staff.

� Cost of overtime to remaining staff.

� Cost of remedial action following investigation (e.g. change of process or materials).

2. There are moral, social and economic reasons for the maintenance of good health and safety standards within an organisation.

� Both the employer and the worker have moral and social obligations concerning health and safety within the organisation. The employer must provide a safe place of work with safe plant and equipment, safe systems of work, training, supervision and competent staff. The worker must comply with the training and instruction given by the employer and also with anything provided for the purposes of health and safety, such as PPE and machine guards.

� There are also economic reasons to maintain good health and safety in the workplace. The costs of business failure can be very high for an organisation. Damage to materials, plant and equipment can cost a large amount for an organisation. Ill health, injury or death of staff can also cost an organisation large amounts of money. There can be both direct and indirect (or hidden) costs to the organisation.



3. (a) It is the responsibility of the employer to ensure:

� The health, safety and welfare of all employees.

� Provision of safe plant and systems of work.

� Safe arrangements for handling, storage and transport of articles and substances.

� Provision of information, instruction, training and supervision.

� Provision of safe access and egress.

� Provision of a safe working environment and adequate welfare facilities.

(b) Workers are expected to:

� Act responsibly.

� Take reasonable care of themselves and of others who may be affected by their actions or omissions.

� Co-operate with their employer in respect of their health and safety duties.

� Not intentionally or recklessly interfere with (or misuse) anything provided in the interests of health, safety and welfare.

Long Questions

4. (a) Some possible consequences of a serious workplace accident could be:

(i) To the injured worker: injury or disease/ill health may result in loss of employment and loss of income. This can, in turn, result in a loss of quality of life for both the worker and the worker’s dependants (i.e. usually the worker’s family).

(ii) To the employer: social/legal consequences and/or business/economic problems. There may also be visits from a government enforcement agency if the employer’s actions have been negligent.



(b) Direct costs to the employer could include:

� Sick pay.

� Repairs/replacement of damaged equipment or buildings.

� Product loss or damage.

� Loss of production.

� Public and/or product liability.

� Fines, legal fees.

� Increase in insurance premiums.

Indirect costs could be:

� Business interruption.

� Loss of orders.

� Cost of time spent on investigations.

� Loss of corporate image.

(c) An enforcement agency will act on behalf of the government and will enforce health and safety law. This may be done in conjunction with the police. They may take a number of possible actions, which may include:

� Giving advice.

� Issuing a warning letter.

� Giving a formal notice concerning future work and remedial action to be taken.

� Making a criminal prosecution for negligent acts.





Element 2: Health and Safety Management Systems 1 - Policy

Key Elements of a Health and Safety Management SystemThe ILO Guidelines on Occupational Safety and Health Management Systems 2001 (ILO-OSH 2001) provides a model for the development and maintenance of effective systems and procedures. The key elements of this are the same as for other management processes, as follows:

� Setting a health and safety policy.

� Organising staff and assigning roles and responsibilities for health and safety.

� Planning and implementing systems.

� Evaluation – monitoring and reviewing standards and systems.

� Action for improvement – implementing any necessary adjustments.

� Auditing the effectiveness and reliability of the safety system in order to continually improve.

Purpose and Importance of a Health and Safety Policy

A health and safety policy sets out the organisation’s aims with regard to health and safety. It:

� Identifies the responsibilities and allocated duties of employees and managers.

� Co-ordinates activities to identify, analyse and implement solutions to potential safety problems.

� Defines arrangements for promoting, planning and controlling all aspects of health and safety in the workplace.

Aims, Objectives and Key Elements of a Policy

The policy is normally in three sections:

� General Statement of Intent (Policy Statement)

This sets out the organisation’s commitment and overall approach to health and safety and spells out the main objectives or measurable targets for health and safety performance. Performance relating to targets may be compared with previous performance, or the industry as a whole, i.e. benchmarking.



Benchmarking is the process of identifying and learning from best practices; benchmarks are performance targets that reflect best practices and allow comparisons to be made.

The Statement of Intent should be signed by the Chief Executive Officer or Managing Director.

� Organisation

This section specifies the roles and responsibilities of employees and management, their accountability, the chain of command and communication, and operational duties in terms of health and safety.

� Arrangements

This section explains the general arrangements that exist to manage health and safety and specific arrangements to deal with particular risks, while ensuring the aims of the policy statement are met:

– Planning health and safety measures using risk assessments. – Developing safe systems of work and permits-to-work. – Implementing staff consultation and communication mechanisms. – Monitoring compliance and assessing effectiveness through active and

reactive monitoring methods.

Review of Health and Safety PolicyAn organisation’s health and safety policy should be reviewed if or when:

� The structure of the organisation, and/or key personnel change.

� The organisation changes premises.

� Work arrangements change, or new processes are introduced.

� An audit or a risk assessment requires a review.

� There is enforcement action or as a consequence of the findings from accident investigations.

� The law changes.

� Consultation with employees or their representatives highlights deficiencies.

� A third party requests it, e.g. insurance companies, customers or clients.

� Some time has passed since the policy was developed.




1. Outline the circumstances that may call for the review of an organisation’s health and safety policy. (8 marks)

2. Outline the contents that would be found in a typical ‘statement of intent’ document in an organisation’s health and safety policy. (8 marks)

3. Identify EIGHT subjects that would typically be included in the ‘arrangements’ section of an organisation’s health and safety policy document. (8 marks)

4. (a) Identify the contents of the three main sections of a health and safety policy document and, for EACH section, explain its purpose. (6 marks)

(b) Explain why the ‘statement of intent’ section of the policy should be signed by the most senior person in an organisation, such as the Managing Director (MD). (2 marks)

5. Outline the main parts of a health and safety management system, such as ILO-OSH 2001. (8 marks)

Long Questions

6. (a) For each of the sections of an organisation’s health and safety policy identified below, explain the purposes:

(i) ‘Statement of intent.’ (2 marks)

(ii) ‘Organisation.’ (2 marks)

(iii) ‘Arrangements.’ (2 marks)

(b) Outline the topics that are included in a typical ‘arrangements’ section of an organisation’s health and safety policy. (8 marks)

Outline the circumstances that may call for the review of an organisation’s health and safety policy. (6 marks)




1. A health and safety policy will need to be reviewed:

� After the elapse of time.

� When new processes are introduced.

� When new technology is introduced.

� When there is a change in structure.

� When there is a change in premises.

� Following a change in legislation.

� When requested by a Safety Committee.

� Following an audit review.

� Following an accident.

� Following an enforcement action.

2. The contents of a statement of intent are:

� An outline of the organisational approach.

� Aims and objectives.

� Commitment.

� Compliance with legal obligations.

� Adequate resources.

� Adequate training.

� Keeping up to date.

� Signature of key personnel.



3. Possible answers are:

� Safety training.

� Safe system of work.

� Risk assessment.

� Environmental monitoring.

� Safety monitoring.

� Accident reporting/investigation.

� Noise control.

� PPE issue and use.

� Fire/first aid.

� Health surveillance.

(Only eight are required.)

4. (a) The content of the three main sections should be:

� Statement of intent – overall philosophy, principles of legislation applied to the organisation, broad responsibilities and targets set. It should also cover the monitoring and review process, and comparison of past and present performance (i.e. benchmarking).

� Organisational structure – roles and responsibilities of management and employees, the chain of command for health and safety management, delegation and operational duties for health and safety.

� Arrangements section – practical arrangements to implement the policy, e.g. planning health and safety measures using risk assessment, detailed hazard control measures, staff consultation and methods for active and reactive monitoring.

(b) The statement of intent section of the health and safety policy document should be signed by the most senior person to demonstrate that the company is committed to the health and safety management programme and to set goals and objectives for the organisation. This would include active measures to comply with the law and to established best practice. The signature of the most senior person is his/her personal endorsement of the statement.



5. The main components of ILO-OSH 2001 are:

� Setting policy.

� Organising the staff and other resources.

� Plan and implement.

� Evaluation (monitoring, measuring and reviewing performance).

� Auditing.

� Action for improvement (can also include continual improvement).

Long Questions

6. (a) The main components are:

(i) The statement of intent: broad outline of the organisation’s overall philosophy in relation to management of health and safety.

(ii) Organisational: distribution of responsibilities for health and safety throughout the organisation.

(iii) Arrangements: practical arrangements by which general policy is to be implemented.

(b) Matters to cover here are:

� Planning health and safety measures using risk assessment.

