NEBOSH INTERNATIONAL

DIPLOMA - UNIT ‘A’

“INTERNATIONAL
MANAGEMENT OF
HEALTH & SAFETY”
COURSE EXERCISES AND
ASSIGNMENTS
Table of Contents
Common Pitfalls .................................................................................................................................. 6
A1 PRINCIPLES OF HEALTH & SAFETY MANAGEMENT ................................................................. 8
Why Manage Health & Safety ............................................................................................................. 8
Costs Of Implementing Health & Safety .............................................................................................. 9
Functions of a Health & Safety Practitioner....................................................................................... 10
Health & Safety Practitioner – Developing & Evaluating Their Own Competence............................ 11
Competent Person ............................................................................................................................. 12
Safety & Workplace Safety Representatives ..................................................................................... 13
Health & Safety Policy – Sections – Organisation & Arrangements ................................................. 14
Development of Key Objectives Within the Policy Section of The H&S Management System ........ 15
Moving From HSG 65 To OHSAS 18001 .......................................................................................... 16
Moving From ILO OSH 2001 To OHSAS 18001 ............................................................................... 16
Health & Safety Policy Review .......................................................................................................... 17
Integrated Management Systems – Introducing or Retain Separate Management Systems ........... 18
A2 LOSS CAUSATION & INCIDENT INVESTIGATION ..................................................................... 20
Domino Theory .................................................................................................................................. 20
Accident Rates for Different Locations .............................................................................................. 21
Accident Notification & Accident & Incidence Rates ......................................................................... 22
Accident Investigation - Interviewing ................................................................................................. 24
Accident Investigation – Interviewing and Preparing Investigation Interviews .................................. 25
Accident Investigation – Forklift Injuring a Visiting Person ................................................................ 26
Failure Mode & Effects Analysis (FMEA) .......................................................................................... 28
FAilure Mode & Effects Analysis ....................................................................................................... 29
Cost Benefit Analysis ......................................................................................................................... 30
Fault Tree Analysis ............................................................................................................................ 31
Fault Tree Analysis ............................................................................................................................ 32
Fault Tree Analysis ............................................................................................................................ 34
Event Tree Analysis ........................................................................................................................... 35
Event Tree Analysis ........................................................................................................................... 37
Job Safety Analysis ........................................................................................................................... 39
The Purpose of Job Safety Analysis ................................................................................................. 39
Hazard & Operability Studies (HAZOP) ............................................................................................ 40
Bow Tie Analysis ............................................................................................................................... 41
A3 IDENTIFYING HAZARDS, ASSESSING & EVALUATING RISK .................................................. 42
Risk Management .............................................................................................................................. 42

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 Contractor Accidents ......................................................................................................................... 43
Contractor Selection and Control of Contractors .............................................................................. 44
Perception.......................................................................................................................................... 45
Event Tree Analysis ........................................................................................................................... 46
Sources of Information ...................................................................................................................... 48
Limitations of Accident & Ill-Health Reporting ................................................................................... 49
Qualitative and Quantitative Risk Assessment.................................................................................. 50
Risk Assessment Review .................................................................................................................. 51
Risk Assessment – Development of a Safe System of Work ............................................................ 52
A4 RISK CONTROL & EMERGENCY PLANNING ............................................................................. 53
Reliability of a Safety Critical System Ref a Single Component ....................................................... 53
Emergency Procedures & Arrangements .......................................................................................... 54
Chemical Plant – Near residential Area – Emergency Plan .............................................................. 55
ILO Convention 174 – Emergency Planning and Provision of Information To External Emergency
Services ............................................................................................................................................. 56
Permit to Work ................................................................................................................................... 57
Permit to Work - Mixing Vessel – Solvent ......................................................................................... 58
Permit to Work – Fuel Storage Tank ................................................................................................. 59
Safety Inspection Programmes ......................................................................................................... 60
Human Error ...................................................................................................................................... 61
Human Error and the of Relevance & Meaning of Ergonomics, Anthropometry and Task Analysis 62
Reducing Failure ............................................................................................................................... 63
Workplace Transport ......................................................................................................................... 64
A5 ORGANISATIONAL FACTORS ..................................................................................................... 65
External Influences on an Organisation – ILO – Codes of Practice & Labour Standards ................. 65
Ratified International Conventions and Recommendations .............................................................. 67
An Organisation as A System............................................................................................................ 68
External & Internal Influences ........................................................................................................... 69
The Individual & INfluencing behaviour ............................................................................................. 70
Establishing Effective Consultation Arrangements ........................................................................... 70
Consultation ....................................................................................................................................... 71
Formal & Informal Structures............................................................................................................. 72
Motivation .......................................................................................................................................... 73
Safety Culture – The Term ................................................................................................................ 74
Safety Culture Barriers ...................................................................................................................... 74
Role of the Organisation in Developing a Positive Health and Safety Culture and Measuring it’s
Effectiveness ..................................................................................................................................... 75

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 Effective Consultation – Reasons for it ............................................................................................. 76
Effective Consultation ........................................................................................................................ 77
Co-operation ...................................................................................................................................... 77
Violations ........................................................................................................................................... 78
Routine; Situational And Exceptional Violations - Explain ................................................................ 78
Culture & the Link to Violations ......................................................................................................... 78
Control Of Contractors ....................................................................................................................... 79
Consultation ....................................................................................................................................... 80
A6 HUMAN FACTORS ......................................................................................................................... 81
Perception.......................................................................................................................................... 81
Skill Based Behaviour........................................................................................................................ 82
Rule Based Behaviour ....................................................................................................................... 83
Attitude – The Influence of the Media ................................................................................................ 84
Knowledge Based Behaviour ............................................................................................................ 84
Safety Incentive Schemes ................................................................................................................. 85
Introducing Change ........................................................................................................................... 86
Organisational Change and Negative Health and Safety Culture ..................................................... 87
Introducing Change – New, Safer System of Work ........................................................................... 88
Human Error & Fatigue...................................................................................................................... 89
Human Error ...................................................................................................................................... 90
Human Error / Failure ........................................................................................................................ 91
Communication .................................................................................................................................. 92
A7 PRINCIPLES OF HEALTH & SAFETY LAW ................................................................................. 93
Prescriptive Legislation ...................................................................................................................... 93
Health & Safety Legislation in the Workplace & Its Limitations ......................................................... 93
Goal Setting Legislation..................................................................................................................... 94
Contracts - Legally Enforceable Contract .......................................................................................... 95
Contract Terms – Express & Implied ................................................................................................. 96
Common Duty of Care ....................................................................................................................... 97
Absolute & Practicable ...................................................................................................................... 98
Punitative Damages – Compensation Award and to Whom Paid ..................................................... 98
No Fault Liability and Breach of Duty of CAre ................................................................................... 99
Corporate Probation, Adverse Publicity Orders & Punitive Damages ............................................ 100
Reporting Of Occupational Diseases .............................................................................................. 101
Self-Regulation ................................................................................................................................ 102
Claiming Compensation .................................................................................................................. 103

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 Civil Law – Injury to a Child – Construction Site.............................................................................. 104
Civil Liability Defences ..................................................................................................................... 104
Vicarious Liability ............................................................................................................................. 106
Powers Of Inspectors ...................................................................................................................... 107
Enforcement Notices ....................................................................................................................... 109
Self Regulation ................................................................................................................................ 109
How the ILO Can Influence Health and Safety Standards .............................................................. 110
How CAn Legislation Improve Health and Safety? ......................................................................... 110
A8 MEASURING AND REGULATING HEALTH AND SAFETY PERFORMANCE .......................... 111
Influences of Bodies Regulating Health and Safety Performance .................................................. 111
Demonstrating Compliand With OHSAS 18001 .............................................................................. 112
Information Provision to External Bodies ........................................................................................ 113
Reporting Accidents – Trends ......................................................................................................... 114
Measuring Health & Safety Performance ........................................................................................ 114
Proactive (Active) Monitoring........................................................................................................... 115
Reactive Monitoring ......................................................................................................................... 115
Benefits of Active and Reactive Monitoring ..................................................................................... 116
Objectives of Active and Reactive Health and Safety Monitoring ................................................... 117
Benchmarking .................................................................................................................................. 117
Auditing – Developing & Introducing an In-House Programme....................................................... 118
Introducing an In-House Auditing Programme – Organisational & Planning Issues ....................... 119
Insured & Uninsured Costs.............................................................................................................. 120
Accident Incident Rates ................................................................................................................... 121
Accident Numbers & Safety Performance ....................................................................................... 122

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 COMMON PITFALLS

Below are comments taken from NEBOSH International Diploma Examiners Reports and all
our Delegates are reminded that these points are very important to understand and address
during the examination.
It is recognised that many candidates are well prepared for their assessments. However, recurrent
issues, as outlined below, continue to prevent some candidates reaching their full potential in the
assessment.
 Many candidates fail to apply the basic principles of examination technique and for some
candidates this means the difference between a pass and a referral.
 In some instances, candidates are failing because they do not attempt all the required questions
or are failing to provide complete answers.
Candidates are advised to always attempt an answer to a compulsory question, even when the
mind goes blank. Applying basic health and safety management principles can generate credit
worthy points.
 Some candidates fail to answer the question set and instead provide information that may be
relevant to the topic but is irrelevant to the question and cannot therefore be awarded marks.
 Many candidates fail to apply the command words (also known as action verbs, e.g. describe,
outline, etc.)
Command words are the instructions that guide the candidate on the depth of answer required. If,
for instance, a question asks the candidate to ‘describe’ something, then few marks will be
awarded to an answer that is an outline.
 Some candidates fail to separate their answers into the different sub-sections of the questions.
These candidates could gain marks for the different sections if they clearly indicated which part of
the question they were answering (by using the numbering from the question in their answer, for
example).
Structuring their answers to address the different parts of the question can also help in logically
drawing out the points to be made in response.
 Candidates need to plan their time effectively.
Some candidates fail to make good use of their time and give excessive detail in some answers
leaving insufficient time to address all of the questions.
 Candidates should also be aware that Examiners cannot award marks if handwriting is illegible.
 The International Diploma in Health and Safety is taught and examined in English. Candidates are
therefore expected to have a good command of both written and spoken English including
technical and scientific vocabulary.
The recommended standard expected of candidates is equivalent to the International English
Language Testing System (IELTS) level 7 (very good user).
It is evident from a number of scripts that there are candidates attempting the examination without
the necessary English language skills.

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A1 PRINCIPLES OF HEALTH & SAFETY MANAGEMENT
WHY MANAGE HEALTH & SAFETY

For the benefit of your organisations senior management you are required to write an outline of the
benefits of improving its health and safety performance.
It would be a good start to this answer by categorising the benefits to an organisation under
the headings of legal, economic and humane (moral):
Legal
 The avoidance of enforcement notices
 The avoidance of prosecutions
 The avoidance of civil claims arising from the breaches of providing a duty of care
Economic
 The avoidance of lost production
 The avoidance of damage to plant and equipment
 A reduction in absenteeism
 Improved product quality
 The avoidance of retraining costs
 The avoidance of the need to hire additional equipment
 Increased insurance premiums if failures arise
 The maintenance of a good company image and reputation
Humane
Benefits here would include:
 The reduction in the pain and suffering to employees as a result of accidents
 A highly motivated workforce
 A committed workforce

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 COSTS OF IMPLEMENTING HEALTH & SAFETY

Some organisations sometimes fail to implement good health and safety standards because they
believe that the costs of implementation will outweigh any financial benefits and as a consequence
reduce profitability.
Explain why such organisations often identify that costs of health and safety control measures much
better than they identify the financial losses that can arise from poor health and safety standards.
In an answer to this question you would be expected to refer to the relative ease with which
capital and running costs of providing control measures can be quantified.
These are generally immediate and therefore easily visible.
On the other hand, the financial losses arising from poor health and safety standards are
much harder to identify for a number of reasons, such as:
 Difficulty in defining the scope and minimum level of incident to be costed
 Problems of under reporting / recoding
 The savings gained in terms of a reduction in accidents and incidents are not immediate
but generally medium to long term
 The costs of accidents and cases of ill-health are not fully understood and there is no
adequate procedure in place to collect such costs, either because of the lack of relevant
expertise or because of the time needed to collect such information
 As a result of the difficulty in assessing the realistic cost of matters such as the cost of
productivity and of reputation good will
 The time and resources required to collect data and to undertake the costing and the tong
time delay associated with some costs such as compensation
With all questions you are advised to read the question thoroughly, and answer the question
asked – this seems obvious but here a number of people tend to focus on the costs of
accidents without attempting to explain why they were difficult to identify.

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 FUNCTIONS OF A HEALTH & SAFETY PRACTITIONER

Describe, using appropriate examples, the possible functions of a health and safety practitioner within
a medium-sized organisation.
In answering this question, Examiners are looking to candidates to highlight the key functions
of the role of a health and safety practitioner in a medium size organisation such as
 Helping to develop, implement and revise health and safety policies;
 Giving advice on risks in the workplace and the appropriate control measures to be adopted;
 Drawing up procedures for vetting the design and commissioning of new plant and machinery;
 Assisting management in setting performance standards and carrying out proactive and
reactive monitoring;
 Advising management on the requirements of health and safety legislation;
 Organising and reviewing emergency procedures;
 Promoting a positive health and safety culture within the organisation;
 Investigating accidents and cases of ill-health;
 Carrying out or assisting in the audit of the health and safety management system;
 Liaising with enforcement authorities and
 Maintaining health and safety information systems.

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 HEALTH & SAFETY PRACTITIONER – DEVELOPING & EVALUATING THEIR OWN
COMPETENCE

Outline ways in which a health and safety practitioner could evaluate and develop their own
competence
The above points may well be used in answering a question relating to how a health and safety
practitioner could evaluate and develop their own competence whilst working in an advisory
role.
As a delegate you would be expected to be able to achieve the above tasks and determine
their success (evaluate) and thus revise them accordingly.
Health and safety practitioners might evaluate their own practice in a number of ways
including
 Measuring the effects of changes and developments they have introduced and
implemented in their organisations;
 By setting personal objectives and targets and assessing their performance against them;
 By reviewing failures or unsuccessful attempts to produce change;
 By benchmarking their practice against that of other practitioners and against good
practice case studies or information;
 By seeking advice from other competent professionals;
 By seeking feedback from others in the organisation and as part of the annual appraisal of
their performance by senior management.
 They may develop their practice by augmenting their core knowledge and competence in
obtaining a recognised professional qualification;
 By keeping up to date by undertaking training in relevant areas;
 By participating in continuing professional development schemes;
 By ensuring they have access to suitable information sources to maintain the currency of
their knowledge and good practice;
 By networking with their peers at safety groups and conferences;
 By seeking advice from other competent practitioners

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 COMPETENT PERSON

As a safety adviser in industry you have been asked to give a lecture on health and safety at your
local college to a group of students who are studying for a basic management qualification.
When you open the session to questions, the first student who raises his hand wants to know the
definition of ‘’competent person’’, a term he has come across in a textbook.
What would your answer be?
A competent person can have several definitions depending on the context of the question
and if you wish to look at any specific legislation.
Competent Person 1 (Noise Bias):
A person with sufficient knowledge and experience to undertake a noise assessment.
One who has the ability to work unsupervised and has a good understanding and practical
experience of what information needs to be obtained, how to use and look after the
instruments involved and how to present the information in an intelligible manner. (UK Noise
at Work Regulations
Competent Person (Management Regulations Bias) 2:
One who has sufficient training and experience or knowledge and other qualities to be able to
assist the employer in discharging the statutory duties imposed (UK MHSW Reg 6).
Competent Person (Lifting Operations Bias) 3:
Definitions are extended to include technical knowledge …. to prevent danger (UK EAWR),
practical and theoretical knowledge and experience (UK LOLER).