� Detailing of hazard control measures, e.g. arrangements for manual handling, substances hazardous to health, emergency arrangements, first-aid procedures.

� How to put staff consultation and communications mechanisms into place; training arrangements, etc.

� Monitoring compliance and assessing its effectiveness by means of active and reactive methods.



(c) The health and safety policy should be reviewed if or when:

� The structure of the organisation, and/or key personnel change.

� The organisation changes premises.

� New processes are introduced.

� An audit or risk assessment requires a review.

� There is enforcement action or following findings of accident investigations.

� If the law changes.

� When worker consultation or worker representatives highlight deficiencies.

� When a third party, such as an insurance company, customers or clients, requests it.

� Some time has passed since the policy was first developed (i.e. it may be out of date).





Element 3: Health and Safety Management Systems 2 - Organising

Organisational Roles and ResponsibilitiesAlthough everyone working in an organisation will have a practical responsibility for their health and safety and that of others, ILO Convention 1981 (C155) and Recommendation (R164) place specific duties in respect of health and safety to different people within the organisation.

Directors and Senior Managers

Must demonstrate clear commitment and leadership with regard to health and safety and have strategic responsibilities to ensure:

� The right health and safety policy is in place.

� There is an adequate budget for implementing the policy.

� The right organisational structures are in place.

� Competent people are employed by the organisation.

Demonstrating Top Management Commitment

Directors and senior managers demonstrate commitment to health and safety through strategic thinking by:

� Ensuring availability of resources.

� Defining roles and responsibilities.

� Appointing a member of top management with specific responsibility for health and safety.

� Appointing one or more competent persons and adequate resources to provide assistance.

� Reviewing performance at board level.

� Directors and senior managers have an enormous influence over their organisation and its priorities – they must demonstrate clear commitment and leadership with regard to health and safety.

� The influence of visible management commitment and leadership on safety culture is discussed later in this element.



Middle Managers and Supervisors

These are responsible for the health and safety standards within the operations they control, for example:

� Health and safety policies are implemented and monitored.

� Safe systems of work and equipment are supplied.

� Incidents are recorded and investigated.

They are responsible for:

� The staff that work directly for them (their direct reports).

� Staff lower down in the organisational chart (below their direct reports).

� The areas and activities under their control.

Safety Specialists

Typical responsibilities include:

� Providing advice on legislative requirements.

� Developing and implementing policy.

� Overseeing the implementation of adequate risk assessments.

� Identifying training needs.

� Monitoring health and safety performance.

Responsibilities of Other Personnel

Workers are expected to act responsibly and take reasonable care of themselves and of others who may be affected by their actions or omissions, and to co-operate with their employer in respect of their health and safety duties.

Persons in control of premises are required to ensure that premises and the means of access to or egress from them are safe and well maintained.

Self-employed persons must ensure their own health and safety and that of others who might be affected by their business or “undertaking”.

General Duties of Suppliers, Manufacturers and Designers

All persons designing, manufacturing and/or supplying articles (which includes plant or equipment) and/or natural or artificial substances for use by others in the course of their work are bound to ensure, so far as is reasonably practicable, that these are safe and without health risks at all times when used or maintained.



Relationship between Client and Contractor

Contractors are engaged to perform a certain task without close supervision and direction from the client, the person commissioning and paying them. Responsibility for risk control is shared between client and contractor. The client is responsible for the workplace and environment, and his own workers, while the contractor is responsible for the job in hand, and those employed by him to carry out certain duties.

Selecting the Contractor

When selecting a contractor capable of doing the work required safely, the client needs to refer to previous experience records and evidence of technical and safety competence.

Planning the Work

The client should inform the contractor about hazards and risks in the workplace; the contractor should inform the client about hazards and risks created by the contract work.

The contractor should develop safe working methods (documented) having carried out risk assessments.

Monitoring the Work

The contractor should comply with safe working practices (e.g. signing in and out procedure; a named site contact for co-ordination; a site induction training programme for all contractor employees).

The client needs to ensure that safety standards are met by implementing, checking and reviewing procedures.

Joint Occupiers of Premises

Employers sharing premises must co-operate and co-ordinate with regard to their health and safety arrangements and emergency procedures. They should also inform each other of any likely risks arising from their activities.



Consultation with EmployeesConsultation involves employers not only giving information to employees, but also listening to and taking account of what they say before any health and safety decisions are made, particularly in respect of:

� The introduction of any new health and safety measures, technologies or procedures in the workplace.

� The appointment of specially nominated persons to provide health and safety advice and assistance.

� Any health and safety training plans or information required.

It is common practice to form a safety committee to act as a focal point for health and safety issues. The safety committee also provides an opportunity for the involvement of employees in health and safety, a means of improving the overall health and safety culture of the company.

Concepts and Significance of Safety CultureDefinition

The culture of an organisation refers to the formal and informal rules, values, customs and relationships that describe the “feel” of the organisation.

Safety culture can be defined as the shared attitudes, values, beliefs and behaviours relating to health and safety.

Correlation between Culture and Performance

An organisation with a positive health and safety culture will ensure that health and safety standards are high and will have:

� A firm statement of health and safety policy.

� Well defined lines of responsibilities and control.

� Clear communication and consultation on health and safety.

� Active approaches to health and safety at all levels.

� People working safely so there will be fewer accidents and ill health.

An organisation with a negative health and safety culture will have:

� Workers who think health and safety unimportant.

� Lack of clear direction and leadership from senior management.

� Managers who do not consider health and safety in their decision-making.

� Workers who behave unsafely because they do not know any better.

� With the lack of attention to health and safety standards will be low, behaviour poor and accidents will occur.



Factors Influencing Safety CultureIndicators Used to Assess Culture

� Accidents – comparing performance with previous years/industry average.

� Sickness rates – ill health caused or made worse by work.

� Absenteeism – possibly due to ill health caused by work or poor morale linked to a negative safety culture.

� Staff turnover – low turnover may indicate a good safety culture.

� Compliance with safety rules – high level of compliance indicates a positive safety culture.

� Complaints about working conditions – legitimate and serious complaints may indicate a negative safety culture.

Factors Promoting a Negative Health and Safety Culture � Re-organisation/change/uncertainty.

� Blame culture.

� Poor leadership by management.

� Conflicting priorities – output pressures in conflict with safe working.

� Poor communication/lack of consultation.

Factors Influencing Safety-Related BehaviourMany accidents can be attributed to some kind of human action and human behaviour influenced by:

� Individual factors, e.g. attitude, aptitude, motivation, perception, etc.

� Job factors – characteristics of the job or task that influence safety-related behaviour, e.g. workplace environment, mental demands.

� Organisational factors, e.g. policies and procedures, management commitment, supervision.

� People’s attitudes, that predispose them to act or react in a certain way to a given situation; attitudes are difficult to change but training and education may help.

� A person’s aptitude, which is their ability to learn and do things.

� Motivation – an individual’s drive to achieve a goal; workers should be motivated to work safely.

� Perception, which allows people to recognise hazards or risks; perception can be distorted by illness, stress, fatigue, etc.



Human error, which can be separated into:

� Slips and lapses.

� Mistakes.

Violations occur when employees deliberately break rules knowing it is the wrong thing to do:

� Routine.

� Situational.

� Exceptional.

The effects of age and experience, so that people with little or no prior knowledge and understanding of hazards and risks interpret situations differently. The more experienced an employee, the better the safety record. However, older operatives may also be more susceptible to injury.

The influence of peers – workers will be influenced by those they work with and may want to conform in order to be accepted by others.

Improving Health and Safety CultureAn organisation’s approach to health and safety can be improved by:

� Securing the commitment of senior managers and ensuring that they are fully involved with day-to-day work and decisions and consult with employees on any changes to working conditions and policies.

� Promoting health and safety standards by enforcing company safety rules and procedures and carrying out active monitoring to ensure continuous improvement.

� Using competent personnel and contractors in accordance with regulations and the work to be done (i.e. scaffolding) or providing training where necessary.

� Communicating effectively with all workers.

Effective CommunicationCommunication can be defined as the process of delivering information from a sender to a recipient. To be effective, the correct information has to be transmitted and understood.



Verbal Communication

Uses the spoken word – face-to-face conversations, meetings, interviews, training sessions, telephone calls, etc.

Limitations Merits

� Language barrier may exist.

� Jargon may not be understood.

� Strong accent or dialect may interfere.

� Background noise may interfere.

� Recipient may have poor hearing.

� Message may be ambiguous.

� Recipient may miss information.

� Recipient may forget information.

� No written record as proof.

� Poor transmission quality if by telephone or PA system.

� Personal.

� Quick.

� Direct.

� Allows for checking of understanding.

� Allows for feedback to be given.

� Allows for exchange of views.

� Usually allows for additional information to be transmitted by means of tone of voice, facial expression and body language.

Written Communication

Uses the written word – reports, memos, e-mails, notices, company handbooks, etc.

Limitations Merits

� Indirect.

� Takes time to write.

� May contain jargon and abbreviations.

� Can be impersonal.

� Message may be ambiguous.

� Message may not be read by recipient.

� Language barrier may exist.

� Recipient may not be able to read.

� Immediate feedback is not available.

� Questions cannot be asked.

� Recipient may have impaired vision.

� Permanent record.

� Can be referred back to.

� Can be written very carefully to avoid use of jargon, abbreviations and ambiguity.

� Can be distributed to a wide audience relatively cheaply.



Graphic Communication

Uses pictures, symbols or pictograms – safety signs, hazard warning symbols, photographs, etc.

Limitations Merits

� Can only convey simple messages.

� Expensive to buy or produce.

� May not be looked at.

� Symbols or pictograms may be unknown to the recipient.

� No immediate feedback available.

� Questions cannot be asked.

� Recipient may have impaired vision.

� Eye-catching.

� Visual.

� Quick to interpret.

� No language barrier.

� Jargon-free.

� Conveys a message to a wide audience.

Broadcasting Methods

Methods of broadcasting health and safety information include:

� Notice boards.

� Posters and videos.

� Toolbox talks.

� Memos and e-mails.

� Employee handbooks.

Co-operation and Consultation

A positive safety culture can only be created with worker co-operation and inclusion. This is best achieved by involvement of employees in the decision-making process (e.g. safety committees).

Training

Identifies a gap in skills or knowledge and sets out to bring about a demonstrable change in attitude or behaviour through a planned learning experience to achieve effective performance in an activity or range of activities. Training enables:

� New workers to learn the correct and safe work practices from the outset and become effective quickly.

� Well trained and skilled employees to be more motivated and productive and work to higher standards.



Induction training will cover:

� The organisation’s health and safety policy.

� Fire and other emergency procedures.

� First-aid facilities and personnel.

� The location of welfare facilities.

� Safe movement around the workplace.

� Accident and incident reporting procedures.

� Worker consultation arrangements.

� General safety rules such as no smoking areas.

� Personal protective equipment requirements.

� Introduction to the safe systems of work and permit systems.

� Introduction to the risk assessment system.

Refresher training will ensure employees remain motivated and effective, and is needed whenever there are job or process changes or changes in legislation or when new technology is introduced.

Internal and External InfluencesAn organisation’s approach to health and safety will be subject to:

Internal Influences

� Management commitment to providing resources (time, money, people).

� Impact of line managers.

� Production demands and working practices.

� The flow of communication within the organisation.

� The competence of staff.

� Worker representation and consultation.

External Influences

� The attitudes and expectations of society.

� The implementation and enforcement of legal requirements.

� Standards set by insurance companies.

� The contribution and role of trade unions in publicising health and safety matters.

� Pressures exerted by stakeholders to direct organisational policies.



Emergency ProceduresThe Importance of Developing Emergency Procedures

An organisation has to develop procedures to deal with foreseeable incidents. Such incidents might include:

� Fire.

� Bomb threat.

� Spillage of a hazardous chemical.

� Release of a toxic gas.

� Outbreak of disease.

� Severe weather or flooding.

� Multiple casualty accident.

The foreseeable incidents will vary depending on many factors such as the type of organisation and its location.

Having identified the foreseeable incidents, the organisation should make internal arrangements to deal with each of them, including:

� Procedures to be followed.

� Provision of suitable equipment.

� Nomination of responsible staff.

� Provision of training and information.

� Drills and exercises.

Arrangements for Contacting Emergency Services

Whilst internal emergency arrangements must be made by the organisation, these responses will also involve contacting external emergency services. This requires:

� Communication equipment. The more remote the location, the more difficult this becomes.

� Contact details. This may involve international medical evacuation as well.

� Responsible individuals with the necessary information and knowledge nominated to make the call.



First AidThe basic principle of first aid is to keep the injured casualty alive until professional medical assistance can take over. The three Ps:

� Preserve life.

� Prevent deterioration.

� Promote recovery.

First-aid also concerns the provision of simple treatment to minor injuries that do not require professional treatment.

First-Aid Requirements

An employer has a duty to make appropriate first-aid provision for his employees to allow an immediate emergency medical response to foreseeable injuries that might occur. This provision could consist of:

� Facilities – an appropriate location where first-aid treatment can be given.

� Equipment – suitably stocked first-aid kits and other equipment as necessary.

� Personnel – staff with appropriate training to deliver first-aid treatment.

� Personnel – staff who maintain first-aid kits and contact emergency services

The employer must notify staff of these first-aid arrangements and in particular the identity of trained first-aid personnel.

First-Aid Facilities

This might be a room used for other purposes that can be quickly converted into a treatment area. In a larger workplace with higher-risk activities a dedicated treatment room should be provided that is:

� Centrally located and easily accessed by emergency services.

� Clean and adequately heated, ventilated and lit.

� Provided with hand-wash facilities, a chair and a clinical waste bin, etc.

First-Aid Equipment

As a minimum, one fully stocked first-aid kit might be provided for a small, low risk workplace. In larger workplaces multiple first-aid kits should be positioned at various locations in the workplace, plus:

� Eye-wash stations.

� Emergency showers.

� Blankets.

� Splints.

� Resuscitation equipment.



� Stretchers.

� Wheelchairs.

� Other equipment as required.

� Small travelling first aid kits can be provided for drivers and lone workers.

First-Aiders and Appointed Persons

� An appointed person should be available to take charge in an emergency situation and call the emergency services, and might also need to be trained in basic emergency aid.

� In most workplaces personnel should be trained as “first-aiders”. In certain cases, training on specific matters relating to the workplace might be provided.

� Refresher training is mandatory for first-aiders because their skills fade over time through lack of practice.

First-Aid Coverage

An employer should determine by risk assessment what first-aid facilities, equipment and trained personnel to provide. Factors to consider include:

� The general risk level of the workplace.

� The hazards present in the workplace.

� Accident history.

� The presence of vulnerable persons.

� The number of workers in the workplace.

� Work patterns and shift systems of workers.

� The geographic location of the workplace.

� The spread of the workplace.

� The geographic location is important. Workplaces within easy reach of the emergency services can perhaps provide minimal cover, but workplaces in remote locations must be far more self-reliant.

� There should be adequate first-aid cover on all shifts worked in the workplace.




1. Outline the practical ways in which a manager could involve employees in making improvement to health and safety standards in a workplace. (8 marks)

2. Outline the information that could be reviewed when trying to assess the competence of a contractor to undertake a task. (8 marks)

3. Identify EIGHT topics that would typically be included on the agenda of a health and safety committee meeting. (8 marks)

4. Outline the indicators that can be examined in order to make an assessment of the health and safety culture of an organisation. (8 marks)

5. Identify EIGHT health and safety management deficiencies that can cause poor health and safety performance. (8 marks)

6. Explain what the following terms mean:

(a) ‘Motivation’. (2 marks)

(b) ‘Perception’. (2 marks)

(c) ‘Attitude’. (2 marks)

(d) ‘Aptitude’. (2 marks)

7. (a) Explain the meaning of the term ‘competent’ in the context of health and safety. (4 marks)

(b) Describe four methods that can be used to ensure that an individual is competent. (4 marks)

8. Outline EIGHT reasons why a verbal instruction given to a worker may not be properly understood by that worker. (8 marks)

9. There are a variety of methods that can be used to communicate health and safety information to workers in the workplace. Explain why it is important to use this variety of communication methods. (8 marks)



Long Questions

10. (a) Outline the responsibilities of the employer with regards health, safety and welfare in the workplace. (10 marks)

(b) Outline the information that could be reviewed by a reasonable client before engaging the services of a contractor to undertake a large redecorating task. (10 marks)

11. (a) There is a range of organisational factors that can promote a negative safety culture within an organisation. Outline this range of organisational factors. (8 marks)

(b) Outline a range of other factors that might promote a negative safety culture within an organisation. (12 marks)


1. An employer should involve his employees in the decision-making process by consulting with them on workplace issues. Employers should not only give information to employees, but also listen to and take account of what they say before any health and safety decisions are made. The practical means by which this can be done are by employing both formal and non-formal methods, such as:

� Team meetings.