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 SAFETY & WORKPLACE SAFETY REPRESENTATIVES

Your company has for many years had workplace safety representatives and a safety committee;
everyone has always worked well together to achieve the safest possible work environment for all.
The company has just been taken over by a large American company, and three US executives have
come to spend a week finding out about all that goes on in the company.
They want to know full details on
1. What / who are ‘Safety Representatives’ and how are they appointed,
2. What are the functions of these representatives
Give them all the information they need in writing.
A safety representative is a worker representative appointed by a recognised trades union in a
workplace who has rights to perform statutory functions such as inspections, accident
investigation, attend safety committee etc (UK Safety Representatives and Safety Committees
Regulations). See also Representative of Employee Safety.
On the other hand if a trade union was not in place then there may well be a person known as
a Representative of Employee Safety. This is a person elected to represent fellow employees
for the purposes of consultation with the employer in matters of health and safety. Statutory
provisions are housed in the UK Health and Safety (Consultation with Employees)
Regulations.
Both of the above references relate to the UK, but the ILO have similar wordings for such
responsible people.
The appointment of Trade Union Appointed Safety Representatives - Normally, recognised
trade unions will appoint representatives to represent a group or groups of workers of a class
for which the union has negotiating rights. The limitation of representation to a particular
group or groups should not, however, be regarded as a hindrance to the raising by that
representative of general matters affecting the health and safety of employees as a whole.
The functions of safety representatives are fairly extensive. Under UK regulations these
include:
a. To investigate potential hazards and dangerous occurrences at the workplace (whether or
not they are drawn to his attention by the employees he represents) and to examine the
causes of accidents at the workplace;
b. To investigate complaints by any employee he represents relating to that employee's
health, safety or welfare at work;
c. To make representations to the employer on matters arising out of sub-paragraphs (a) and
(b) above;
d. To make representations to the employer on general matters affecting the health, safety or
welfare at work of the employees at the workplace;
e. To carry out workplace inspections in accordance to regulations;
f. To represent the employees he was appointed to represent in consultations at the
workplace with inspectors of the health and safety executive and of any other enforcing
authority;
g. To receive information from enforcing authority inspectors, and
h. To attend meetings of safety committees in his capacity as a safety representative in
connection with any of the above functions;

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 HEALTH & SAFETY POLICY – SECTIONS – ORGANISATION & ARRANGEMENTS

(a) Outline the purpose of the ‘organisation’ and ‘arrangements’ sections of a health and safety
policy.
(b) Outline why it is important that all workers are aware of their roles and responsibilities for health
and safety in an organisation.
(c) Identify the issues that could be included in the ‘arrangements’ section of an organisation’s
health and safety policy giving an example in EACH case.
Part (a)
The purpose of the organisation section of a health and safety policy is to identify health and
safety responsibilities within the company and ensure effective delegation and reporting lines.
The purpose of the section on arrangements is to set out in detail the specific systems and
procedures that aim to assist in the implementation of the general policy.
For part (b), making all persons in an organisation aware of their roles for health and safety
will assist in defining their individual responsibilities and will indicate the commitment and
leadership of senior management.
A clear delegation of duties will assist in sharing out the health and safety workload, will
ensure contributions from different levels and jobs, will help to set up clear lines of reporting
and communication and will assist in defining individual competencies and training needs
particularly for specific roles such as first aid and fire.
Finally, making individuals aware of their own roles and responsibilities can increase their
motivation and help to improve morale throughout the organisation.
In part (c), candidates should identify issues including
 Safe systems of work such as permit to work procedures; arrangements for carrying out
risk assessments;
 Controlling exposure to specific hazards for example noise, radiation and manual
handling;
 Monitoring standards of health and safety in the organisation by means of safety tours,
inspections and audits;
 The use of personal protective equipment such as harnesses and RPE;
 Arrangements for reporting accidents and unsafe conditions;
 Procedures for controlling and supervising contractors and visitors;
 Arrangements for maintenance whether routine or planned preventative;
 Welfare arrangements such as the provision of washing facilities;
 Procedures for dealing with emergencies such as fire, flooding and bomb threats;
 The provision of safety training;
 Arrangements for consultation with the workforce through safety representatives or safety
committees; and
 Environmental control including noise monitoring and the disposal of waste.

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 DEVELOPMENT OF KEY OBJECTIVES WITHIN THE POLICY SECTION OF THE H&S
MANAGEMENT SYSTEM

a) Outline the requirements for the development of and key objectives within the policy section of a
health and safety management system such as that detailed in the ILO- OSH-2001 Guidelines on
Occupational Health and Safety Management Systems.
b)
(i) Describe how the effectiveness of a health and safety management system could be
measured.
(ii) Giving an example in EACH case, outline the format in which the data gathered on health
and safety performance could be presented clearly in a company annual report.
Part a)
The policy section of a health and safety management system should, following consultation
with workers and their representatives, set out in writing a policy which should be specific to
the organisation, appropriate to its size and the nature of its activities and be concise, clearly
written and dated and made effective by the signature or endorsement of the employer or the
most senior accountable person in the organisation.
The policy should be communicated and made readily accessible to all persons at their place
of work, reviewed for continuing suitability and revised when seen to be necessary.
Additionally it should be made available to relevant external interested parties as appropriate.
The key objectives of the policy should be to protect the safety and health of all members of
the organisation by preventing work related injuries, ill-health, diseases and incidents and
these would be achieved by complying with relevant occupational health and safety national
laws and regulations, voluntary programmes, collective agreements on occupational safety
and health and other requirements to which the organisation subscribes. Achievement of the
objectives would also be aided by ensuring that workers and their representatives are
consulted and encouraged to participate actively in all elements of the organisation’s
occupational safety and health management system with the aim of securing a continual
improvement in the standard of the system.
This was not a popular question and attracted few reasonable answers with not many
candidates seeming to understand what ILO-OSH-2001 was or what it required. Most based
their responses on either HSG65 or the components of a health and safety policy which was
not relevant.
Part (b)
The effectiveness of a health and safety management system might be measured both by
proactive and reactive measures.
Proactive measures of performance involve carrying out activities such as safety inspections,
tours and audits while reactive measures embrace amongst others the investigation of
accidents and cases of ill-health and the preparation of incident rates.
Data gathered on health and safety could be presented in a company annual report by
graphical representations such as pie charts and histograms displaying accident statistics;
tabular numerical representations such as for example the number of risk assessments
completed; and textual representations with brief summaries of departmental initiatives and
case studies.
Whilst there was the occasional reference to pie charts, very few managed to convince the
Examiners that they had a good grasp of graphical, tabular and textual representations.

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 MOVING FROM HSG 65 TO OHSAS 18001

An organisation is proposing to move from a health and safety management system based on the
UK’s HSE’s HSG65 model to one that aligns itself with OHSAS 18001.
Outline the possible benefits and disadvantages of such a move.
Read the question carefully and answer what is being asked.
You need to outline the benefits and disadvantages of the move. You are not being asked for
the components of the systems
The outline of benefits would have had comments centred around:
 Publicity value
 Improved customer perception
 International recognition
 A clearer standard of benchmarking
 A commitment to continual improvement
 External registration and independent external assessment would be available
 A more prescriptive system is easier to assess
Examples of possible disadvantages would have included words centred on:
 Would the enforcing authorities actually audit an organisation against OHSAS 18001 rather
than HSG 65 as much of the guidance (in the UK) is based on HSG65
 There would be a direct cost in changing to the OHSAS 18001 system
 The time required to develop and manage the OHSAS system
 The cost of external registration
 The likelihood of increased paperwork to satisfy the assessors
 The model may be too sophisticated for a small to medium sized enterprise
 Since the 18001 system is often used alongside the other ISO standards (14001, 9001)
there is a possibility that those auditing may not be health and safety specialists.
An alternative question could be:

MOVING FROM ILO OSH 2001 TO OHSAS 18001

An organisation is proposing to move from a health and safety management system based on the
International Labour Organisation ILO OSH 2001 model to one that aligns itself with BS OHSAS
18001.
Outline the possible advantages AND disadvantages of such a change.
Here the answer would be quite similar to the above.

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 HEALTH & SAFETY POLICY REVIEW

Your organisation has had its existing health and safety policy in place now for nearly eight years. It
was initially written when the size of your organisations was relatively small to that which it is today.
Technology has moved on and so have the majority of work procedures.
Explain to your management why it is necessary to review the content of this document, using
practical examples where possible.
In the response to this question you would be expected to refer to circumstances such as:
 Changes in the law
 Changes to the structure of the organisation
 The introduction of new processes
 The introduction of new technology
 The introduction of new work practices
 The identification of additional hazards
 On the receipt of professional advice
 Where incidents or the results of monitoring suggest that there are deficiencies in the
current arrangements
 In recognition of the passage of time

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 INTEGRATED MANAGEMENT SYSTEMS – INTRODUCING OR RETAIN SEPARATE
MANAGEMENT SYSTEMS

The business in which you are engaged as a health and safety practitioner presently operates
separate management systems for health and safety, environment and quality.
Your organisation has been given the options to retain these individual management systems or
integrate them.
Your management have asked you to explain to them the key benefits of:
1. Introducing an integrated system
2. Retaining the existing system of separate management systems
This type of situation is faced by many health and safety practitioners at some time in their
career and as such practitioners should be duly prepared.
The benefits of an integrated management system could include:
 Consistency of format
 Lower overall cost through the avoidance of duplication in:
o Procedural
o Record keeping
o Compliance auditing
o Software
 Encouraging priorities and resource utilisation that reflects the overall needs of the
organisation rather than individual disciplines
 Applying the benefits from good initiatives in one area to other areas
 Encouraging closer working and equal influence amongst specialists
 Encouraging the spread of a positive culture across the three disciplines
 Providing the scope for further integration of other risk areas such as security or product
safety.
The benefits from retaining separate systems could include:
 Providing a more flexible approach tailored to business needs in terms of system
complexity and operating philosophy i.e. safety standards must meet minimum legal
requirements whereas quality standards can be set internally, therefore the need for a
more complex system in one element may not be mirrored by a similar need in the other
two elements
 Existing systems may work well and the process of integration may expend unnecessary
resources and affect their effectiveness
 Separate systems might be clearer for external stakeholders or regulators to understand
and work with
 The may encourage more detailed and focused approach to auditing and standards.

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A2 LOSS CAUSATION & INCIDENT INVESTIGATION
DOMINO THEORY

Your Managing Director recently attended a seminar of health and safety as this is a subject that he is
becoming increasingly interested in.
During the seminar one speaker made reference to accident causation and in particular the ‘Domino
Theory’, your MD did not fully understand these terms.
In a note to your MD explain how the ‘domino theory’ of accident causation as developed by Bird and
Lofthouse, could be used to structure an investigation of a typical workplace accident.
The domino theories of accident causations are based around the thought that a series of
events happen in sequence, all leading to the final incident. If one of these events is removed
‘one of the dominos in a row’ then the final event or incident will not happen.
This theory is useful in investigating accidents where the key stages leading up to the event
can be identified. It is a simple way of visualising what has happened in defined steps.
Once the steps have been identified the measures can be put in place to remove steps from
the sequence and so preventing the incident happening again.
The process / theory is extremely useful in a clear set of events that happen in sequence,
however it is limited and cannot cope with incidents that have multiple root causes and
multiple sequences of events. Multi-Causality theories are more adapt to these.

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 ACCIDENT RATES FOR DIFFERENT LOCATIONS

You are a safety manager responsible for two sites. You discover that the accident rate of two
different locations of similar size and producing identical products were found to differ.
Explain possible reasons for this difference in a memo to your Senior Management team.
Here - for a reasonable response you would need to consider real differences in terms of
health and safety issues and apparent differences.
You would also be expected to have suggested additional reasons such as:
 That recognition of reportable accidents may differ from company to company;
 That there may be differences in levels of reporting and recording accidents;
 That the definitions of the accident rate may be different or misinterpreted;
 That there may be differing means of calculating rates;
 That there could be management issues such as a difference in the level of commitment;
 Differences in workplace layout
 The age of equipment used
 The type of equipment used
 That recognition of reportable accidents may differ from company to company;
 That policies and procedures such as monitoring may be different
 That disciplinary procedures for non-compliance by workers may vary.
 Risk control issues such as the adequacy of risk assessments and the associated control
measures,
 The existence of safe systems of work and procedures for the use
 Maintenance of personal protective equipment;
 Issues connected with production such as piece work and shift work and the winning of
bonus payments which could lead to the taking of risks;
 Cultural issues such as the attitude, motivation and behaviour of individuals and the effect
that peer pressure might have on health and safety culture within the organisation.
 Human resources issues surrounding the workforce such as
o Staff selection
o Training
o Competence
 Levels of staff communication and consultation with the workforce

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 ACCIDENT NOTIFICATION & ACCIDENT & INCIDENCE RATES

The employer should set up appropriate arrangements to notify occupational accidents, occupational
diseases, dangerous occurrences and commuting accidents to the competent authority in accordance
with national laws.
(a) Outline appropriate arrangements which the employer should have in place for notifying such
events.
(b) The following information is from a company's annual report:
The company has done much better at health and safety in the last year compared to previous years.
The significant reduction in accidents and fatalities shown in the table below is due to our new health
and safety advisor and a reduction in staff numbers.
The management team are confident of further reductions in the following year.

Year Accidents Staff Numbers Fatalities

2006 240 1500 ?

2007 185 1400 ?

2008 180 1300 11

2009 170 900 4

I. Calculate the accident incidence rates AND comment on the findings.

II. Assess the company's management of health and safety from the information in the annual
report.
Part a)
The employer should first identify a competent person who will be responsible for reporting
accidents and other reportable events to the competent authority.
If the workplace is shared, an agreement will need to be reached on who accepts the
responsibility for reporting.
All reported incidents should be investigated again by a competent person and information on
all accidents provided to the workers.
Workers will have to be informed of the system that is adopted and what is expected of them
and their cooperation ensured.
Records should be kept of any incident that occurs and these should be easily retrievable
though the medical confidentiality of individuals will have to be respected.
Part (b)(i),
In calculating the accident incidence rates from the information given, divide the number of
accidents that occurred by the number of persons employed and then multiplied the answers
by a common and appropriate multiplier (in this case 1000 workers). The rates would thus
appear as follows:
Continued….

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2006: (240/1500) x 1000 = 160
2007 (185/1400) x 1000 = 132
2008 (180/1300) x 1000 = 138
2009 (170/900) x 1000 = 188
Whilst the number of accidents decreased between 2006 and 2009 so did the number of
workers but in 2009 there was a rise in the incidence rate.
Part b ii)
The annual report was expressed in very general terms, gave no commitment to the
management of health and safety and lacked detail both on the causes of the accidents and on
the safety management systems in place.
The fatality rate seemed to be tolerated and accepted and the company expressed no remorse
about their accident performance.
Whilst the directors might be confident that further reductions in the number of accidents
would occur, apparently ignoring the rise in the incidence rate, they gave no indication of how
this would occur.