� Safety circles.

� Works and office safety committees.

� One-to-one informal meetings between management and staff.

Employers can also involve workers in risk assessments of various types, including those for general risk assessments, manual handling and display screen equipment. They could also, with appropriate training, be involved in workplace inspections and tours.



2. The following should be requested from the contractor:

� References and past work records.

� Safety policy.

� Training records.

� Method statements.

� Risk assessments.

� Insurance certificates.

� Membership of trade body.

3. Topics to be included in the agenda of a safety committee meeting could include:

� The study of accident and disease statistics.

� Examination of safety audit reports.

� Consideration of reports and information from the enforcing agencies or government authorities.

� Consideration of reports submitted by safety representatives.

� Assistance in development of procedures and policy.

� Consultation on training programmes.

� Monitoring the effectiveness of training programmes.

� Monitoring and improvement of safety communications.

� Practicalities of workplace issues, such as the impact of shift-working, maintenance and breakdown procedures on health and safety.

4. When assessing the health and safety culture of an organisation, the following indicators can be observed:

� Level of compliance with procedures and rules.

� Employee complaints.

� Accident rates/statistics.

� Absenteeism and sickness levels/statistics.

� Staff turnover.



5. Examples are:

� No rules or procedures.

� No training.

� No consultation.

� No involvement in the decision-making process.

� No decisions on health and safety issues.

� Supervisors/managers turning a blind eye to safety issues.

� Lack of maintenance.

� Poor environmental conditions.

� Poor housekeeping.

(Only eight are required.)

6. (a) Motivation is what makes a person act the way he/she does. It is a tendency to take actions to achieve a particular goal. It can also be described as the force that stimulates an individual to do something.

(b) Perception is the way that we use our senses to compare the information we receive with our existing knowledge and attitudes to interpret and to give meaning to events, situations and other people. It shapes how an individual observes a situation.

(c) Attitude is a person’s viewpoint or way of looking at something. It gives him/her a tendency, readiness or pre-disposition to act or react in a particular way in a given situation. (It is often based on experience, age, etc.)

(d) Aptitude refers to an individual’s ability in relation to something, such as their knowledge and skills.

7. (a) A competent individual in health and safety terms is one who possesses:

� Knowledge.

� Skills.

� Ability to perform a task.

(b) Methods of ensuring that an individual is competent are:

� Provision of information, instruction and training.

� Involvement in the decision-making process.

� Appraisal and testing to determine experience and knowledge.

� Observation.



8. A verbal instruction may not be clearly understood by an employee for the following reasons:

� The environment is unsuitable – too much background noise, distractions, etc.

� Too much technical jargon is used.

� The information is complex and there is no opportunity to clarify it.

� The instruction is ambiguous.

� The conveyor and receiver have different dialects.

� Body language interferes with the communication.

� The language is not understood.

� The receiver is not listening.

� The communication is poorly timed or too long.

� The conveyor or receiver is inexperienced.

� The receiver suffers from sensory impairment or a learning difficulty.

9. It is important to use a variety of methods to communicate health and safety in the workplace for the following reasons:

� Some methods are statutory.

� There may be language barriers.

� People respond to different stimuli.

� It is necessary to take account of disabilities and impairments.

� The message may need to be reinforced.

� Feedback is required.

� One method may become ineffective.

� Environmental factors need to be taken into account.

� Employee involvement needs to be gained.



Long Questions

10. (a) It is the responsibility of the employer to ensure:

� The health, safety and welfare of all employees.

� Provision of safe plant and systems of work.

� Safe arrangements for handling, storage and transport of articles and substances.

� Provision of information, instruction, training and supervision.

� Provision of safe access and egress.

� Provision of a safe working environment and adequate welfare facilities.

(b) The employer should take all reasonable steps, including:

� Seeking references for previous work.

� Establishing adequate insurance cover.

� Requesting the contractor’s safety policy.

� Seeking examples of risk assessments and method statements.

� Requesting records of training.

� Seeking accident records.

� Requiring details of any prosecutions for health and safety offences.

� Seeking details of professional body membership.

11. (a) Organisational factors that can promote a negative health and safety culture include:

� Production being seen as more important than safety.

� No written safety policy or no adherence to it.

� No employee involvement in the decision-making process.

� Lack of praise and reward.

� No training policy.

� Poor welfare facilities.



(b) Other factors that can promote a negative health and safety culture relate to the individual, for example:

� A person’s attitude.

� A person’s perception.

� Inexperience.

� Lack of training.

� Other human factors.

The task is also a factor of influence, for example, there may be:

� Mismatch between people and task.

� Repetitive and poorly designed tasks.

� No safe system of work.

� No risk assessment.





Element 4: Health and Safety Management Systems 3 - Planning

The Importance of PlanningThe Management System

Health and safety must be managed systematically. To achieve this a system should be in place to identify, implement and maintain occupational health and safety requirements. This requires planning so that specific objectives can be set for an organisation to achieve and so that specific processes can be put in place to allow the organisation to achieve those objectives.

Setting “SMART” Objectives

When health and safety objectives are set for an organisation, those objectives should be “SMART”:

� Specific – a clearly defined, precise objective.

� Measurable – it is possible to measure achievement of (or towards) the target; usually by quantifying the objective.

� Achievable – it can be done.

� Reasonable – within the timescale set and with the resources allocated.

� Time-bound – a deadline or timescale is set for completion of the objective.

When setting health and safety objectives consideration should be given to:

� Who is going to set objectives.

� How objectives will be set at each functional level.

� Legal and other requirements.

� Hazards and risks.

� Technological options.

� Financial, operational, and business requirements.

� Views of interested parties.



Keeping Up-To-Date

Identifying and keeping up to date with legal requirements is essential:

� In the UK – HSE website and HSE electronic newsletters (http://www.hse.gov.uk).

� Internationally from (http://www.ilo.org).

� Organisations and charities with an interest in occupational safety and health, e.g. IOSH and ROSPA in the UK; OSHA in the USA.

� Periodicals such as Safety and Health Practitioner (published by IOSH).

� Subscription news and update services offered by private businesses (e.g. Croners).

� Attendance at legislation update seminars and conferences.

Aims and ObjectivesDefinitions

� Hazards

A hazard is any substance, machine or situation that has the potential to cause harm or damage. Hazards will always exist, to some extent, in the workplace.

� Risk

Risk is the likelihood of harm actually occurring from workplace hazards, and their consequences. The degree of risk depends on the likelihood of harm happening and the severity of the injury, damage or loss that might foreseeably occur.

� Risk Assessment

Risk assessment is nothing more than a careful examination of what, in the workplace, could cause harm, so that we can decide if the current precautions are enough to prevent that harm, or if we need to do more to reduce the level of risk.

� Objectives of Risk Assessment

To prevent:

– Death and personal injury. – Other types of loss incident. – Breaches of statute law. – Direct and indirect costs that follow accidents.



Different Types of Incident

� Injury accident – an unplanned, unwanted event which leads to personal injury of some sort.

� Damage only accident – an unplanned, unwanted event which leads to damage to equipment or property.

� Near-miss – an unplanned, unwanted event that had the potential to lead to injury, damage or loss (but did not do so).

� Dangerous occurrence – a specified event that, causing loss or damage but not necessarily personal injury, may have to be reported to the relevant authority by national or local law.

� Ill-health incident – an unplanned, unwanted event which leads to ill health.

Accident Ratios

Accident ratios (often referred to as accident triangles) display the relationship between numbers of accidents with different outcomes. Research shows that this relationship forms a triangle, with the most serious outcomes being the least numerous (at the top) and those with proportionally higher numbers but less serious results forming the base (e.g. according to Frank Bird, 1 serious injury to 600 near misses/incidents).

The Risk Assessors

Risk assessments should be carried out by competent people.

A risk assessment might be carried out by one person or a team. A team allows for various views and opinions to be taken into account, including those of:

� Workers familiar with the tasks and areas to be assessed.

� Health and safety specialists.

� Technical specialists.

� Line managers.

� Worker safety representatives.

Criteria for a Suitable and Sufficient Assessment

A risk assessment should be good enough to fulfil legal requirements and prevent foreseeable injuries and ill health from happening. It should:

� Identify the significant risks arising out of work.

� Enable the employer to identify and prioritise the measures that must be taken to protect people from harm, including complying with any relevant legal provisions.