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 ACCIDENT INVESTIGATION - INTERVIEWING

As part of the health and safety practitioners role there is at times a need to undertake witness
interviews.
Such interviews form an important part of the information gathering element of an accident
investigation.
Outline in a brief report those elements of good practice interview technique that would help to obtain
the best quality of information from witnesses to an accident situation.
This situation was about determining your understanding of interviewing technique.
To gain reasonable marks you would be advised to approach the question in a methodical
way, starting with:
 The need to interview as soon as possible after the event
 Interviewing one witness at a time
 Putting the witness at ease
 Explaining the purpose of the interview
 The need for recording comments made
 Using appropriate questioning techniques to establish key facts
 Adjust language to suit the witness
 Listening to the witness without interruptions
 Clarifying what was actually witnessed as opposed to deduced
 Inviting the witness to have someone accompany them
 Summarising
 Checking agreement at the end of the interview
 Showing appreciation at the end of the interview

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 ACCIDENT INVESTIGATION – INTERVIEWING AND PREPARING INVESTIGATION
INTERVIEWS

a. Giving reasons in EACH case, identify FIVE persons` who could be interviewed to provide
information for an investigation into a workplace accident.
b. Outline the issues to consider when preparing the accident investigation interviews for workers
from within the organisation.
Part a),
Five persons who could be interviewed and would be able to provide information for the
investigation of a workplace accident and reasons for the choice include:
1. The injured person who would be able to relate what happened;
2. An eye witness or the first person on the scene who might have observed what happened;
3. The first aid person who attended to the injured party at the scene of the accident with
respect to the injuries received;
4. The injured person’s manager and/or supervisor who would have knowledge of the
process involved, the existing safe systems of work, the procedures that should have been
followed and the training and instruction that had been given to the victim;
5. A technical expert with specialist knowledge of the process or machine involved;
6. A trade union representative who would have knowledge of any previous complaints or
incidents associated with the machine or process; and
7. The safety advisor who would be fully briefed on the systems of work that should have
been followed and any possible breaches of the legislation.
Part b),
The important issues to be considered would be
the need to carry out the investigation interviews as soon as possible after the event though it
may be necessary to postpone the process if the witness is injured or in shock.
A suitable date would have to be provided taking into account the availability of the people to
be called since shift patterns might have a part to play.
That done, the next step would be to identify the interviewers, to consider where the interviews
would be held and how they would be recorded whether by tape recorder, by Dictaphone or
hand written and to gather together any relevant documentation such as risk assessments or
training records.
It would also be important to bear in mind the requirements of employment law and trade
union issues such as employee rights, the right to be accompanied or to have legal
representation.
Finally consideration would have to be given to the format and distribution of the final
accident report and how the information gathered might be used to introduce measures to
prevent a recurrence or as a possible defence in any possible prosecution or civil law suit.

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 ACCIDENT INVESTIGATION – FORKLIFT INJURING A VISITING PERSON

A forklift truck is used to move palletised goods in a large distribution warehouse. On one particular
occasion the truck skidded on a patch of oil.
As a consequence the truck collided with an unaccompanied visitor and crushed the visitor's leg.
a) State, with reasons, why the accident should be investigated.
b) Outline the actions which should be followed in order to collect evidence for an investigation of
the accident. Assume that the initial responses of reporting and securing the scene of the
accident have been carried out.
c) Describe factors which should be considered in analysis of the information gathered in the
evidence collection.
d) Identify the possible underlying causes
This question is a popular choice with candidates, not unexpectedly considering most Health
and Safety Practitioners are involved in accident investigation at some time in their careers.
Although some candidates want to use the exercise as an opportunity to apportion blame they
should note that the apportionment of blame for the sake of it can damage the organisation's
safety culture.
Part a)
There are many other reasons for investigating accidents and most candidates are able to identify
reasons such as:
 To identify its causes (immediate and underlying),
 To prevent a recurrence,
 To assess compliance with legal requirements,
 To demonstrate management's commitment to health and safety and
 To obtain information and evidence for use in the event of any subsequent civil claim.
 The investigation could provide useful information for the costing of accidents and in
identifying trends – this view, if stated could add to marks.
Part (b) is generally well answered with responses set out in a realistic chronological order:
 Taking photographs, sketches and measuring relevant parts of the accident scene before
anything is disturbed, obtaining any CCTV footage available;
 To examining the condition of the fork lift truck;
 Determining its speed at the time of the accident;
 The loads carried, the safe working load of the truck and any forward visibility issues with the
load in place;
 The reasons for the oil spillage; emergency spillage procedures in place and the reasons why
they were not followed on this occasion;
 The failure to follow laid down operating procedures;
 The competence of the fork lift truck driver and examining the workplace to determine any
contributing environmental factors such as the condition of the floor and the standard of
lighting;
 Interviewing relevant persons such as the visitor (where this is possible), the reception
personnel (to identify working practices against any written visitor procedures).

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Part (c) was not normally so well answered.
It is not sufficient to merely collect data and put it into a report, it must be analysed and examined
objectively before inclusion in an official accident report (which may be used in a subsequent
legal action).
Good answers considered:
 Job factors such as the attention needed for task, any distractions that may have contributed
to the accident, whether any procedures were inadequate and the time available to carry out
the job;
 Human factors such as competence of the driver and whether there was any evidence of
fatigue and / or stress; organisation factors such as work pressure, availability of sufficient
resources, quality of supervision and the general health and safety culture within the
warehouse; and finally
 Whether plant and equipment factors such as the forklift truck controls or layout of workplace
or signage (too much, too little) could have contributed to the accident.
Credit is also given for describing factors which related to the reliability and quality of evidence.
A number of candidates assumed that the visitor was unauthorised, which was not stated in the
question and spent time focusing on duties to trespassers.
For part d)
The possible underlying causes such as:
 Inadequate or the absence of risk assessments;
 Cultural and organisational factors and work pressures;
 Inadequate or poorly signed pedestrian routes and walkways;
 Environmental factors such as lighting, floor conditions and spillage control;
 Poor maintenance and defect reporting procedures;
 Inadequate monitoring procedures; and
 A failure to train and supervise the workforce.
Some candidates became confused between direct and underlying causes and provided
examples of the former rather than the latter as required.

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 FAILURE MODE & EFFECTS ANALYSIS (FMEA)

State the objectives and outline the methodology of Failure Mode and Effects Analysis (FMEA), giving
an example of a typical safety application.
The objective of FMEA is to analyse each component of a system in order to identify the
possible causes of component failure and the effects on the system as a whole.
The methodology of FMEA includes
 Breaking the system down into component parts and identifying all possible causes of
failure of the component
 Identifying how the failures might be detected (e.g. sensor)
 Assessing the effects of failure on the system as a whole
 Assessing the probability of failure
 Allocating a risk priority code to each component based on severity and probability of
failure
 Devising actions to reduce the risk to reduce the risk to a tolerable level.
Typical safety applications include:
 Chemical process plant
 Nuclear power generation

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 FAILURE MODE & EFFECTS ANALYSIS

(a) Identify the objectives of Failure Mode and Effects Analysis (FMEA).
(b) Outline the methodology of FMEA AND give an example of a typical safety application.
Part a)
The objective of FMEA is to analyse each component of a system in order to identify the
possible causes of its failure and the effects of the failure on the system as a whole.
Part b)
The methodology of FMEA includes:
 Breaking a system down into its component parts and identifying all possible causes of
failure of the component;
 Assessing the probability of failure and its effects on the system as a whole;
 Identifying how the failures might be detected for example by a sensor; assessing the
probability of failure;
 Allocating a risk priority code to each component based on severity, the probability of
failure and the effectiveness of detection;
 Devising actions to reduce the risk to a tolerable level and documenting the results of the
exercise in the conventional tabular format.

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 COST BENEFIT ANALYSIS

Outline the purpose and principles of cost benefit analysis

The purpose of cost benefit analysis is to identify the overall value by comparing the benefits
which would arise with the costs of implementing the project.
The costs and benefits are both converted to a monetary value following the establishment of
protocols for the costing of benefits in terms of the prevention of death, damage, injury and /
or ill-health.
Costs are adjusted to allow for the different timescales over which costs and benefits may
occur or accrue and implementation costs are estimated.
Finally the calculated monetary value of costs and benefits are compared.

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 FAULT TREE ANALYSIS

Outline the use and limitations of fault tree analysis

Fault tree analysis is useful in analysing accidents where there are multiple causes to the
accident to calculate the probability of the top event.
It can be used to identify the most effective points of intervention in order to reduce the
probability of the top event occurring.
On the negative side it is limited by the requirement of skilled analysts to work the calculations
out in complex situations and its reliance on the accuracy and availability of failure data.

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 FAULT TREE ANALYSIS

A chemical reaction vessel is partially filled with a mixture of highly flammable liquids. It is possible
that the vessel headspace may contain a concentration of vapour which, in the presence of sufficient
oxygen, is capable of being ignited.
A powder is then automatically fed into this vessel.
Adding the powder may sometimes cause an electrostatic spark to occur with enough energy to ignite
any flammable vapour.
There is concern that there may be an ignition during addition of the powder.
To reduce the risk of ignition, an inert gas blanket system is used within the vessel headspace
designed to keep oxygen below levels required to support combustion. In addition, a sensor system is
used to monitor vessel oxygen levels.
Either system may fail. If the inert gas blanketing system and the oxygen sensor fail simultaneously,
oxygen levels can be high enough to support combustion.
Probability and frequency data for this system are given below.

FAILURE TYPE/EVENT PROBABILITY

Vessel headspace contains concentration of vapour capable of being ignited 0.5

Addition of powder produces spark with enough energy to ignite vapour 0.8

Inert gas blanketing system fails 0.2 per year

Oxygen system sensor fails 0.1

a) Draw a simple fault tree AND, using the above data, calculate the frequency of an ignition. (16)
b) Describe, with justification, TWO plant OR process modifications that you would recommend to
reduce the risk of an ignition in the vessel headspace.
Part (a)
Most candidates were able to supply a simple fault tree similar to that shown below and to
calculate that the frequency of ignition would be 0.008/year or once in every 125 years.
Some forgot to insert the ‘and’ gates whilst a few did not convert the ignition figure into the
required frequency.
Continued…..

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Part (b),
Candidates could have included a description of any relevant modifications but were expected
to select those which would make a greater contribution to reducing the overall risk.
These could have included:
 Replacing the powder feed with a slurry in a conducting liquid;
 Selecting and using materials with higher flashpoints to minimise the probability of a
flammable atmosphere; and
 Redesigning the nitrogen blanketing system to improve reliability.
Some did refer to the possibility of introducing a blanketing system, suggesting they had not
read the question with sufficient care.

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 FAULT TREE ANALYSIS

A machine operator is required to reach between the tools of a vertical hydraulic press between each
cycle of the press. Under fault conditions, the operator is at risk from a crushing injury due to either (a)
the press tool falling by gravity or (b) an unplanned (powered) stroke of the press.
The expected frequencies of the failures that would lead to either of these effects are given in the
table below:

Failure Type Frequency Per Year Effect

Flexible hose failure 0.2 a

Detachment of press tool 0.1 a

Hydraulic valve failure 0.05 a

Activation button failure 0.05 b

Electrical fault 0.1 b

a) Given that the operator is at risk for 20 per cent of the time that the machine is operating,
construct and quantify a simple fault tree to show the expected frequency of the top event (a
crushing injury to the operator’s hand).
b) Outline, with reasons, whether or not the level of risk calculated should be tolerated.
c) Assuming that the nature of the task cannot be changed, explain how the fault tree might be
used to prioritise remedial actions.
This question is a common style of question that appears in an examination of this level. It is
designed to assess the candidates’ ability to manipulate data using the FTA as a simple tool
and subsequently interpret the data to assist in risk management decision making.
Candidates who attempted this question tended to do well. Not all those who tried could,
however, prepare an adequate diagram.
A common failing was to omit the period for which the operator was exposed and finish the
fault tree when the tool came down.
The later elements of this question are generally poorly answered.
Perhaps the most concerning failure is candidates who consider the risk tolerable having
correctly calculated the frequency of the top event.
Examiners are expecting candidates to consider that the risk was too high with plausible
explanation (e.g. if 10 presses’, then one serious accident per year). For the actions,
candidates could have used the general principles of using probability data (e.g. emphasis on
preventing gravity falls as the most likely event).

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 EVENT TREE ANALYSIS

a) Outline the principles, application and limitations of Event Tree Analysis as a risk assessment
technique.
b) A mainframe computer suite has a protective system to limit the effects of fire. The system
comprises a smoke detector connected by a power supply to a mechanism for releasing
extinguishing gas. It has been estimated that a fire will occur once every five years (f=0.2/year).
Reliability data for the system components are as follows:

Component Reliability

Detector 0.9

Power Supply 0.99

Extinguishing Gas Release

0.95
Mechanism
i. Construct an event tree for the above scenario to calculate the frequency of an uncontrolled
fire in the computer suite.
ii. Suggest ways in which the reliability of the system could be improved.
Event Tree Analysis is based upon binary logic and is often used to estimate the likelihood of
success or failure of safety systems. It starts with the initiating event and ends with the
probability of a situation being controlled or not.
It is limited by the lack of knowledge of component reliability and other data and since it
considers only two possibilities - success or failure - it does not take into account partial
downgrade (i.e. limited success).
For part (b) (i), candidates were asked to construct an event tree for the scenario described in
the question. An acceptable answer would have been:

Detector Power Gas SUCCESS

p (success) = 0.2 – 0.031 = 0.169

0.95

0.99

0.9 FAILURE

Fire 0.05 0.2 x 0.9 x 0.99 x 0.05 = 0.009

f = 0.2 / yr 0.01 0.2 x 0.9 x 0.01 = 0.002

0.1 0.2 x 0.1 = 0.02

p (failure) = 0.009 +0.002 + 0.02 = 0.031 per year

f = once every 32 years

Continued….

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Marks are awarded for:
 The general construction of the tree;
 For calculations of failure rates from component reliability data;
 For calculation of system failure rate from individual failure rates; and
 For conversion of failure rate per year to failure every "x" years which in this case was
once in every 32 years.
In answering part (b) (ii), candidates should have suggested ways such as
 Choosing more reliable components or
 Using components in parallel.
 Recognising that the detector was the least reliable component and so would be a logical first
choice for such techniques.
Installing a second independent but parallel system was an additional way of improving the
reliability of the system as was also the introduction of a regular programme of maintenance and
testing.

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 EVENT TREE ANALYSIS

A manufacturing company with major on and off site hazards is analysing the risks and controls
associated with a particular process and containment failure.
Following a process containment failure (f=0.5/yr), a failure detection mechanism should detect the
release. Once detected, an alarm sounds then a suppressant is activated. Finally, in order to control
the initial release, an operator is required to initiate manual control measures following the release of
the suppressant.
As part of the analysis, the company has decided to quantify the risks associated with a substance
release from the process and develop a quantified event tree from the data.

Activity Frequency/Reliability

Process containment failure 0.5 per year

Failure detection 0.95

Alarm sounders 0.99

Release suppression 0.85

Manual control measures activated 0.8

a) Using the data provided, draw an event tree that shows the sequence of events following a
process containment failure.
b) Calculate the frequency of an uncontrolled release resulting from process containment failure.
c) Outline the factors that that should be considered when determining whether the frequency of the
uncontrolled risk is tolerable or not.
d) If the risk is found to be intolerable, outline the methodology for a cost benefit analysis with
respect to the process described.
Part a)
Part b)
The calculation in arriving at the frequency of an uncontrolled release resulting from process
containment failure.
Release 1 = 0.5 x 0.05 = 0.025/yr
Release 2 = 0.5 x 0.95 x 0.01 = 0.00475/yr
Release 3 = 0.5 x 0.95 x 0.99 x 0.15 = 0.071/yr
Release 4 = 0.5 x 0.95 x 0.99 x 0.85 x 0.2 = 0.08/yr
The frequency of an uncontrolled release would therefore be:
0.025 + 0.00475 + 0.071 + 0.08 = 0.181/yr. or once every 5.5 years.
Part c)
Factors to be considered in determining whether the frequency of the uncontrolled risk is
tolerable or not include:
 The plant location taking into account the health and environmental implications of a
release;
 The cause of the release such as for example, as a result of a catastrophe together with
the inevitable public outrage that it would arouse;
 Historical data; relevant legal requirements;
 The impact that a failure would have on production and the cost of control measures; and
 Published risk data such as those contained in reducing risks protecting people.
Part d)
The first step of the methodology for a cost benefit analysis would comprise the quantification
of process losses and improvement costs in terms of monetary value.
Should a comparison indicate that process losses together with other possible losses such as
damage to the organisation’s reputation exceed improvement costs, the improvement work
should be carried out.
A payback period would need to be established with due consideration being given to the
value of the money involved spread over the period of time.

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 JOB SAFETY ANALYSIS

Explain the principles and methodology of Job Safety Analysis (JSA)

A way in which candidates usually gain better marks in a JSA related question is to remember
the mnemonic SREDIM and referring to:
 Selection of the work to be examined
 Recording its component parts
 Examination of each part to identify hazards and associated risks
 Development of control measures for the identified risks
 Installation of the control measures
 Maintenance of the control measures by regular reviews.
Job Safety Analysis is a method of identifying the hazards in each component part of a job.
This being in order to assess the associated risks and decide on the relevant control
measures that would then be incorporated into safe systems of work.

THE PURPOSE OF JOB SAFETY ANALYSIS

Explain the purpose of Job Safety Analysis.

The purpose of Job Safety Analysis is:
 To assess the hazards and risks associated with each component of a specific task,
 To establish whether adequate precautions are in place in order to reduce the risk of
injury, and
 To produce a system of work that provides a safe way of performing the task.
Few candidates are able to explain the purpose of job safety analysis and instead described
how it should be carried out. Many confuse a job safety analysis with a risk assessment

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 HAZARD & OPERABILITY STUDIES (HAZOP)

A preliminary part of the risk assessment process is to be a hazard and operability study.
Explain the principles and methodology of a Hazard and Operability (HAZOP) Study
The purpose of HAZOP is to identify deviations from intended operation.
There will be a need for a team approach with specialists from relevant disciplines and a team
leader.
There would be a need to:
 Define the scope of the study
 Breaking the process into elements
 To use the study at the design stage or on modifications.
 Deviations are prompted by the use of guide words.
 The study examines possible causes and consequences of each deviation
 Identifies possible corrective actions
Process key words may be:
Flow, temperature, Pressure, Level, Composition, React, Mix, Reduce (grind crush) Absorb,
Corrode, Erode, etc
Operational key words may include:
Isolate, Drain, Vent, Purge, Inspect, Maintain, Start-up, Shutdown, etc.

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 BOW TIE ANALYSIS

With reference to the illustration below outline hazard and consequence (Bow Tie) analysis.

Hazard 1 Consequence 1

Hazard 2 Top Consequence 2

Event

Hazard 3 Consequence 3

Hazard Control Recovery

Barriers Measures

The hazard and consequence (Bow Tie) analysis is used to identify top events or incidents, to
assess their potential hazards or threats and to identify control barriers or precautions to
prevent the top event occurring.
The left hand side of the illustration comprises a fault tree or causal analysis.
Ideally the barriers should be sufficient to prevent the top event occurring but it has to be
appreciated that controls cannot always be 100% reliable.
Accordingly the analysis assesses mitigation or recovery measures and suggests barriers that
need to be in place to minimise the consequences of the incident and to aid recovery.
The right hand side of the illustration is considered to be an event tree or consequence
analysis.
The Bow Tie analysis depicts risks in readily understandable ways to all levels of personnel.
It is a structured approach to risk analysis and is used where qualification is not possible or is
undesirable.
It may also have a use in the investigation of accidents.
The question is not attempted by many candidates.
Of those who do submit an answer, some associated the analysis with a particular scenario
without outlining its purpose.

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A3 IDENTIFYING HAZARDS, ASSESSING & EVALUATING RISK
RISK MANAGEMENT

It is understood that a risk management programme encompasses the following concepts:

I. Risk avoidance
II. Risk reduction
III. Risk transfer
IV. Risk retention
Identify the key features of each of these concepts and give an appropriate example, from you own
experiences in each case.
In answering the above you need to be sure that you do not confuse risk avoidance and risk
transfer – a common mistake. Additional marks would be available for giving examples.
Risk Avoidance:
Involves taking active steps to avoid or eliminate risk.
Example here being
 Discontinuing of a process
 Avoiding the activity
 Eliminating a hazardous substance
Risk Reduction:
This involves evaluating the risks and developing risk reduction strategies. It does require the
organisation to define an acceptable level of risk control to be achieved. This could be
achieved by:
 The use of safety / risk management systems or
 The use of the hierarchy of controls.
Risk Transfer:
Risk transfer involves transferring risk to other parties but paying a premium for this.
An example here would be
 The use of insurance transfer of risk by the use of contractors to undertake certain works;
or
 The use of third parties for business interruption recovery planning or
 Outsourcing the process.
Risk Retention:
This involves accepting a level of risk within the organisation along with a decision to fund
losses internally.
It could involve risk retention with knowledge where the risk has been recognised and
evaluated, or risk retention without knowledge where the risk has not been identified
(obviously an unfavourable position for an organisation to be in).

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 CONTRACTOR ACCIDENTS

A large warehousing complex employs the services of contractors for many of its plant and property
maintenance activities.
The number of contractors’ on site at any one time is relatively small – being around 7% of the total
workforce.
On the analysis of the site accident statistics over the previous two year period it shows that accidents
to contractor personnel, or arising from work undertaken by contractors, account for more than 20% of
the total lost-time accidents on site.
You are required to outline to management in a brief report the reasons for the disproportionate
number of accidents involving contract workers.
This type of question required some logical observations on why there might be a
disproportionate number of accidents associated with contract work. Issues that should be
included here to name a few are:
 The nature of the work being undertaken e.g. maintenance work may be higher risk, more
complex, harder to control satisfactorily and with less well established work methods than
other warehousing and distribution activities.
 Unclear responsibilities for controlling third parties
 Lack of training
 Lack of procedures for third party control / management
 Poor planning and risk assessment
 Poor coordination and communication between the parties involved / affected
 Staff turnover
 Lack of contractor competence
 Inadequate supervision
 The effect of contractual or financial pressures

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 CONTRACTOR SELECTION AND CONTROL OF CONTRACTORS

Extensive repair work is needed to the roof of the main production area of a large factory. The factory
is to remain fully operational during the work.
a) Identify the criteria that might be used when selecting a contractor for the work to ensure they
have the necessary competence in health and safety.
b) Identify ways in which the factory management should control the work of the contractor to
ensure that risks to factory workers are minimised.
This is a contractor selection and supervision question and those who are able to provide an
answer that encompassed the practical application of contractor management tend to gain
good marks.
Those who take each part of the question in turn tended to do better.
They firstly concentrated on the criteria necessary to ensure the selection of a contractor with
the necessary competency in health and safety to undertake the task and then addressed the
issues to be considered to control the work of the contractor when on site.
However, many who answer this question cannot be awarded full marks because the answers
provided are lists and do not demonstrate an understanding of the issues.
Part (a),
Candidates should include issues that would have demonstrated that the contractor had the
knowledge, skill and experience to undertake the work and how they could demonstrate this.
Part (b)
Candidates should have consider how the contractor could demonstrate that they could
physically do the work safely that would include equipment and materials they would bring on
site, using the materials and equipment, methods to undertake the work safely and way

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 PERCEPTION

We all hear the term perception, and it is often defined as the process by which people interpret
information that they take in through their senses.
(Alternative question potential - Perception’ may be defined as the process by which people
interpret information that they take in through their senses.)
Attempt to outline a range of factors that may affect how people perceive hazards in their workplace.
There are many factors that can affect the way that hazards are perceived in the workplace
such as:
 Sensory impairment
 Health status including stress
 Intelligence
 Mental capacity
 The effect of drugs / alcohol
 The nature of the hazard not being readily detectable
 Environmental factors that may distract or confuse e.g. noise, poor lighting
 Poor communication or the hazard was not communicated effectively
 Interference by the use of PPE
 The effect of inadequate information, instruction and / or training
 The presence or absence of previous of, or exposure to the hazard
 The effect of expectation following exposure to similar situations
 Sensory overload
 Work pressures
 Stress
 Fatigue

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 EVENT TREE ANALYSIS

An industrial site situated close to a housing estate contains a vessel for the storage of liquefied
petroleum gas.
It is estimated that a major release of the contents of the vessel could occur once every one hundred
years (frequency = 0.01/yr).
Such a release, together with the presence of an ignition source (probability, p=0.1), could lead to a
flash fire or a vapour cloud explosion on site.
Alternatively, if the wind is in a certain direction (p=0.6) and there is a stable wind speed of less than
1
8ms' (p=0.5), a vapour cloud may drift to the housing estate where it could be ignited (p=0.9).
I. Using the data provided, construct an event tree to calculate the expected frequency of
fire/explosion BOTH on site AND on the nearby housing estate.
II. Comment on the significance of the results obtained in (i).
III. Outline, with examples, a hierarchy of control options to minimise the risks.
This type of question seeks to test candidates' understanding of event trees, including the
principle of how probabilities may be manipulated within an event tree and how decisions
on risk control may flow from event tree analyses. The question tens to be reasonably
popular and many candidates gain reasonable or good marks.
Part (i) required the alternative scenarios and associated data to be expressed in the form of
an event tree and for the annual probabilities of an explosion on and off -site to be
calculated using the conventional event tree method.
Most candidates produce a reasonable event tree although there are sometimes
inconsistent conventions used for individual event outcomes. The majority of candidates
correctly calculate the off-site probability of explosion (once in about 400 years) to be
significantly greater than the on-site probability (once in 1,000 years). Calculation errors are
made but in such cases some credit would be given where the process being followed was
seen to be valid.
Part (ii) of this question seeks a recognition that the off-site risk was greater than the on-site
risk and then required that a comparison be made with relevant benchmark data, such as
those contained in the HSE document "Reducing risks, protecting people" (currently
available on the HSE website: www.hse.gov.uk/risk/theory/r2p2.pdf).
Candidates who undertook the calculations correctly generally deal well with the former but
very few candidates alluded to the latter in any specific way. The HSE proposes, for instance,
that an individual risk of death from workplace activities of one in a million per annum (taking
into account frequency, exposure and vulnerability) should be used as a guideline for the
boundary between broadly acceptable and tolerable risk.
The document also states that a specific risk greater than 1 in 10,000 to members of the public
who have risks imposed upon them in the 'wider interest of society' should be considered
intolerable.
More specifically, it is proposed that for a situation analogous to that described in the
scenario, and where an event could lead to the death of more than 50 people, an event
frequency greater than 1 in 5,000 per year should be regarded as intolerable.
While candidates may not have a precise figures fixed in their minds, they should
nevertheless have an awareness of their existence and should have had something sensible to
say in this respect.

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Most candidates achieve reasonable marks in part (iii) of the question when they described
some relevant hierarchical elements beginning with
 Elimination,
 Substitution and reduction of lpg, then moving on to
 Measures to reduce the probability of a release through protective systems,
 Maintaining plant integrity and operational practices, and finally
 Looking at minimising the risks of an ignition in the event of a release and relevant
emergency procedures.
Where candidates make generic comments about hierarchical control measures without
relating them at all to the scenario they would not attract good marks.

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 SOURCES OF INFORMATION

Outline a range of external individuals and bodies to whom, for legal or good practice reasons, an
organisation may need to provide health and safety information.
In EACH case, indicate the broad type of information to be provided.
This question requires candidates to outline the external bodies and individuals to whom an
organisation may need to provide health and safety information for legal or good practice
reasons.
Candidates who do best are those who structure their answers under the headings of 'body or
individual' and 'type of information'.
Individuals and bodies who would be provided with information for legal reasons included
 The enforcing authorities with respect to information required by law or in accordance with
the ILO Code of Practice or as part of inspection or investigation activities;
 The emergency services on the inventories of potentially hazardous/flammable materials
used or stored on the site and on the means of access and egress to the site;
 Customers who have to be given health and safety information on articles and substances
they might use for work activities;
 Members of the public concerning information on emergency action plans for major hazards;
 Visiting contractors who need to be advised on safe working arrangements and procedures;
 Waste disposal contractors who should be given information on controlled or hazardous
waste produced by the organisation;
 Transport companies who should be given information on the precautions to be taken in
transporting hazardous substances from the organisation's site; and
 Legal representatives or courts who would have to be given information regarding civil
claims.
 To trade associations and trade unions on performance and social responsibilities; to
 Insurance companies on the safety management systems in place and
 To shareholders on the organisation's level of performance as far as health and safety was
concerned.

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 LIMITATIONS OF ACCIDENT & ILL-HEALTH REPORTING

Outline what you consider are four limitations of accident and ill-health data as a means of measuring
health and safety performance.
The limitations could include:
 Incident data is a measure of failure not success and therefore focuses on the negative
rather than the positive aspects of health and safety performance.
 Historic measures of performance cannot predict future performance
 Incident data measures effectiveness of previous safety measures not new measures in
the short term.
 Data is subject to random fluctuations
 The number of accidents in a workplace is often too small to be used as reliable
performance indicators
 The absence of accidents does not necessarily indicate that procedures are safe
 Data based on injury severity not potential seriousness of an accident must be treated with
caution.
 Incident data cannot be used to identify high consequence, low probability risk and
 Incident data does not reflect chronic health issues.

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 QUALITATIVE AND QUANTITATIVE RISK ASSESSMENT

Explain the terms ‘qualitative risk assessment’ AND ‘’quantitative risk assessment’.
These are two basic forms of risk assessment.
A quantitative risk assessment attempts to measure the risk by relating the probability of the
risk occurring to the possible severity of the outcome and then giving the risk a numerical
value.
This method of risk assessment is used in situations where a malfunction could be very
serious (e.g. aircraft design and maintenance or the petrochemical industry).
The more common form of risk assessment is the qualitative assessment, which is based
purely on personal judgement and is normally defined as high, medium or low.
Qualitative risk assessments are usually satisfactory since the definition (high, medium or
low) is normally used to determine the time frame in which further action is to be taken.
The term ‘generic’ risk assessment is sometimes used and describes a risk assessment which
covers similar activities or work equipment in different departments, sites or companies.
Such assessments are often produced by specialist bodies, such as trade associations.
If used, they must be appropriate to the particular job and they will need to be extended to
cover additional hazards or risks.