� Be appropriate to the nature of the work and remain valid for a reasonable period of time.



Step 1 – Identifying Hazards

The first step in the risk assessment process is to identify all the significant hazards.

Safety hazards – capable of causing immediate physical injury and can be categorised according to type of accident that is foreseen:

� Slips, trips or falls.

� Falls from height.

� Falling objects.

� Collision with objects.

� Trapping, crushing under or between objects.

� Manual handling.

� Contact with machinery and hand tools.

� Electricity.

� Transport.

� Contact with chemicals.

� Suffocation and drowning.

� Fire and explosion.

� Animals.

� Violence.

Health hazards – can cause occupational disease or ill-health conditions. Can be categorised into five groups:

� Physical, e.g. radiation, vibration, noise, extremes of temperature, etc.

� Chemical, e.g. lead, mercury, sulphuric acid, silica, cement dust, etc.

� Biological, e.g. hepatitis B virus (HBV), legionella bacteria (responsible for legionnaires’ disease), rabies virus, etc.

� Ergonomic, e.g. very repetitive movement, stooping, twisting, manual handling, etc.

� Psychological, e.g. stress and trauma.

Hazard Identification Methods

� Inspections – will identify existing hazards as well as new ones.

� Task analysis – finds hazards in each component step of the job.

� Legislation – legal standards that need to be applied.

� Manufacturer’s information – safe use, cleaning and maintenance.

� Incident data – a hazard may be significant but not yet have caused harm, so be unnoticed.



Step 2 – Identifying the People at Risk

Consider all people at risk - workers (operatives, cleaners, maintenance personnel, contractors); visitors and members of the public. Give special attention to lone workers, pregnant women, etc.

Step 3 – Evaluating the Risk and Deciding on Precautions

Risk evaluation aims to identify the likelihood of harm that will result from a hazard and its severity.

Ranking risks implies a certain amount of subjective judgment (qualitative) although it is possible to quantify risk (semi-quantitative) by using the formula:

Risk = Likelihood × Severity

It is not possible or practicable to eliminate all risk from the workplace. Residual risk is the risk that remains once controls have been put in place. Where risk is reduced to the lowest level that is reasonably practicable, it is deemed to be at an acceptable or tolerable level, although the level of acceptability will vary with the people who may be affected by the hazard.

If there are clear legal standards about the controls that should be applied to a particular hazard in a workplace, then they should be implemented. There may also be semi-legal codes of practice and guidance published by enforcement agencies available.

Generally, the higher the risk, the higher the priority for implementation of precautions.

Step 4 – Recording Significant Findings

There is no standard layout for recording findings but documents should describe the processes/activities assessed; identify any groups of workers at risk; evaluate the risks; identify the adequacy of existing controls and how any additional ones will be implemented; include the date of the next review and the name of the competent person carrying out the assessment.

Step 5 – Reviewing

The assessment will need to be reviewed when there are changes to the process or to personnel. It should also be monitored to ensure that the control measures are effective.



Factors that would require an automatic review might include:

� A change in legislation or control measures.

� Any significant change in work practices, processes or volume of production.

� Installation of new machinery and equipment.

� New information becoming available on the hazards or risks.

� Recurring accidents or patterns of ill health.

� Enforcement action.

� Results of monitoring (including health surveillance) or auditing.

� Employment of a category of personnel (disabled, etc.) not previously considered.

Special Cases and Vulnerable Workers

Some employees may be particularly vulnerable due to their age or physical attributes or condition.

Young persons may be: excluded from carrying out certain high-risk activities; have restricted work patterns; receive more intensive training and closer supervision.

Expectant and nursing mothers should not carry out certain duties that would place them or their baby at risk (i.e. ionising hazards) and should have a specific risk assessment on the hazards of their jobs.

Disabled workers should be able to integrate with other employees; specific arrangements may have to be made.

Lone workers should be fully competent and aware of hazards and risks associated with their duties. Ideally, there should be means of staying in contact with base. They may be at more risk of violence (e.g. if dealing with the public) or if they are injured or fall ill whilst working (e.g. confined space entry).



General Principles of PreventionThere are different ways of reducing or preventing risks:

� Avoiding risks wherever possible.

� Evaluating risks which cannot be avoided – through risk assessment.

� Controlling hazards at source.

� Adapting work and designing the workplace to meet the requirements of individuals.

� Adapting to technical progress.

� Replacing the dangerous with the non-dangerous or less dangerous.

� Developing a coherent overall prevention policy.

� Giving priority to collective protective measures over individual protective measures.

� Giving appropriate training, information and supervision to workers.

Collective and Individual Protective Measures

Collective protective measures are those that protect the whole workplace; individual ones protect single workers:

Safe place or environment – all measures have been taken to protect the workforce (i.e. access/egress; plant; processes; etc.).

Safe person – applies to an individual who has been trained and is following safe systems of work, including the use of PPE.

Categories and Features of Safety Signs

Safety signs combine shape, colour and pictorial symbols to convey specific health and safety information or instructions. Safety signs fall into five categories:

Prohibition – directed at stopping unsafe behaviour, i.e. ‘No Smoking’. Circular with a black pictogram on a white background with a red border and red diagonal cross bar.

Warning – telling people to take care in respect of certain hazards. Triangular with a black pictogram on a yellow background with a black border.

Mandatory action – instructing people to follow certain instructions such as the use of PPE. Circular with a solid blue background with a white pictogram.

Safe conditions – identifying safe behaviour or places of safety. Rectangular or square with a white pictogram on a green background.

Fire-fighting equipment – identifying particular types of equipment and their location. Rectangular or square with a white symbol or pictogram on a red background.



General Hierarchy of ControlWhile the best way of controlling risk is by avoiding the risk/eliminating what causes the hazard, this may not always be possible so there is a hierarchy of measures that can be taken to minimise the risk.

� Eliminate the hazard or substitute it for something less hazardous.

� Change work methods or patterns, reducing exposure.

� Isolate or segregate the risk at source.

� Use engineering controls that provide general rather than individual protection. Good design of controls that contain the hazard (i.e. guards, enclosures) and the inclusion of fail-safe devices will remove or reduce risks. Dilution and local exhaust ventilation systems will help reduce risks from airborne contaminants.

� Ensure safe systems of work.

� Provide training and information to all concerned.

� Use personal protective equipment.

� Provide welfare/monitoring/supervision.

Sources of Information on Health and SafetyExternal Data

� National and international standards.

� National legislation and regulations.

� Safety data sheets and maintenance manuals from manufacturers and suppliers.

� Information from trade journals, pressure groups and trade associations.

Internal Data

� Accident and medical records.

� Risk assessments.

� Inspection reports and audits/surveys, etc.



Safe Systems of WorkIf hazards cannot be physically eliminated and some risk remains, a safe system of work ensures that the tasks of a working process are formally analysed to identify all the hazards and define working methods which eliminate those hazards or minimise the associated risks.

A safe system of work is a formal procedure which must be followed at all times to work safely in relation to the hazards.

Employers have a duty to ensure the safety of their workforce by:

� Appointing competent persons with sufficient training and experience.

� Involving employees in the development and review of systems of work.

� Providing written procedures and instructions.

Implementing a hierarchy of controls such as:

� Technical controls – engineering controls applied directly to the hazard itself.

� Procedural controls specifying the way work should be carried out in relation to the hazard.

� Behavioural controls relating to safe practice of individual workers.

Developing a safe system of work involves:

� Analysing tasks, identifying hazards involved in the various tasks and assessing the risks.

� Introducing controls and formulating procedures.

� Instructing and training personnel in the use of the system.

� Monitoring and reviewing the system.

Examples of where safe systems of work are likely to be needed include:

� Working in confined spaces such as mines, tunnels and inside vessels.

� Lone working which involves workers who are geographically separated from their work colleagues and who might encounter increased risks in the course of their work because of the lack of assistance or the lack of facilities and warnings.

� Travelling and working abroad – precautions to control the security and health risks associated with international travel, including the establishment of company policy and specific arrangements for insurance, vaccination, training, advice and emergencies.



Permit-to-Work SystemsA permit-to-work system helps ensure that all necessary actions are taken before, during and after particularly hazardous operations, or in situations that are hazardous, or where the combination results in high risk.

Do not confuse a permit-to-work with a safe system of work – it is a formal clear written record of what work is to be done, the hazards, and what precautions are to be taken. It must be in the possession of the person in charge of the operation before work can begin.

Permits must specify the type of work and the location to which they refer. An effective permit-to-work system will have four main sections:

� Issue – defines the work, identifies the hazards, and determines the necessary precautions.

� Receipt – signed by workers to confirm they understand all the hazards, risks and precautions and will comply with control measures.

� Clearance/Return to Service – signed by workers to confirm the workplace has been left in a safe condition.

� Cancellation – authorising manager signs to accept the hand-back of the workplace.

� There may also be an Extension section in case of overrun of the work.

Permits will always be required for hazardous situations such as:

� Hot work – permits are concerned with preventing fires/explosions in relation to maintenance activities and other non-routine work involving burning, welding, use of a naked flame, etc.

� Work on electrical systems.

� Machinery maintenance.

� Confined spaces, where the implementation of risk assessments, (including safe systems of work), precautions, and emergency arrangements are needed to avoid risks such as asphyxiation from gas, fume, or vapour when working in confined spaces, e.g. storage tanks, silos, sewers, vats, ductwork.




1. (a) Explain the meaning of the word ‘risk’, and use an example to illustrate your explanation. (3 marks)

(b) Identify the five steps of the risk assessment process. (5 marks)

2. There are many factors that should be considered when selecting workers to help when carrying out risk assessments in the workplace. Outline the range of factors that should be considered. (8 marks)

3. (a) Explain the meaning of the phrase ‘near-miss’. (2 marks)

(b) Identify the groups of people that could be exposed to hazards created by work activities. (6 marks)

4. Long distance delivery drivers are exposed to a range of risks associated with their work. Outline the range of factors that should be considered when assessing these risks. (8 marks)

5. (a) Give TWO reasons why people who visit a workplace might be at greater risk of injury than the workers who work there. (2 marks)

(b) Outline typical precautions that should be taken to ensure the health and safety of such visitors. (6 marks)

6. Identify the ‘principles of prevention’ that should be used to eliminate or control unacceptable levels of risk identified through the risk assessment process. (8 marks)

7. Identify and describe FOUR standard types of internationally recognised safety sign. (8 marks)

8. Outline the four component parts of a safe system of work. (8 marks)

9. Identify the main parts of a permit-to-work system used as part of a safe system of work. (8 marks)

10. Identify FOUR typical work activities where a permit-to-work would be used to control the work and, in EACH case, give a reason why the use of a permit-to-work is necessary. (8 marks)



Long Questions

11. (a) Identify FOUR vulnerable groups of people at work that should be given special consideration and would require an individual risk assessment. In each case, give an explanation as to why an individual risk assessment is required. (8 marks)

(b) Outline the typical circumstances that would trigger the review of a general risk assessment. (6 marks)

(c) A risk assessment has to be ‘suitable and sufficient’. Explain what this phrase means. (6 marks)

12. (a) Identify the five steps of risk assessment and for EACH step explain what is involved. (10 marks)

(b) Outline a general ‘hierarchy of control measures’ that can be applied to a situation where risk has been identified. (10 marks)




1. (a) A simple definition of risk is ‘the likelihood of harm arising from workplace hazards’.

A fuller definition is ‘the likelihood that an unwanted event will occur and the possible severity in terms of injury or damage, should it occur’.

An example would be the likelihood of being harmed by tripping on a trailing cable in an office and the possible severity of the injury suffered.

Another example could be the likelihood of being struck in the eye if using a grinding wheel without the use of eye protection and/or machine guards and the severity of the possible penetrating eye injury suffered.

(b) The five steps of a risk assessment process are:

� Identify the hazards involved in the task.

� Identify the persons at risk.

� Evaluate the risk (severity × likelihood) and decide on precautions.

� Record findings and implement them.

� Review the assessment and update if necessary.

2. To help in carrying out risk assessments, individuals require:

� Experience and training in risk assessment processes.

� Experience of the process/task.

� Technical knowledge.

� Knowledge of local regulations.

� Communication and reporting skills.

� Attention to detail and thoroughness.

� Recommendations from managers, etc.

� Commitment and willingness to do a task.

� Awareness of their own limitations.



3. (a) An incident that has not resulted in injury or loss, but had the potential to be very serious.

(b) The following groups of people could be exposed to a workplace hazard:

� Operators.

� Maintenance staff.

� Cleaners.

� Contractors.

� Members of the public.

� Visitors.

� Young people.

� Pregnant women.

� Individuals with a disability.



4. This answer does not rely on simple regurgitation of facts straight from the notes, but on careful thought about the work situation in the question.

The answer should be structured under four headings: the job, the individual, the vehicle and the load. This is similar to the theories on human factors of job, individual and working environment. The environment in this case would be subdivided into vehicle and load.

Job factors should include:

� The time taken for the journey.

� Demands of the route (complexity, road conditions, etc.).

� Communications with home base.

� Security issues (including possibility of violence).

Individual factors relate to:

� Physical and psychological capabilities of the driver to cope with the job demands.

� The level of training given.

The vehicle:

� Ergonomic factors, such as design and layout of the driver’s cab

� Tail lifts (i.e. loading/unloading equipment).

The load:

� Nature of load (e.g. hazardous, heavy).

� Means of handling materials.

� Emergency equipment and procedures in place.

5. (a) There is a number of reasons to choose from in the first part of the question. Visitors may be exposed to additional risk because they may:

� Be unfamiliar with processes being carried out and the associated hazards and risks.

� Not have been issued with PPE as a visitor.

� Lack knowledge on site layout and pedestrian routes may be inadequate or not signed properly.

� Not have knowledge of emergency procedures.

� Be particularly vulnerable if they are young or disabled.



(b) Precautions to ensure the health and safety of visitors should include:

� Visitor identification by means of badges.

� A signing in and out routine.

� Prior notification of staff members involved in the visit.

� Provision of information to visitors on hazards and emergency procedures.

� An explanation of specific site rules (e.g. use of PPE).

� Clear marking of pedestrian routes.

� Visitors to be escorted by a manager or supervisory staff.

6. The key principles of prevention, to eliminate or control unacceptabe levels of risk are:

� Avoid risk – elimination.

� Evaluate risk that cannot be avoided.

� Combat risk at source.

� Adapt work requirements to individual needs.

� Adapt to technical progress.

� Substitution.

� Develop control measures.

� Prioritise collective protective measures.

� Provide information, instruction, training and supervision.

7. The types of international safety sign are:

� Prohibition – red and circular, with a black symbol.

� Fire-fighting – rectangular or square, with red being the dominant colour.

� Warning – triangular, with the dominant colours being yellow and black.

� Mandatory – blue and circular, with a white pictogram.

� Safe condition – rectangular or square, with a green and white symbol.

(Only four are required.)



8. The components of a safe system of work are:

� Materials.

� Equipment.

� Environment.

� People.

These come together to form a safe system of work with procedures, risk assessment, etc.

9. The main parts of a permit-to-work system are as follows:

� Description of task.

� Hazard identification.

� Planning – isolation and PPE.

� Issuing by an authorised person.

� Acceptance by a competent person.

� Task carried out.

� Permit cancelled.

� Plant returned to normal.

10. A permit-to-work would be appropriate in the following situations:

� Hot work – due to the risk of heat transfer, fire and explosion.

� Confined space – because of the restricted space, the lack of oxygen and the possibility of heat exhaustion.

� Work on live electricity – the hazards here are high.

� Maintenance work – due to the risk of machinery being started up while work is in progress.



Long Questions

11. (a) The following groups of people require an individual risk assessment:

� Young people – due to their inexperience or immaturity.

� Pregnant women – exposure to a hazardous substance could endanger the foetus.

� Disabled or vulnerable persons – hearing-impaired workers require a visual alarm system.

� Lone workers – because lone working can bring additional risks, e.g. confined spaces.

(b) A risk assessment would need to be reviewed following:

� A change in legislation.

� A change of control measures.

� A change in the process.

� The introduction of new technology.

(c) For a risk assessment to be “suitable and sufficient”:

� All hazards must be identified.

� Risk control measures must be in place.

� The control measures must be reliable.

� The risk assessment must remain current for a period of time.

12. (a) The following steps are required to carry out a risk assessment:

� Identify the hazards involved in the task.

� Identify the people at risk.

� Evaluate the risk (i.e. likelihood and severity) and decide on precautions.

� Record the findings and implement them.

� Review the assessment and update if necessary.

(This part of the question for ten marks is very similar to Question 1(b) which was for five marks and requires the candidate to “identify” the key steps. A much fuller answer would be required here as you are asked to “identify” and “explain”.)