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 RISK ASSESSMENT REVIEW

A review of your companies risk assessments has found that a number of significant workplace
hazards had not been previously identified.
Make a short report to senior management to outline the possible reasons for the above apparent
deficiency in the original assessments.
There are a range of possible reasons that could have been identified here, these include:
 A lack of technical expertise on the part of those carrying out the assessments
 Insufficient references to available information (e.g. ACoPs and Guidance)
 Lack of training both in health and safety and in risk assessment techniques
 Over / under familiarity with the workplace activities or processes (with hazards not being
recognised as such)
 No management commitment to the risk assessment process
 Lack of involvement of the workforce
 Inadequate change management systems
 Inappropriate timing
 Inadequate resourcing of the process

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 RISK ASSESSMENT – DEVELOPMENT OF A SAFE SYSTEM OF WORK

An organisation should carry out a risk assessment before developing a safe system of work.
(a) Outline the factors that should be considered when carrying out a risk assessment.
(b) Give the meaning of the term ‘safe system of work’.
(c) Outline the issues to be addressed to effectively implement a safe system of work.
The factors to be considered when carrying out a risk assessment include
 The detail of the activity or task concerned and the equipment and materials involved;
 Any guidelines or information provided by the manufacturer;
 The number and type of persons to be involved in the activity;
 The hazards associated with the activity
 The likelihood and severity of their associated risks;
 The adequacy of existing control measures;
 Accident history and previous experience;
 Legal requirements;
 The need to involve and consult workers and to use appropriate and familiar language to
enhance understanding;
 Monitoring the effects of the assessment once it has been introduced and
 Arranging for periodic reviews and finally ensuring the competency of the assessor.
Some candidates refer to the five basic steps but do not provide the additional detail required
for an outline question.
Part (b) here there is an expectation to provide a meaning such as:
The integration of people, equipment, materials and the environment to produce an acceptable
level of safety or a method of carrying out a task in which hazards have been identified and
eliminated, or risks reduced to an acceptable level.
For c) Issues that should be addressed to ensure the effective implementation of a safe
system of work include
 Its timing taking into consideration the need to avoid shift changes and holidays;
 The number of persons affected;
 The need to communicate with the workforce and to provide them with relevant
information using clear and unambiguous language;
 Arranging for the provision of the necessary training;
 Ensuring that managers and supervisors are made aware of and understand their
responsibilities;
 Introducing procedures for securing feedback from the workers; and
 Making arrangements for the monitoring and periodic review of the system and to
introduce any changes found to be necessary.

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A4 RISK CONTROL & EMERGENCY PLANNING
RELIABILITY OF A SAFETY CRITICAL SYSTEM REF A SINGLE COMPONENT

The reliability of a safety critical system depends on a single component.

a) Outline ways of reducing the likelihood of failure of the component.
b) Describe additional ways to increase the reliability of the safety critical system.
Part a)
This should include such issues as:
 Burning-in;
 Planned replacement before wear-out;
 Planned maintenance;
 Component design,
 Material specification
 Quality assurance;
Part b)
The reliability of the system might be increased by:
 The use of parallel components and standby systems and parallel redundancy;
 Operational and detection protective systems to maintain the system within its design
specification;
 The use of hazard analysis techniques to predict failure routes;
 The use of more reliable components to minimise failures to danger and the monitoring,
collection and use of failure data.

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 EMERGENCY PROCEDURES & ARRANGEMENTS

A small company formulating a range of chemical products operates from a site on which it employs
about 50 staff.
Although not falling within the scope of the UK (or similar legislation) Control of Major Accident
Hazards Regulations, the site poses a risk to employees, the neighbouring community and the
environment.
Following a visit from the Enforcement Officer (e.g. Health and Safety Executive), the company has
been asked to provide details of its procedures for dealing with a range of emergencies.
I. Outline the types of emergency procedure that a site of this nature may need to put in place in
order to deal with incidents affecting the safety of site personnel.
II. Describe the arrangements that should be in place in order to demonstrate an effective major
incident procedure.
This is normally a popular question and many candidates achieve reasonable marks..
Part (i) of the question requires candidates to consider, and then outline, the common types of
emergency procedure that a site of the type described in the scenario may require.
Local chemical spillage / release procedures are important on a site of this nature, as are fire
evacuation, first-aid treatment and major incident procedures.
Credit is also given for other credible procedures, such as those required for sabotage or bomb
threats.
Part (ii), many candidates also provided reasonable answers with the main failings relating to
the provision of only a limited number of arrangements or to provide, as some do, a very generic
answer often referenced vaguely to HSG65.
Arrangements that should be described include:
 The initial identification of major incident risks;
 Consultation with internal (staff, contractors) and
 Consultation with external (emergency services, local authorities) stakeholders on the
development of a plan;
 Development of clear responsibilities as part of the plan;
 Arrangements for initiating the procedure and for the call-out of key staff and support
services;
 Provision of a control centre and standby with key information and communication
facilities;
 Provision of equipment for communication between control parties in the event of an
incident;
 Provision of emergency equipment and PPE, such as that needed for spill control,
suppression, etc.;
 Arrangements for communication with off-site residents and neighbours; press management
arrangements;
 Business continuity issues; and arrangements for regular practice, periodic review and, of
course,
 Comprehensive training of staff with key responsibilities and all other site personnel.

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 CHEMICAL PLANT – NEAR RESIDENTIAL AREA – EMERGENCY PLAN

The manufacturing process of a planned new chemical plant will involve toxic and flammable
substances. The plant is near to a residential area.
Outline the issues to be considered in the development of an emergency plan to minimise the
consequences of any major incident.
The initial issues to be considered in the development of an emergency plan would be:
To consider the quantity of toxic and flammable substances involved,
The possible causes of a major incident, the likely extent of the damage and the area of the
plant and the surrounding area which is considered vulnerable.
Consideration will then have to be given to the availability of resources to deal with the
incident should it occur and what action would be taken to minimise its extent by for example
shutting off services and controlling spillage and pollution.
There will need to be a clear allocation of responsibilities on site to deal with the incident, to
establish a control centre and to make arrangements for staff and equipment call out.
A decision will have to be made on how the alarm will be raised on site and in the
neighbourhood and this will require liaison with the community and particularly with
representatives of the local authority, the police and the emergency services since while the
on-site plan will be prepared by the plant operator, a second off site plan, which may have to
consider amongst other things the provision of information to nearby residents and the
possibility of their evacuation if an incident were to occur, will be very much the responsibility
of the local authority.
The on-site plan will also need to address the arrangements for clean up and decontamination
after the event and for dealing with the media. It will of course be imperative for the plan once
it has been developed to be tested and assessed in a ‘mock incident’ involving both workers
and residents.

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 ILO CONVENTION 174 – EMERGENCY PLANNING AND PROVISION OF
INFORMATION TO EXTERNAL EMERGENCY SERVICES

a. Outline the site operator requirements for emergency planning and procedures within the
International Labour Organisation Convention C174 ‘Prevention of Major Industrial Accidents’
1993.
b. As part of the on-site emergency planning process, a large manufacturing site intends to provide
information to the external emergency services.
Outline the types of information that the site should consider providing to the ambulance service.
Under the ILO’s convention C174 on the subject of the Prevention of Major Industrial
Accidents, the site operator is required to:
 Identify major hazards and assess their potential outcomes; prepare written site
emergency plans and procedures;
 Draw up emergency medical procedures;
 Carry out periodic testing and evaluation of the effectiveness of the emergency plans and
introduce any revisions to the plans shown by the evaluation to be necessary;
 Include reference in the plan to the protection of the public and the environment outside
the site following consultation with the authorities and communities concerned and submit
the emergency plans to the responsible authorities.
Candidates who do not do so well in answering this part of the question outline the contents
of a plan rather than dealing with the generality of emergency planning.
Part b),
The types of information that should be considered include:
 The location of the site and its various access points;
 Details of the main hazards on site such as fire, explosion or toxic release;
 Details of any hazardous chemicals used and stored;
 The number of personnel on site both in daytime and at night;
 Plans showing the layout of the site;
 The location of any emergency control centre;
 The identity and contact details of key personnel;
 Details of the establishment’s medical personnel and facilities together with details of any
specific medical conditions of workers and particularly information relating to those
known to be vulnerable; and
 Any other information necessary to enable the ambulance service to carry out a risk
assessment for its own personnel.

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 PERMIT TO WORK

An organisation has decided to introduce a permit-to-work system for maintenance and engineering
work in an area used for the batch manufacture of chemicals operating continuously over three shifts.
Outline the key issues that will need to be addressed in introducing and maintaining an effective
system in such circumstances.
The question concerned the introduction and maintenance of an effective system and was
therefore organisational in nature.
Be careful not to focus too much on one aspect e.g. the design of the permit to the exclusion
of others.
Key issues that could have been outlined include:
Defining the activities and areas for which a permit would be required;
Developing a PTW procedure that defines how the system will operate; and developing the
permit format and multi-copy documentation system to encompass issues such as:
 Job description,
 Hazard identification,
 Specification of risk control measures,
 Time limits and authorising,
 Receiving and cancellation signatures.
Also relevant are:
 Arrangements for the return of permits and record-keeping;
 Arrangements for the co-ordination and display of multiple live permits;
 Arrangements for communication between shifts (see the scenario);
 Identification of training needs for, and delivery of training to, persons authorising or
receiving permits and those working in areas where permits may be required;
 Arrangements for contractors;
 Provision of supporting arrangements and equipment such as lock-off, isolation or gas
testing facilities; and
 Arrangements for routine monitoring and auditing the effectiveness of the system.

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 PERMIT TO WORK - MIXING VESSEL – SOLVENT

a) A mixing vessel that contains solvent and product ingredients must be thoroughly cleaned every
two days for process reasons. Cleaning requires an operator to enter the vessel, for which a
permit-to-work is required. During a recent audit of permit records it has been discovered that many
permits have not been completed correctly or have not been signed back.
Outline possible reasons why the permit system is not being followed correctly.
b) A sister company operating the same process has demonstrated that the vessel can be cleaned by
installing fixed, high pressure spray equipment inside the vessel which would eliminate the need
for vessel entry. You are keen to adopt this system for safety reasons but the Board has requested
a cost-benefit analysis of the proposal.
Outline the principles of cost-benefit analysis in such circumstances. (Detailed discussion of
individual cost elements is not required).
There are many reasons to account for the failure to adhere to a permit to work system.
They include
 The lack of competence of both the permit issuer and the receiver;
 The level of training and information that has been given to both;
 A poor health and safety culture within the organisation;
 Routine violations;
 Pressure to complete the task and the complexity and impracticability of the system which
makes it difficult to understand.
 An inadequate level of supervision,
 A lack of routine monitoring
 The non-availability of the permit issuer to activate the 'sign back' procedure and cancel the
permit once the work had been completed.
For part (b), candidates should outline that the preparation of a cost-benefit analysis with
reference to the given scenario, would involve calculating the total costs, including capital and
on-going, of each option.
Wherever possible, the benefits that would accrue from the use of the proposed system should
be quantified and these would include process efficiency gains, lower operating costs and a
reduction in accidents and cases of ill-health and their associated costs.
Once the costs and benefits of the proposal have been identified, a comparison might then be
made with those of the system currently in use.

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 PERMIT TO WORK – FUEL STORAGE TANK

A maintenance worker was asphyxiated while working within an emptied fuel storage tank.
A subsequent investigation found that the employee had been operating without a permit-to-work,
despite it being an organisational requirement for this type of task.
a) Explain why a permit-to-work system would be considered necessary in these circumstances.
b) Explain the possible reasons why the permit-to-work procedure was not followed on this
occasion.
Overall, candidates deal with part (b) better than part (a) but even here there were many
omissions.
In answer to part (a) of the question marks are available for explaining that
 A risk assessment would identify the need for a permit-to-work;
 The task is high risk;
 Precautions may be complex;
 Control and communications systems may be required,
 Hazards may be introduced during the task and
 The task is non-routine work.
Candidates failing to score highly are generally those that described a permit-to-work
system or detailed the contents of a permit-to-work and not why it would have been
required.
Detailed reference to the Confined Space Regulations was not relevant to this question.
Part (b)
The possible reasons why the permit to work procedure was not followed could include:
 Lack of information, instruction and training
 Lack of effective communication
 A poor health and safety culture,
 Routine violations and
 Pressure to complete the task
 Permit not specific for task undertaken;
 Permit system too bureaucratic or over-used;
 Absence of competent person to authorise permit;
 Potential hazards not fully identified or understood;
 Controls to be followed not clear or specific; and
 Difficulty of organising controls before starting work.

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 SAFETY INSPECTION PROGRAMMES

You are requested by management to outline the factors that you will be considering when planning
a health and safety inspection programme for your engineering workshops and assembly areas.
(Please note – information on the specific workplace conditions or behaviours that might be covered
in an inspection is not required).
For any safety professional this should be a fairly straightforward assignment.
One way of structuring the reply to management would be to concentrate on four (4) key
words – who, what, why and when and outlining factors such as:
 Composition of the inspection team
 Competence of the inspection team
 The specific areas of the workplace to be inspected
 The frequency and timings of the inspections
 The possible need to provide PPE to the inspection team
 The preparation of checklists
 Consulting previous inspection reports
 Researching applicable legislation and standards
 Deciding on procedures to be followed after the inspection to ensure appropriate remedial
action is taken
 The need to obtain senior management support and commitment for the inspection
programme.
Reading the question is important as always. A trap that a lot of candidates fall into is that they
do not pay attention to word ‘planning’ but instead they outline what the team should look for
during their inspection.

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HUMAN ERROR

Outline the desirable design features of controls and displays on a control panel for a complex
industrial process aimed at reducing the likelihood of human error.
Many candidates divert into descriptions of suitable working environments and ergonomic
features of the panel and control room which were not required. Similarly some candidates wrote
very good answers to a question on human factors, which again, could not be given credit.
Candidates who structured their answer into two distinct areas of 'controls' and 'displays' tend to
score the highest marks.
Desirable design features of controls on a control panel for a complex industrial process include
keeping the number of controls to a minimum whilst ensuring a sufficient number of controls
to control the state of operation.
A change of system state should only occur after operating a control and should require a
positive action of the control with immediate feedback to the user.
A system restart should again only occur after operating a control after a deliberate or non-
intentional stop.
A stop function should be easy to activate and override start and adjust controls.
All controls should be visible, positioned and ordered logically so as to follow the process and
be within easy reach of the operator. Labels, shape or colour can be put to effective use to
ensure controls are easily identified.
The type of control should be appropriate to the degree of control required, for example a lever
may be more appropriate than a knob. Recognised conventions should be followed, e.g. up for off;
green for on; and clockwise to increase.
Controls positioned next to their respective displays are also desirable.
Displays should be clearly visible and labelled and show steady state.
They should also clearly indicate change, match expectations and attract the appropriate sense
such as flashing to draw attention visually.
It is important to use the appropriate type of display for the reading, i.e. analogue or digital, and
ensure that all dials are in a similar position for 'normal' operation.
Markings on dials and the application of different colours can be used to indicate abnormal
situations.
Additional design features include
 Shielding bulbs from strong ambient light;
 Shielding glass dials from glare and
 Placing displays against a panel of neutral colour.
Displays should be kept to a minimum and safety critical displays should be separated from
other displays.