(b) Where hazards have been identified, the following control measures can be applied:

� Eliminate the hazards.

� Reduce the risks by engineering means.

� Isolate or segregate employees from the hazard.

� Control the risk with safe systems of work, etc.

� Introduce policies, procedures and use of PPE.

� Discipline – monitor and review the process.





Element 5: Health and Safety Management Systems 4 - Measuring, Audit and Review

Active and Reactive MonitoringThere are two approaches to monitoring health and safety:

� Active monitoring that takes place before any event has happened.

� Reactive monitoring that takes place after, and in response to, an event.

Active Monitoring

Active monitoring involves systematic inspection of the workplace and existing safety measures to establish conformance with standards (good performance) and non-conformance (so that remedies can be implemented).

To actively monitor performance standards you have to identify the appropriate standard and what level of performance is acceptable.

Systematic inspections can focus on:

� Plant.

� Premises.

� People.

� Procedures.

An inspection could concentrate on one, several or all of these areas and systematic inspection regimes can be daily, weekly, monthly, 6-monthly, annual, etc.

Types of Active Monitoring

� Safety inspection – a visual inspection normally carried out with the aid of a checklist, looking at the control measures that are in place to control risk and ensuring that these control measures are being maintained. May be routine, statutory, periodic or pre-use.

� Safety sampling – an in-depth look at a representative sample only.

� Safety tour – a tour of the organisation, with a senior manager showing commitment to health and safety and with the focus on looking at safety standards generally and their implementation.

� Safety survey – a detailed look at the effectiveness of one particular issue or topic.



Reactive Monitoring

Reactive monitoring involves looking at accidents and other safety-related incidents to find out what went wrong and identify action to put it right so that there will be no recurrence.

Information about what has failed may come from:

� Data on accidents, incidents, ill health and near-misses; such data may be unreliable because it is based on historical information and may not reflect a true and accurate picture.

� Complaints or concerns voiced by the workforce through consultative channels and safety/worker representatives.

� Evidence from external agencies involving enforcement notices.

AuditingDefined as:

“The structured process of collecting independent information on the efficiency, effectiveness and reliability of the total health and safety management system and drawing up plans for corrective action.”

Scope and Purpose

The purpose of auditing is to monitor and assess the effectiveness of the health and safety management system, usually throughout the whole organisation, to ensure that:

� Appropriate management arrangements are in place.

� Adequate risk control systems exist, are implemented, and are consistent with the hazard profile of the organisation.

� Appropriate workplace precautions are in place.

� Critical feedback on the health and safety management system is provided so that appropriate follow-up action can be implemented.

Audits differ from workplace inspections in that they are generally undertaken by people outside the organisation who challenge whether the standards and procedures within the organisation are appropriate. Audits are planned in advance and may take several days to complete. They take place annually or even less frequently, whereas workplace inspections may be as frequent as weekly.



The Audit Process

The main stages of the audit process are:

� Pre-audit preparation, which involves gathering information and referring to company records and documents.

� The audit process, which involves collecting information about the health and safety systems in place and assessing their effectiveness.

� Feedback at the end of the audit (initially verbal), followed by a written report, usually recommending improvements and indicating priorities and timescales.

Responsibility for Audits

The responsibility for ensuring that audits are carried out effectively and that all key personnel are involved falls to senior management.

External versus Internal Audits

External consultants will generally be independent and will have knowledge and experience of other organisations as well as a flexible approach to the audit procedure. However, they may also be unfamiliar with the organisation’s line of work and will be expensive.

Using in-house teams will provide both continuity and cost effectiveness but may lead to subjective judgments.

Actions Taken Following Audits – Correcting Non-ConformitiesAfter the audit there may be a number of findings which require action, presented in the audit feedback and report. These may be classified according to their significance:

� Major non-conformance.

� Minor non-conformance.

� Observations.

The audit feedback session and report is usually presented to senior management for action and/or praise as required. This is a demonstration of leadership and in some cases a requirement in the standards which are being audited. The management team have the authority and resources to take action where required, and may also need to adjust the organisational goals and objectives.



Process and Purpose of Investigating IncidentsRole and Function of Investigation

Incidents, be they accidents resulting in loss, injury or death, or near-misses, should be investigated to find the cause and prevent a recurrence. Other possible reasons for investigating an accident are:

� To identify the immediate and root causes of the incident.

� To identify corrective action to prevent a recurrence.

� To record the facts of the incident.

� For legal reasons.

� For claim management.

� For staff morale.

� For disciplinary purposes.

� For data gathering purposes.

Most minor incidents can be investigated and resolved by the supervisor but more serious incidents may require the intervention of the safety or workers’ representative together with the management team.

Basic Investigation ProceduresStep 1: Gathering Information

� Secure the scene and collect witnesses’ details.

� Collect factual information, including physical layout, environmental conditions, etc. using plans, diagrams, measurements, photographs, etc.

� Interview witnesses.

� Examine appropriate documents, e.g. company policy, risk assessments, training records, maintenance records, etc.

Step 2: Analysing Information

It is necessary to draw conclusions about the immediate and root causes of the accident.

� Immediate causes are the unsafe acts on the part of the worker, e.g. walking through an oil spill, or unsafe conditions in the workplace, e.g. inadequate guarding.

� Underlying or root causes are the things that brought about the immediate causes, i.e. management system failure, lack of adequate supervision or training, lack of maintenance, etc.

� Some accidents will have one immediate cause and one underlying cause, but others are complex and have multiple causes.



Step 3: Identify Suitable Control Measures

This stage involves determining what should be done to prevent future incidents with similar underlying causes, such as:

� Improving safety and skills training.

� Improving management and supervisory control.

� Changing work practices and implementing a positive safety culture.

Step 4: Plan the Remedial Action

Usually in the form of an action plan which identifies priority, timescale and responsible persons.

Organisational Requirements for Recording and Reporting IncidentsRecording and Reporting Requirements

Workers normally report incidents to their immediate line manager verbally, followed by completion of an internal incident report form.

Organisations should define clearly the type of incident that has to be reported.

Workers should be encouraged to report all relevant incidents.

There are several reasons why workers might not report incidents:

� Unclear organisational policy.

� No reporting system in place.

� Overly-complicated reporting procedures.

� Excessive paperwork.

� Takes too much time.

� Blame culture.

� Apathy.

� Lack of training on policy and procedures.

Incident recording often involves completion of a standard accident record form or book. Typical contents:

� Name and address of casualty.

� Date and time of accident.

� Location of accident.

� Details of injury.

� Details of treatment given.



� Description of event causing injury.

� Details of any equipment or substances involved.

� Witnesses’ names and contact details.

� Details of person completing the record.

� Signatures.

Data Collection, Analysis and Communication

Information from incident records can be extracted and analysed to provide answers to questions such as:

� What is the trend in accident incidence rate over the last five years?

� What are the most common types of accident?

� What are the most common types of injury?

� Between what times of day do most accidents occur?

� Which part of the body is most frequently injured?

� Which department has the highest accident rate?

� What is the accident rate trend for a particular part of the organisation?

� Where do most accidents occur in the workplace?

Incident data and its interpretation will be of interest to:

� Directors – to update shareholders.

� Senior management – to develop policy and allocate resources.

� The health and safety committee – to help in improving the organisational strategy.

� Worker representatives – to help protect the interests of workers.

� Workers themselves.

Reporting Events to External AgenciesAll fatal accidents and certain diseases must be reported promptly to external agencies. ILO recommends a code of practice and set out reporting procedures in the Protocol to the Occupational Safety and Health Convention 1981 (P155) and Recommendation 194.

Lessons Learnt

One of the most important phases of incident reporting, recording and investigation is the action that is taken as a result. This is often published internally as “lessons learnt” so that improvements can be made as a result of the incident, and so that the organisation is seen to take such matters seriously. This should be carried out without breaching the confidentiality of the injured person.



Reviewing Health and Safety PerformancePurpose of Regular Reviews

The essence of the review process is to answer the questions:

� Are we on target?

� If not, why not?

� What do we have to change?

Records of routine performance review should be kept to demonstrate that these reviews are taking place. These records can themselves be used as a performance indicator and form a data source for the review process.

Routine performance reviews are sometimes required by a specific management standard (e.g. OHSAS 18001) and records of reviews may be mandatory to prove compliance with the standard.

Performance Indicators

� Accident and incident data.

� Inspections.

� Absence and sickness data.