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 HUMAN ERROR AND THE OF RELEVANCE & MEANING OF ERGONOMICS,
ANTHROPOMETRY AND TASK ANALYSIS

a) Outline the meaning and relevance of the following terms in the context of controlling human
error in the workplace:
(i) 'Ergonomics';
(ii) 'Anthropometry';
(iii) 'Task analysis'.
b) Excluding ergonomic issues, outline ways in which human reliability in the workplace may be
improved. In your answer, consider 'individual', 'job' and 'organisational' issues
Part (a)
The meaning and relevance of ergonomics in the context of controlling human error in the
workplace would be the design of equipment, task and environment to take account of human
limitations and capabilities; that of anthropometry - the collection of data on human physical
dimensions and its application to equipment design; and that of task analysis - the breaking
down of tasks into successively more detailed actions and the analysis of the scope for
human error with each action.
Part (b),
Ways in which human reliability in the workplace might be improved would centre around
individual, job and organisational issues. Human reliability plays a significant role in health
and safety at the workplace and candidates were expected to have a good understanding of
this issue.
As far as the individual is concerned, this would involve careful selection taking into account
skills, qualifications and aptitude; the provision of appropriate training both at the induction
stage and to meet subsequent job specific needs; the consideration of the special needs of
those who may be more vulnerable; monitoring personal safety performance; using
workplace incentive schemes and assessing job satisfaction and providing health
surveillance and a counselling service for those recognised as suffering from the effects of
stress.
Issues connected with the job include the introduction of task analysis for critical tasks; the
design of work patterns and shift organisation to minimise stress and fatigue; the use of job
rotation to counter monotony; the introduction of good communication arrangements between
individuals, shifts and groups and using a sufficient number of personnel to avoid constant time
pressures.
Finally, for issues connected with the organisation, candidates could have referred to the
development of a positive health and safety culture; the provision of good leadership example
and commitment; the introduction of effective health and safety management systems and
maximising employee involvement in health and safety issues; ensuring effective arrangements
for employee consultation; the introduction of procedures for change management and the
provision of an adequate level of supervision

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 REDUCING FAILURE

A safety critical system depends for its success on a single component.

Outline ways of reducing the likelihood of failure of this component and describe additional ways to
increase the reliability of the system.
In answer to this question, candidates are expected to explore the range of techniques that could
be used to improve the reliability of both the component and the system in the circumstances
described.
This should have included such issues as:
 Burning-in;
 Planned replacement before wear-out;
 Planned maintenance;
 Component design, material specification and quality assurance;
 Use of parallel components and standby systems or redundancy;
 Operational and protective systems to maintain the system within its design
specification;
 Use of hazard analysis techniques to predict failure routes; and
 The collection and use of failure data.
Most candidates demonstrate a reasonable understanding of some of these techniques but
few addressed the breadth of the question.

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 WORKPLACE TRANSPORT

Outline the design features and procedural arrangements that may need to be considered in order to
minimise risks associated with transport in the workplace.
The management of transport in the workplace is an area that is getting a higher focus from
enforcing authorities around the world.
To minimise the risk of accidents associated with transport in the workplace, traffic routes
need to be designed to enable the safe movement of vehicles and the safe movement of
pedestrians in the area.
These design features would include:
 Sufficient width and headroom on all traffic routes to accommodate the safe movement of
all vehicles being used
 Traffic routes should have smooth surfaces that are stable and adequately illuminated
 Sharp bends and blind corners should be minimised
 Routes should incorporate a means of limiting speed
 Have sufficient warning signs of the appropriate standard (e.g. low head-room, crossings,
etc) to alert drivers of possible hazards
One-way systems should also be designed where possible to minimise the need for reversing
vehicles.
Vehicles should be routed in such a way to avoid high risk features such as storage tanks and
falls from level to another.
The separation of traffic routes and pedestrian routes should be achieved wherever possible
and routes and crossing places should be clearly marked and protected by barriers. In some
circumstances e.g. loading bays, it may be necessary to incorporate passing places and
pedestrian refuges.
Procedural measures include:
 The selection, training and certification of drivers
 The control of visitors (both vehicular and pedestrian)
 The maintenance of vehicles
 The prevention of unauthorised use of vehicles
 The enforcement of speed restrictions
 The appointment of staff to assist and guide vehicles

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A5 ORGANISATIONAL FACTORS
EXTERNAL INFLUENCES ON AN ORGANISATION – ILO – CODES OF PRACTICE &
LABOUR STANDARDS

There are a number of external influences on an organisation in relation to the management of health
and safety.
(a) Outline the purpose of International Labour Organisation Codes of Practice.
(b) Outline how International Labour Standards are created at the International Labour Conference.
(c) Outline how the International Labour Organisation can influence health and safety standards in
different countries.
(d) Outline how the media (television news programs, newspapers, radio broadcasts, internet pages,
etc.) can influence attitudes towards health and safety.
For a) - the ILO Codes of Practice contain practical recommendations for those responsible for
health and safety and are intended as guides for public authorities, employers and workers.
They are not intended to replace the provisions of laws and regulations and are not legally
binding.
They do, however, provide additional information in clear language and provide support for
conventions adopted by the ILO.
For part (b), candidates are expected to outline that the creation of an International Labour
Standard is organised by ILO and is initially the subject of an agenda item at the ILO
conference.

The ILO prepares a report analysing the requirements of members’ laws which is circulated to
all members.
The item is discussed at conference and a further report is prepared together with a proposed
draft of the standard.
This is again put to conference, amended where necessary and then proposed for adoption.
Adoption needs a two thirds majority of members of the conference.
In answering part (c) on the mechanisms by which the International Labour Organisation can
influence health and safety standards in different countries, candidates were expected to refer
to matters such as:
 The development of international labour standards through conventions supplemented by
recommendations containing additional or more detailed provisions;
 The ratification of the conventions by member states which commits them to apply the
terms of the convention in national law and practice;
 The requirement for member states to submit reports to the ilo detailing their compliance
with the obligations of the conventions they have ratified;
 The initiation of representation and complaint procedures against countries for violation of
a convention they have ratified;
 The provision of technical assistance to member states where this is seen to be necessary
and indirectly through the pressure applied internationally on non participating countries
to adopt ILO standards.

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For part d), candidates should have referred to the global coverage of incidents involving
health and safety by the media which may influence the perceptions of the clients, customers
and other stakeholders of the companies or industries involved.
The influence may be positive but normally has the opposite effect.
The coverage is generally sensational, particularly when the incident has resulted in fatalities
or when enforcement action is taken and is specifically designed to attract attention with the
media using to full effect the multiple methods of delivery at its disposal such as television,
radio, print, video and the internet.
In addition to the coverage of incidents, the media may also influence the attitudes of the
public towards health and safety by topic focussed advertising.

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 RATIFIED INTERNATIONAL CONVENTIONS AND RECOMMENDATIONS

In relation to health and safety, outline the status and role of:
a) Ratified international conventions;
b) Ratified international recommendations.
Part a)
There are approximately seventy conventions dealing with occupational health and safety and
their status is comparable to that of multilateral international treaties. The conventions create
binding obligations for countries that ratify them and any complaints of non-compliance can
be examined by the ILCC.
As for the role of ratified conventions, they lay down the basic principles to be implemented by
ratifying States and their provisions are used as a basis for establishing national laws.
They require States to report on their application of the conventions and the extent of the
States’ compliance may be examined.
Part b)
Ratified international recommendations are aimed at member States but do not have the
binding force of conventions and may stand alone without being linked to any particular
convention.
The role of ratified international recommendations is to stimulate and guide national
programmes for member States.
Where linked to a convention, they will elaborate on its provisions and provide more detail on
how it may be applied.
This question has previously not been well answered with few candidates showing knowledge
of either the status or role of conventions and recommendations. Only a few candidates
mention that conventions were binding and formed the basis for national laws.
When it came to part (b), the tendency was merely to repeat what had been offered for the first
part of the question.

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 AN ORGANISATION AS A SYSTEM

(a) Outline the concept of the organisation as a system.

(b) Identify suitable risk controls at EACH point within the system AND give an example in EACH
case.
Part a)
Just as a system is comprised of a number of interlinked components so might an
organisation.
These components could be identified as inputs, such as design, procurement, recruitment of
personnel, and information; processes for example operations both routine and non-routine,
plant and maintenance and outputs such as products, packaging and transport.
The system as a whole – the organisation – would need to interact with the environment in
responding to matters such as the current markets and client needs and would need to be
subjected to monitoring procedures and react to any changes found to be necessary.
Part b)
An identification of the risk controls for each component is necessary.
For inputs, this would involve controlling the quality of physical resources such as managing
the supply chain and ensuring conformance with set standards; human resources by adopting
strict recruitment standards designed to ensure competence in those who were invited to join
the organisation and information by ensuring it is always up to date, relevant and
comprehensible.
Control of the process and work activities would be concerned with the premises, plant,
procedures and people and would, by the use of risk assessment, involve the application of
hierarchical measures such as risk avoidance, risk reduction, risk transfer, risk retention and
behaviour safety.
The control of outputs would be concerned with products and services and would address
matters such as waste management, product liability insurance, contractual obligations and
customer aftercare.

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 EXTERNAL & INTERNAL INFLUENCES

Identify the range of external influences that may affect heath and safety standards within your
organisation and state in each case why that external influence may impact upon internal decision
making.

EXTERNAL INFLUENCE WHAT IMPACTS INTERNALLY

 Issues laws
Government
 May have personal implications (blood money)

 Interprets legislation
Enforcement Authorities  Generates codes of practice
 Sets standards that they want to see implemented

 Coverage of large accidents

 Adverse publicity of failings will motivate those
Media concerned about image
 Positive coverage of a safety culture may enhance a
company’s image

 Although within a company they may be regarded as

external

Trade Unions  Large unions have significant resources that can

influence through helping with claims, giving advice to
employees and via their national organisations (e.g.
TUC in the UK)

Civil and Criminal Courts By imposing sanctions on inappropriate behaviour

So as to encourage good practice and reduce claims

Insurers insurance companies may either increase premiums or
offer advice / consulting / training.

May be a source of advice and particularly best practice

Trade Bodies / Other Companies
that internal decision makers can follow

Standards may be set by an organisation like IOSH that

Professional Organisations companies may wish to follow – or have their staff
accredited by

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 THE INDIVIDUAL & INFLUENCING BEHAVIOUR

Outline a range of factors relating to the individual which influence behaviour in the workplace AND
give an example in EACH case.
These could include amongst others,
 Motivation; personality involving individual traits and preferences;
 Aptitude perhaps involving innate skills such as the possession of special awareness;
 Experience, education and intelligence; training involving the development of cognitive
and physical skills; perception of risk and disability.

ESTABLISHING EFFECTIVE CONSULTATION ARRANGEMENTS

(a) Outline the reasons for establishing effective consultation arrangements with workers concerning
health and safety matters in the workplace.
(b) Outline the range of formal and informal arrangements that may contribute to effective
consultation on health and safety matters in the workplace.
Part a)
 In some countries there is a legal requirements for consultation,
 Providing a demonstration of management commitment to health and safety;
 Developing ownership of safety measures amongst workers;
 Improving perception about the value and importance of health and safety;
 Obtaining the input of workers’ knowledge to ensure more workable improvements and
solutions.
Part b)
There are a number of arrangements - such as
 Those involving safety committees and safety representatives;
 Opportunities that could arise at normal departmental or team meetings;
 Tool box talks;
 Discussion as part of safety circles or improvement groups;
 The use of staff appraisals, questionnaires and suggestion schemes.

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 CONSULTATION

A multi-site organisation has recently been audited. This has highlighted deficiencies in worker
involvement in health and safety matters.
Outline recommendations to assist the employer to effectively consult with the workers on health and
safety matters.
There are a number of recommendations that might be made to the employer in the scenario
described including:
 Arranging for safety representatives to be appointed for each site, by election if required,
and protecting them from dismissal or other measures prejudicial to them;
 Ensuring that the safety representatives have access to appropriate resources to fulfil
their functions and have time off their normal duties for training;
 Setting up a formal safety committee, to meet on a regular basis to a set agenda and
ensuring that the minutes of the meetings are circulated throughout the organisation;
 Providing adequate information to the workforce on health and safety and consulting them
when alterations to work processes are planned which will have health and safety
implications;
 Allowing access to representatives to all parts of the site to carry out inspections and
arranging for them to meet representatives of the enforcing authority when they pay a visit
to the site;
 Ensuring there is a visible interest by management in health and safety matters with a
readiness to have consultations on an informal basis with all workers; and
 Setting up an individual appraisal system where health and safety concerns will be
discussed on a par with other relevant issues.

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 FORMAL & INFORMAL STRUCTURES

In organization theory the concepts of formal and informal organisational structures are thought to be
particularly significant.
Identify what are the differences between the formal and informal structures?
Organisations have a formal structure which is the way that the organisation is organised by
those with responsibility for managing the organisation. They create the formal structures that
enable the organisation to meet its stated objectives.
Often these formal structures will be set out on paper in the form of organisational charts.
However, in the course of time an informal structure develops in most organisations which is
based on the reality of day-to-day interactions between the members of the organisation.
This informal structure may be different from that which is set out on paper.
Informal structures develop because:
 People find new ways of doing things which they find easier and save them time
 Patterns of interaction are shaped by friendship groups and other relationships
 People forget what the formal structures are
 It is easier to work with informal structures.
Sometimes the informal structure may conflict with the formal one. Where this is the case the
organisation may become less efficient at meeting its stated objectives.
However, in some cases the informal structure may prove to be more efficient at meeting
organisational objectives because the formal structure was badly set out.
Managers need to learn to work with both formal and informal structures. A flexible manager
will realise that elements of the informal structure can be formalised i.e. by adapting the formal
structure to incorporate improvements which result from the day-to-day working of the
informal structure.
All of the organisations that appear in the Times 100 will have some form of formal structure
which is usually set out in organisation charts. However, these organisations also benefit from
informal structures based on friendship groups.
When managers nurture these informal groups and mould them into the formal structure this
can lead to high levels of motivation for the staff involved.

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 MOTIVATION

(a) Give the meaning of the term ‘motivation’.

(b) Outline, with an example in EACH case, how workers can be motivated to behave in a positive
way.
Part a)
Motivation is a driving force or incentive which persuades people to behave in a certain way
and to do something willingly.
Part b)
 A prime factor in motivating workers to behave in a positive way is the attitude of
management who should show commitment, leading by example, involve and
communicate with the workers and give them praise, recognition and encouragement
where this is appropriate.
 Job satisfaction where sufficient time is allowed to carry out a particular activity, where the
right equipment is available and the working environment including welfare facilities is to a
good standard
 Where there is positive peer pressure to attain certain goals.
 Reward and incentive schemes together with safety campaigns have a part to play and
individuals are inclined to react more positively when they are told what particular desired
behaviour is expected of them and when this is facilitated in such a way as to make it easy
to attain.
 In certain cases, discipline may prove to be a powerful motivational tool.

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 SAFETY CULTURE – THE TERM

Outline what is concerned with the term “safety culture”?

Here there would be a need to refer to:
 Shared attitudes
 Perception
 Communication founded on mutual trust
 Committed resources for safety purposes
 Management visibility and commitment
 Strong participation by all employees
 Shared perceptions of the importance of safety
 Not compromising safety for production
 High quality training
 Beliefs
 Behaviour patterns
 Recognition of good safety practice
 Focus on learning rather than blame
 Values
That members of an organisation have in the area of health and safety.

SAFETY CULTURE BARRIERS

Outline the range of organisational issues that may act as barriers to the improvement of the health
and safety culture of an organisation
Here you would be expected to outline organisational issues that could act as barriers to the
improvement of an organisations health and safety culture. The answer should have included:
 Lack of senior management commitment
 A failure to allocate adequate resources to support improvement
 The absence of an effective means of communications with the workforce in a bid to
secure their involvement
 High levels of staff turnover thus making cultural improvement difficult to embed
 A history of poor industrial relations
 The existence of a blame culture
 The lack of a positive decision making process by management on the level of priority
afforded to health and safety leading to uncertainty among the workforce.
Some candidates do not notice the word “organisational” in the question and outlined non-
organisational issues such as peer pressure.

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 ROLE OF THE ORGANISATION IN DEVELOPING A POSITIVE HEALTH AND SAFETY
CULTURE AND MEASURING IT’S EFFECTIVENESS

(a) Outline the role of an organisation in the development of a positive health and safety culture. (12)
(b) Identify ways of measuring the effectiveness of a health and safety culture
Part a)
An important role for the organisation in the development of a positive health and safety
culture would be to demonstrate leadership and commitment from the top which would
include the development and implementation of a health and safety policy, identifying and
allocating key health and safety responsibilities and ensuring both that adequate resources
are provided for health and safety but that also it is given the same importance as other
objectives such as production and quality.
This should then lead to the completion of the necessary risk assessments, the introduction of
safe systems of work and the provision of training for the workforce.
During this process communication and consultation with the workforce will be of paramount
importance.
Once the systems are in place, it will be imperative that their effectiveness is monitored on a
regular basis and that any deficiencies are seen to be rectified in as short a time as
practicable.
Part (b),
Ways of measuring the effectiveness of a health and safety culture through the assessment of
records such as those of accidents and/or incidents together with the findings of any
investigations that were carried out; cases of ill-health; staff turnover and sickness
absenteeism; the effectiveness of communication with the workforce and any complaints
received on the subject of working conditions.
The organisation might also make use of surveys, value questionnaires on the subject of
health and safety, appraisal interviews and/or simply by observing the behaviour and
commitment of the workforce.

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 EFFECTIVE CONSULTATION – REASONS FOR IT

a) Outline the reasons for establishing effective consultation arrangements with employees
concerning health and safety matters in the workplace.
b) Outline the range of formal and informal arrangements that may contribute to effective
consultation on health and safety matters in the workplace.
This question is designed to test candidates' knowledge of the reasons for and the
arrangements that might be made for ensuring effective consultation at the workplace on
health and safety matters.
In answer to part (a) candidates were initially expected to outline the requirement for
consultation in accordance with the principles laid down in Article 20 of the ILO convention, C155
and then to expand on this to include
 The development of ownership of safety measures amongst employees;
 Improving perception about the value and importance of health and safety;
 Gaining the input of employee knowledge to ensure more workable improvements and
solutions; and
 Encouraging the submission of improvement ideas by employees.
Part (b) requires candidates to outline arrangements that might contribute to effective
consultation.
Marks are available for referring to arrangements such as:
 The establishment of safety committees;
 Consultation with safety representatives;
 Planned direct consultation at departmental meetings, team briefings or similar;
 Consultation as part of accident / incident investigation or as part of the completion of
risk assessments;
 Day to day informal consultation by supervisors with employees at the workplace;
 Tool box talks;
 Use of departmental / team meetings for ad-hoc consultation on safety issues;
 Discussion as part of safety circles or improvement groups; and
 The use of staff appraisals, questionnaires and suggestion schemes.

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 EFFECTIVE CONSULTATION

Explain the reasons for establishing effective consultation arrangements with employees concerning
health and safety matters in the workplace.
The subject matter for this question requires candidates to demonstrate their knowledge on
consultation.
In answering such a question most candidates are able to explain the statutory requirement of
some countries for consultation but the normally fail to expand upon this to include
 Development of ownership of safety measures amongst employees;
 Improving perception about the value and importance of health and safety;
 Gaining the input of employee knowledge to ensure more workable improvements and
solutions; and
 Encouraging the submission of improvement ideas by employees.

CO-OPERATION

Internationally recognised health and safety management models, including OHSAS 18001 and
HSG65, include an ‘organising’ element which requires control, co-operation, communication and
competence.
Outline using practical examples, what ‘co-operation’ means in this context.
Co-operation needs to be ensured between
 Individuals,
 Working groups and
 Departments.
This is meant to include consultation on health and safety matters between management and
workplace representatives (or workers as appropriate), as well as between the organisation and its
contractors, suppliers and clients, etc.

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 VIOLATIONS

Attempt to explain the meaning of the word ‘violation’ with regard to health and safety.
A violation is a deliberate deviation from a rule, procedure, instruction or regulation.

ROUTINE; SITUATIONAL AND EXCEPTIONAL VIOLATIONS - EXPLAIN

Explain the meanings of the three classifications of violation:

a. Routine
b. Situational, and
c. Exceptional
Routine violations:
This involves continually breaking a rule or procedure to the extent that it becomes the normal
way or working.
This can be due to the belief that the rule no longer applies or because there is a desire to cut
corners and save time.
Situational violations:
This is where rules are broken due to pressure from the job, such as insufficient staff for the
workload or the right equipment not being available.
Exceptional violations
These are relatively rare and only tend to happen when something has gone wrong. In order to
solve the problem a rule is broken and a risk is taken in the belief that the benefit outweighs
the risks.

CULTURE & THE LINK TO VIOLATIONS

Outline the reasons why a poor safety culture might lead to higher levels of violation with regard to
health and safety performance within an organisation.
A consideration of the characteristics of a poor safety culture such as a lack of a shared
perception about the importance of safety could lead an individual employee to violate a rule
or procedure because they are driven by their perception of what is really important or, they
may be influenced by peer pressure.
A belief or perception that rules are not important, or that production is more important, could
also lead to higher levels of violation.

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 CONTROL OF CONTRACTORS

Describe the key organisational and procedural measures that should be in place to control the risks
from contract work.
This question required a description of the key organisational and procedural measures
required to minimise the risks associated with contract work.
Most candidates obtain some marks in this but many look at too few organisational elements to
obtain high marks. Others tend to give very generic comments about safety management or
vague references to HSG65 but these are normally insufficiently specific to achieve marks.
There is a need to deal with the topic of the need for risk assessments and agreed systems of
work but this is only one part of a third party risk management process.
Additional measures that should be described include:
 The provision of adequate information to contractors on the nature of the work and known
hazards;
 The selection of a competent contractor on the basis of evidence concerning skills and
competence;
 Safety management arrangements, resources and risk control proposals; the appointment of
a client representative with contractor management responsibility;
 The provision of information on site rules and safety requirements; and
 Arrangements for the induction briefing of all contract employees.
Arrangements for co-ordinating, providing and reviewing risk assessments and method
statements are an important element of the control measures, as are supervision and
communication arrangements for all affected parties, monitoring (active and reactive)
arrangements, and procedures for completion, hand-over and review of safety performance.

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 CONSULTATION

Within most organisations a process of consultation does exist, these processes may be either formal,
informal or a mix of both.
Outline the range of formal and informal consultation arrangements that may contribute to effective
consultation on health and safety matters within your organisation.
This question needed you to outline consultation arrangements that make for effective
consultation, it seems fairly straightforward, but many candidates tend to trip themselves up
as they confuse consultation with communication.
Consultation could centre on the following:
 The establishment of health and safety committees
 Consultation with workplace worker representatives
 Planned direct consultation at departmental meetings
 Team briefings or similar
 Consultation as part of accident / incident investigation
 Consultation as part of the risk assessment process
 Day to day informal consultations with workers by their supervisors / foremen, etc at the
workplace
 Tool-box talks
 Use of departmental / team meetings for ad-hoc consultation on safety issues
 Discussions as part of safety circles or improvement groups
 Use of staff appraisals
 Use of questionnaires
 Suggestion schemes

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A6 HUMAN FACTORS
PERCEPTION

'Perception' may be defined as the process by which people interpret information that they take in
through their senses.
Outline a range of factors that may affect how people perceive hazards in the workplace.
There are many factors that can affect the way that hazards are perceived in the workplace such as
 Sensory impairment or health status;
 Intelligence
 Mental capability
 The effect of drugs or alcohol;
 The nature of the hazard which may not be readily detectable
 Environmental factors that may distract or confuse such as noise or poor lighting
 Interference by the use of personal protective equipment
 The effect of inadequate information and training
 The presence or absence of previous experience of, or exposure to the hazard
 The effect of expectation following exposure to similar situations
 Sensory overload,
 Work pressures,
 Stress and
 Fatigue.

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 SKILL BASED BEHAVIOUR

What is meant by the term skill based behaviour.

Explain how this can give rise to human error and how such errors may be prevented.
Illustrate your answer with reference to practical examples and actual incidents
This involves a low level, pre-programmed sequence of actions where employees can carry
out routine operations.
Errors may arise if
 A similar routine is incorrectly selected
 If there is interruption or inattention causing a stage in the operation to be omitted or
repeated
 If checks are not carried out to verify that the correct routine has been selected
Preventative measures would be directed at:
 Designing routines and controls that are distinct from each other
 Ensuring adequate work breaks to maintain attention
 Using feedback signals together with training and competence assessment
 Using a higher level of supervision

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 RULE BASED BEHAVIOUR

What is meant by the term rule based behaviour?

Explain how this can give rise to human error and how such errors may be prevented.
Illustrate your answer with reference to practical examples and actual incidents
Rule based behaviour involves actions based on recognising patterns or situations and then
selecting and applying the appropriate rule set.
Errors may arise where for example, the situation is not determined correctly through lack of
information, experience or training, or if there is a tendency to apply the usual rule or solution
even if it were inappropriate.
Preventative measures include:
 Clear presentation of information
 Logical and easy to follow rule-sets
 Training, practice and competence assessment
 Systems designed to highlight infrequent or unusual events

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 ATTITUDE – THE INFLUENCE OF THE MEDIA

a) In relation to workplace behaviour outline what is meant by the term 'attitude'.

b) Outline how the media can influence attitudes towards health and safety, making reference to suitable
examples where appropriate.
For part (a) of the question, candidates should have referred to the term 'attitude' as a
predisposition to act in a certain way which may be determined by ancestry, personal experience
or training.
There a number of ways in which the media can and have influenced attitudes towards health
and safety.
They have the facility to undertake a global coverage of events and can reach a wide audience
using a variety of methods of delivery such as print, television, videos and the internet.
The coverage is often sensationalist and can be influenced on occasions by pressure groups and
other bodies such as Greenpeace.
The influence exerted by the media may be advantageous or detrimental for the industry or
organisation involved particularly those who have high media coverage which can affect the
perceptions of customers, clients and other stakeholders.
To support answers, candidates are expected to refer to the media coverage of incidents such as
the Perrier incident of 1990, Chernobyl, BP Texas and Piper Alpha.

KNOWLEDGE BASED BEHAVIOUR

What is meant by the term knowledge based behaviour

Explain how this can give rise to human error and how such errors may be prevented.
Illustrate your answer with reference to practical examples and actual incidents
Knowledge based behaviour is involved at the higher problem solving level, when there are no
set rules and is based on having knowledge and understanding of the situation that may
present risk.
Errors will consequently occur if there is:
 A lack of knowledge or inadequate understanding
 Insufficient time to carry out a proper diagnosis
 Insufficient thinking through of the problem
 Evidence being ignored
Preventative measures would involve
 Training and competence assessment
 The provision of adequate resources in terms of information and time
 The use of checking systems such as group or peer review

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 SAFETY INCENTIVE SCHEMES

In an effort to reduce accident rates, an employer has introduced an employee incentive scheme
whereby bonuses are paid each month to staff of the 'safest' department.
Outline possible reasons why the scheme appears to have had little effect on safety.
There are a number of reasons why an incentive scheme could fail to have the desired effect.
Initially the lack of interest might be attributed to the fact that the scheme is seen as unfair
since the "safest" departments will always be those with the lowest risks (which suggests that
"safest" should be defined in terms of, for instance, improvement over time rather than by
comparative accident rates).
Hence, the departments where safety is more of a problem may see the goals as unachievable.
Other reasons to which candidates may refer to include:
 Lack of management commitment to, or inclusion in, the scheme;
 Rewards perceived as insignificant compared with other bonuses on offer (such as those
linked to production targets);
 Peer pressure to take risks that is stronger and more persuasive than incentives to act safely;
 A lack of understanding of the scheme caused by over-complexity or poor communication;
 A resistance or cynicism to management schemes in general (reflecting poor employment
relations); and
 The possibility (real or perceived) that accidents are due largely to management failings and
not to unsafe behaviour by employees.

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 INTRODUCING CHANGE

The senior management of your company wish to introduce a number of new, safer working
procedures.
This wish has met with resistance from the workers
For the benefit of your management outline in a memo the steps that managers could take to gain
the support and commitment of workers when introducing these changes.
Here you would be expected to recognise the importance of employee consultation, and you
need to relate your answer to the above scenario – that is answering the question asked.
Within your response the following should have been included:
 The need to consult with employees either directly or through representatives
 A clear explanation of the reasons for change
 Examples of why the changes are needed (e.g. change in law, following an accident, etc)
 A timetable for change should be considered
 Using a step by step approach including the briefing of managers / supervisors / Foremen
etc. on implementation
 A trial period to be considered after which employees would be asked to contribute
suggestions to adapt the procedures
 Documentation and recording of the procedural steps must be carried out with clear
unambiguous communication to employees
 The provision of adequate resource and equipment for the new procedures is crucial and
will include all training needs and possibly some form of incentive for successful
introduction
 Build up trust by involving employees throughout implementation
 Taking suggestions
 Setting a review / revision date.

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 ORGANISATIONAL CHANGE AND NEGATIVE HEALTH AND SAFETY CULTURE

Organisational change can, if not properly managed, promote a negative health and safety culture.
Outline the reasons for this.
Organisational change can, if not properly managed, promote a negative health and safety culture for
a number of reasons such as:
 The profile of safety may not be maintained during the change and new job responsibilities
may not have covered safety issues comprehensively;
 Normal consultation mechanisms and routes may be disrupted; training in safety issues
for new job-holders or for new responsibilities may not have been completed;
 The lack of adequate means of communication during the change may compromise trust
and poor consultation on change issues may have a negative effect on cooperation and on
other issues including safety;
 There may be concern about job security which could encourage risk taking;
 Redundancy processes or cost reduction measures may produce a perception that the
organisation is not concerned with personal well-being;
 Experience or knowledge of risk controls may be lost with changes of personnel;
 The safety implications of changes in personnel or numbers may not have been properly
assessed; extensive movement of personnel makes it harder to establish shared
perceptions and values;
 A greater use of outsourcing without good control may result in lower safety standards by
contractors which may affect the perception of priorities; and last but not least
 The effects of natural resistance to change.