� Safety surveys, tours and sampling.

� Audit reports.

� Achievement of objectives.

� Enforcement action.

� Previous management reviews.

Other sources, such as:

� Quality assurance reports.

� Complaints from workers.

� Communications and complaints from external sources.

� Changes in legal standards or best practice.

Performance indicators can be used to evaluate the performance of the organisation against the required standards. These standards might be legal or organisational.

Reporting on Performance

Line managers are often responsible for reporting on health and safety performance for the areas under their control. This creates ownership and raises the profile of health and safety. They may gather information and data themselves, or may rely to some degree on a safety specialist to provide that information.



Role of Senior Management

The board of directors/senior management will review health and safety performance across the entire organisation on a periodic basis. They may make a declaration or statement to stakeholders based on this review.

As a result of the review, senior management may reassess the policy statement and update it if required.

They should use the review process to prioritise and allocate resources. What are the new priorities for the organisation in light of the review? What resources need to be provided to allow these priorities to be achieved?

Continuous Improvement

Senior management set strategic targets.

Middle management review performance in the areas under their control and set targets to bring their area in line with the strategic targets.

Junior management review performance and set local targets that will collectively allow the strategic targets to be achieved.

This requires that health and safety reviews, at all levels, feed directly into action plans. These plans should identify the actions to be taken by responsible persons by appropriate deadlines. In this way, continuous improvement of health and safety performance can be achieved




1. The health and safety performance of an organisation can be assessed using proactive and reactive measures. Describe TWO proactive measures and TWO reactive measures. (8 marks)

2. Identify the written documents and records that are likely to be examined as a part of the health and safety audit of an organisation. (8 marks)

3. Identify the benefits AND limitations of using a checklist as an aid when carrying out a health and safety inspection of a workplace. (8 marks)

4. An organisation has noticed an increase in the number of absences due to upper limb disorder. Outline the internal sources of information that the employer could possibly consult when investigating this matter. (8 marks)

5. An accident has led to a serious injury at work. Outline the immediate and longer-term action that should be taken following this event. (8 marks)

6. Identify the information that should be recorded in an accident book or form following a work-related injury. (8 marks)

7. Explain FOUR of the most important reasons for carrying out an accident investigation. (8 marks)

8. Workplace accidents are sometimes investigated by an internal accident investigation team. Identify FOUR types of worker who might be considered a useful member of such a team, giving reasons in EACH case. (8 marks)



Long Questions

9. (a) Outline the key issues that have to be thought about when planning a safety tour in a workplace. (10 marks)

(b) Identify the information that should be included in a report written to record the findings of such a tour. (10 marks)

10. (a) Outline the issues that must be thought about during an investigation of a major accident in the workplace. (10 marks)

(b) Identify the information that should be recorded in an accident book or form following a major accident. (10 marks)


1. Measures that can be used in assessing the health and safety performance of an organisation:

Proactive Reactive

Audit Accident reports

Inspection Risk assessment review

Safety survey Damage reports

Safety tour Near-miss reports

Health surveillance Cost/time statistics

Benchmarking Records of ill health

Sampling

(Only two proactive and two reactive measures are required.)



2. The written information that may be examined as part of the audit is likely to include the following:

� A copy of the company Health and Safety Policy.

� The Safety Handbook or Procedures Manual.

� Details of written safe systems of work.

� Safety Committee minutes.

� Accident statistics.

� Investigation reports.

� Planned inspection reports.

� The first-aid book.

� Records of maintenance.

� A register of hazardous substances.

� Training records.

3. The benefits of using a checklist to complete an inspection include:

� Allowing for prior preparation and planning so that the inspection can be structured and systematic.

� Reducing the chance that important areas/issues may be missed.

� Providing an immediate record of findings.

� Enables a consistent approach by those carrying out the inspection.

� Providing an easy method for comparison and audit.

The limitations of using the checklist system may cause:

� Over-reliance on the checklist leading to a “blinkered” approach and the possibility that important risks might be missed.

� The checklist not to be reviewed and updates made when there are changes to work processes and equipment.

� Inspections to become strictly routine with no “follow-up” questions being asked.

� The system to be too objective and restrictive with no scope for including peripheral issues.

� Untrained people to be tempted to carry out inspections and the procedure could be affected by human error and/or abuse.



4. The possible sources of information that could be consulted:

� Absence records – show trends for causes of time off work.

� Accident, incident and ill-health records – also show ill health and accident trends.

� Any previous accident/ill-health investigation reports.

� Medical and/or occupational health reports – show personal details of evolving upper limb disorders.

� Display screen risk assessments – show if recommended ergonomic standards have been maintained.

� Training records – show whether staff are competent and have been trained in the proper use of equipment.

� Safety audit and inspection reports.

� Maintenance records – show if equipment is adequately maintained and kept in proper working order.

� Minutes of Safety Committee meetings – show if similar issues have been observed before or occur elsewhere in the organisation.

� Records of employee suggestions, complaints and staff hazard-reporting.

5. Following a serious injury at work, it is necessary to:

� Ensure first aid and follow-up treatment for the victim.

� Isolate the scene.

� Make the area safe.

� Inform the victim’s next of kin and provide counselling and support.

� Prepare an internal accident report.

� Report the accident externally.

� Identify witnesses.

� Set up an accident investigation team and investigate the accident.

� Determine direct and indirect causes.

� Make recommendations to prevent a recurrence – review and revise work procedures and risk assessment.

� Collate data.



6. Following a workplace accident, the following details should be recorded in the accident book/form:

� Name and address of the injured person.

� Date and time of the accident.

� Location of the accident.

� Causation of the accident.

� Nature of the accident.

� Name and address of the person completing the accident book.

7. The four most important reasons for carrying out an accident investigation are to:

� Establish the facts.

� Identify the immediate cause.

� Identify the root (underpinning) cause.

� Identify any remedial action required to prevent a recurrence.

8. Types of worker who may be useful members of an internal accident investigation team would be:

� A senior manager should be a team member because this demonstrates the commitment of management to carrying out the investigation. It also ensures a level of authority to carry out appropriate remedial action after the investigation is completed.

� A line manager or supervisor should be present as they are likely to be familiar with the working practices surrounding the accident.

� A safety adviser can give advice on legal aspects and would be familiar with the nature of the hazards, risks and control measures in place.

� A representative of employee safety (or safety representative) should be part of the team in order to represent the interests of employees/workers and to support staff during the official interviews of the investigation.

� A technical expert, such as an engineer, may sometimes be appropriate if specialist technical advice is required.



Long Questions

9. (a) When planning a safety tour of the workplace, the following factors should be considered:

� The reason for the tour, e.g. law requires it.

� The location or area.

� Date, time and duration.

� Tour members.

� Type, i.e. announced or unannounced.

� Method – checklist or observation.

� Results of previous tours.

� Remedial action and timescales.

� Company rules and standards.

(b) A report of a workplace inspection should include the following:

� Title.

� Introduction.

� Persons conducting the inspection.

� Summary of findings.

� Good and bad practices.

� Priority of corrective actions.

� Breaches of legislation.

� Cost implications.

� Photographs.

� Conclusion.

� Recommendations.



10. (a) During an investigation of a major accident in the workplace:

� Ensure appropriate first-aid treatment.

� Inform the next of kin.

� Isolate the area.

� Get the names of witnesses.

� Note the location and time of day.

� Note the weather conditions.

� Establish the facts and take photographs.

� Establish appropriate records, training, maintenance, etc.

� Set up an investigation team.

� Establish the root causes.

� Establish the immediate causes.

(b) An accident book should record:

� Name of the injured person.

� Address of the injured person.

� Date of birth of the injured person.

� A description of the injury.

� The first aid applied.

� Name of the first aider.

� Signature of the first aider.



And Finally…Hopefully, this Revision Guide has provided you with relevant practice questions as well as some ideas for tackling them. It should also have shown that the questions are straightforward, but that it is vital that you READ THE QUESTION and answer the question that is written (not the one that you want it to be!).

In order to do well in the exams, it is really important to practise as many exam questions as possible – the Examiner’s Reports for previous exams can be purchased from NEBOSH (+44(0)116 263 4700) or online at www.nebosh.org.uk. These Examiner’s Reports do not provide model answers, but nevertheless highlight important points that should have been included in your answer.

Lastly, don’t panic about the exam, but do ensure that you are prepared – you want to make sure that all your hard work will be rewarded.

Good luck!

Documents

Nebosh IGC1 Revision Guide PDF