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 INTRODUCING CHANGE – NEW, SAFER SYSTEM OF WORK

The management of an organisation intends to introduce new, safer working procedures but the
workers are resisting this change.
1. Outline practical measures the organisation could take to communicate effectively when
managing this change.
2. Outline additional steps the management could take to gain the support and commitment of
workers when managing this change.
The question presented a common scenario in safety management namely the desire to
introduce new procedures and the need to obtain support and commitment and to overcome
resistance to change.
Measures that could have been considered in this scenario include:
 The provision of regular and frequent newsletters or memos using language and technical
content which is clear and easily understood;
 Holding regular meetings between management and the workforce such as team briefings
and tool box talks;
 Providing the opportunity for regular meetings between the workforce and their safety
delegates;
 Placing notice boards at various locations on the site and ensuring that they display
relevant information and are updated at regular intervals;
 Introducing team building activities and staff suggestion schemes; and providing accident
and incident data to all the workers.
For part (b), additional steps that management might take to gain the support and commitment
of workers include:
 Finding out the reasons for the resistance whether fear of redundancy, de-skilling or
simply a dislike of what is being suggested;
 Consulting with the workforce and others affected such as in meetings of the safety
committee where there should be equal representation of management and workers;
 Using a progressive or step-wise change process and using pilot trials;
 Setting out clearly the reasons for, and the benefits of, the proposed changes and
affording the workers the opportunity to comment on and contribute to the change;
 Providing training to support those affected and ensuring that managers demonstrate
personal commitment to the changes.
Many candidates do not seem to realise that part (a) of the question is concerned with
securing effective means of communication with the workforce and wrote about what should
be done to secure the support and commitment of those workers who would be involved.
Accordingly when they came to part (b), there was little left for them to say.

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 HUMAN ERROR & FATIGUE

Train drivers spend long periods of time in the cab of a train abs may experience loss of alertness.
This can increase the risk of human error.
Outline a range of measures that could reduce loss of alertness in train drivers.
This type of question would stem from HSG 48 ‘Reducing Risk Influencing Behaviour’
Things that should be kept in mind when answering this type of question would be:
Drivers are shift workers and may have disturbed sleep patterns and shortened sleep periods.
Companies sometimes want to modify the rosters of drivers without compromising safety
levels. They rightly get particularly concerned with wanting to maintain high levels of alertness
among drivers.
The answer to this question could centre on shift rosters being redesigned in order to reduce
the disruptions of circadian rhythms (biological body clock governing the 24-hour sleeping /
waking cycle).
The changes would include a clockwise start time shift rotation and a reduction in the number
of consecutive days worked.
Changes to the cab environment which were designed to improve alertness were proposed.
These could include improvements to the seat and armrest adjustment, installation of central
window blinds and a cab fan. Drivers could also be provided with facial wipes.
A quiet room with maybe a reclining chair being provided in depots for drivers to take
advantage of a short nap or period of relaxation between train turns if they so desired.
Shift work education to be provided for drivers and their partners. This lifestyle education
covered sleep management, shift work and nutrition, family and social issues, health and
safety issues and circadian physiology.
Potential Benefits of the above – although not requested in the question but may form parts of
other questions could be;
A likely reduction in safety-related incidents caused by 'driver error'.
Additional benefits may result from reduced levels of absenteeism and sickness.
Experiments in the UK have indicated that drivers favour the above approach
A change for an improved positive safety culture in how the organisation views fatigue and
alertness.

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 HUMAN ERROR

Human error is often cited as a contributor to workplace accidents and incidents.

Outline both the individual and the organisational factors that are likely to influence the incidence of
accidents due to human error.
The range of individual factors that could be outlined here includes:
 Stress arising from personal domestic problems
 Physical capability
 Competence
 Attitude
 Perception of risk
 Age
 Experience
 Drink / drug / solvent abuse problems
 Mental capability
 Peer group pressure
As for organisational factors one could have referred to a range of issues under such general
headings as:
 Management commitment and competence including the failure to promote a health and
safety culture within the workplace and to consult with the employees
 The inadequate provision of training
 Failure to address work patterns to counter problems arising from the continual repetition
of monotonous tasks
 Inadequacy of risk assessments and safe systems of work
 The inability to learn from previous accidents and incidents and to take the necessary
remedial measures
 A failure to take action to deal with potential environmental stressors such as noise,
ventilation, lighting and temperature

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 HUMAN ERROR / FAILURE

A worker has been seriously injured after being struck by material transported using an overhead
crane.
Outline the types of human failure which may have contributed to the accident AND in EACH case
give examples relevant to the scenario to illustrate your answer.
By following the recognised categorisation of human failure, candidates could have initially
outlined that:
Skill based errors (human failure) may arise if:
 A similar routine is incorrectly selected,
 If there is interruption or inattention causing a stage in the operation to be omitted or
repeated
 If checks are not carried out to verify that the correct routine has been selected.
 Slips of action where a familiar task or action was carried out as a planned such as
operating the wrong switch / control
 Lapse of memory where a step was missed in the action sequence due to memory, for
instance commencing the lifting operation out of sequence when other workers were not
prepared.
Rule-based behaviour involves actions based on recognising patterns or situations and then
selecting and applying the appropriate rule set.
An error would involve the application of the wrong rule for example:
 The driver lifting instead of lowering
 The worker crossing the path of the lifting operation.
Knowledge-based behaviour on the other hand, is involved at the higher problem solving level,
when there are no set rules and is based on having knowledge of the system.
Errors will consequently occur if
 There is a lack of knowledge or inadequate understanding of the system – a classic
unfamiliar situation
 Wrong conclusions formed e.g. the first time the crane driver had undertaken that
particular lifting operation
 The driver may have had little experience of the type of lifting operation being carried out
 Was carrying the load at the wrong height while the injured person may have been
unaware that a lifting operation was taking place.
 No rules in place
Finally, violations - deliberate failure to follow rules
HSG 48 defines violations as human failings rather than human error.
A violation (whether routine, situational or exceptional) where for example:
 The driver had failed to operate the siren before commencing the lifting operation
 The injured person had intentionally walked too close to the load being lifted.
Some candidates are not able to distinguish clearly between the different types of human
failure while others do not refer to them at all but merely listed possible causes for the
accident.

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 COMMUNICATION

We all appreciate that effective communication assists good health and safety performance.
How can you ensure that communication in your organisation is effective?
Write down a list of the points that contribute to effective communication.
Since the purpose of communication is the passing on - and sometimes receiving back - of
ideas or facts as information, it is important to ensure that this flow is achieved efficiently and
effectively. Thus it is necessary to control the potential barriers to communication posed by
personality, distortion and lack of attention.
Checklist of Considerations for Effective Communication
 Ensuring clarity in the actual message intended to be passed on, possibly by careful
preparation, repetition of the information (but not excessively!) and by permitting feedback
from the receiver to avoid misunderstanding and ensure accurate perception of meaning
 Ensuring that the pressures of work or deadlines do not detract from the receiver's ability
to fully absorb and consider the information to aid understanding
 Ensuring that time distractions are minimised by the careful consideration of the best time
to undertake the communication - e.g. not at the end of a shift
 Effectively controlling those distractions in the control of the organisation that can cause
the receiver to reduce their concentration on the message - such as reducing the
extraneous noise or the distortion imposed by an ineffective communications medium
(such as a distorted radio or telephone)
 Aid comprehension of the information by developing the communication skills of the
providers of information
 Development of organisation-wide communication policies and standards to reduce the
use of unusual, unique or misunderstood means and styles of communication
 The avoidance of 'special' terms or words - particularly initials or acronyms - such as
jargon or regional words that do not have national meanings, which will also be achieved
from the development and use of organisational communication standards
 Ensuring that language difficulties are properly controlled, by the use of translations or by
pictorial visual information - using internationally recognised icons
 Ensuring that communication methods that cannot be returned to for review - such as
verbal - are supplemented by methods that can be, such as written or visual
 Engender trust to reinforce the communication by team building techniques and social
events
 Minimise the negative effects of body language when using face-to-face communications
by training in communication skills and awareness of the effects of body language
 Ensure that communication is provided by a person who is fully informed and able to
answer questions effectively

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A7 PRINCIPLES OF HEALTH & SAFETY LAW
PRESCRIPTIVE LEGISLATION

With examples outline the benefits and limitations prescriptive legislation

The merits of prescriptive legislations are that its requirements are clear and easy to apply.
Prescriptive legislation provides the same standards for all and is not difficult to enforce.
Its limitations are that:
 It is inflexible
 May be inappropriate in some circumstances by requiring too high or two low a standard
 May need frequent revision to take account of changes in technology and knowledge.

HEALTH & SAFETY LEGISLATION IN THE WORKPLACE & ITS LIMITATIONS

(a) Outline the role of health and safety legislation in the workplace.
(b) Outline the limitations of health and safety legislation in the workplace
Part a)
The role of health and safety legislation in the workplace is to provide workers with the
minimum standards of health and safety which through employer compliance, prevents
injuries and occupational illness.
It ensures the appointment of competent workplace inspectors and allows for penalties
against those who are found to be breaking the law. Prescriptive legislation provides specific
advice and rules to follow while the role of goal setting legislation is to provide general advice
and localised interpretation and ownership.
Legislation can address any specific regional needs, may harmonise standards amongst
countries, provides a civil route for obtaining compensation even if no fault liability exists in
certain countries and is a demonstration of compliance with ILO conventions.
Part b)
The limitations of health and safety legislation are that in the case of prescriptive legislation, it
quickly becomes outdated, does not address social, technological or economic changes and
often lacks detailed regulations to supplement its requirements while the interpretation of goal
setting legislation is variable and inconsistent.
Much of the legislation addresses industrial safety and not occupational health.
There are often insufficient resources available for inspecting workplaces and enforcing the
legislation and often the limited penalties awarded are not a sufficient deterrent for employers
caught breaking the law.
Additionally, many employers and workers are unfamiliar with the content of the legislation
and this is not helped by the lack of involvement of employers, trade unions and workers in
the process of standard setting.

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 GOAL SETTING LEGISLATION

With examples outline the benefits and limitations goal setting legislation
The merits of goal setting legislation are:
 It has more flexibility in the way that compliance may be achieved
 It is related to actual risk and as such can be applied to a wide range of workplaces
 It is less likely to become out of date.
These are countered by the fact that it may be open to wide interpretation and the duties it lays
and the standards it requires may be unclear until tested in the courts of law.
As a result it may be more difficult to enforce and may require a higher level of expertise to
achieve compliance.

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 CONTRACTS - LEGALLY ENFORCEABLE CONTRACT

Identify the essential elements of a legally enforceable contract

A legally enforceable contract requires an offer by one party and an acceptance by the other
and the intention to create legal relations.
It may be legal or written and have legal consideration (e.g. money or undertaking particular
work or actions).
The parties involved must have the legal capacity to make the contract (e.g. adult, not mentally
incapacitated at the time) with genuine consent given to the terms of the contract (e.g. no
misrepresentation of the terms).
A contract must not be contrary to public policy (e.g. a contract to commit a crime).

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 CONTRACT TERMS – EXPRESS & IMPLIED

(a) In relation to a binding contractual agreement give the meaning of:

(i) Express terms;
(ii) Implied terms.
(b) In relation to a new contract outline the health and safety information which should be stated in
the contract terms.
Part a i)
‘Express terms’ are those specifically mentioned and agreed by all parties at the time the
contract is made. They may take account of unusual circumstances but should not include
unfair terms.
Part a ii)
‘Implied terms’ were not so well understood by candidates. They are neither written in the
contract nor specifically agreed, are open to interpretation and include terms such as matters
of fact, matters of law and matters of custom and practice. In cases of dispute they may
ultimately have to be determined by a court of law.
Part b)
In relation to a new contract, one might expect to find in the contract terms, reference to the
provision of a safe working environment with safe means of access and egress and the
provision of safe plant and equipment. Reference should also be made to the need to draw up
procedures to deal with any emergency that might occur, to provide information, training and
supervision for the workforce and to ensure adequate welfare facilities were in place. A few
candidates seemed to be influenced by the United Kingdom’s Construction (Design and
Management) Regulations and wrote of the information that should be supplied by the client
and the principal contractor.

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 COMMON DUTY OF CARE

You have been asked by the company training officer to give a short talk to managers in your
company on the common duty of care aspects of your countries health and safety legislation.
However, the training officer feels that the managers need some back-up information on the section to
keep in their reference manuals.
Prepare a clear but detailed hand-out for the managers concerned.
1. An occupier of premises owes the same duty, the 'common duty of care', to all his visitors,
except in so far as he is free to and does extend, restrict, modify or exclude his duty to any
visitor or visitors by agreement or otherwise.
2. The common duty of care is a duty to take such care, as in all the circumstances of the
case is reasonable to see, that the visitor will be reasonably safe in using the premises for
the purposes for which he or she is invited or permitted by the occupier to be there.
3. The circumstances relevant for the present purpose include the degree of care, and of
want of care, which would ordinarily be looked for in such a visitor, so that (for example) in
proper cases:
 An occupier must be prepared for children to be less careful than adults.
 An occupier may expect that a person, in the exercise of his or her calling, will
appreciate and guard against any special risks ordinarily incident to it, so far as the
occupier leaves him or her free to do so.
4. In determining whether the occupier of premises has discharged the common duty of care
to a visitor, regard is to be had to all the circumstances, so that (for example):
 Where damage is caused to a visitor by a danger of which he had been warned by the
occupier, the warning is not to be treated without more as absolving the occupier from
liability, unless in all the circumstances it was enough to enable the visitor to be
reasonably safe.
 Where damage is caused to a visitor by a danger due to the faulty execution of any
work of construction, maintenance or repair by an independent contractor employed
by the occupier. In this case, the occupier is not to be treated without more as
answerable for the danger if in all the circumstances he or she had acted reasonably in
entrusting the work to an independent contractor and had taken such steps (if any) as
he or she reasonably ought in order to satisfy himself or herself that the contractor
was competent and that the work had been properly done.
5. The common duty of care does not impose on an occupier any obligation to a visitor in
respect of risks willingly accepted as his by the visitor (the question whether a risk was so
accepted to be decided on the same principles as in other cases in which one person owes
a duty of care to another).
6. For the purposes of this section, persons who enter premises for any purpose in the
exercise of a right conferred by law are to be treated as permitted by the occupier to be
there for that purpose, whether they in fact have his or her permission or not.

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 ABSOLUTE & PRACTICABLE

Write in your own words an outline in a way that can be understood by the lowest level of
management the difference between the health and safety related terms of:
a) Absolute,
b) Reasonably practicable,
c) So far as is practicable, and
Absolute Duties:
These duties require the highest standard with no reference to cost or other considerations
and they impose a strict liability to conform.
Practicable Requirements:
These set a high but not absolute standard which must be fulfilled as far as technical and
practical feasibility allows, but again with no consideration of cost.
Reasonably Practicable:
These requirements are those where a balance is made between risk and cost (in terms of
money, time and trouble) and which are met when the cost of further controls are
disproportionate to any reduction in the risk.

PUNITATIVE DAMAGES – COMPENSATION AWARD AND TO WHOM PAID

Outline what is meant by punitive damages in relation to a compensation award clearly stating their
purpose AND to whom the damages are paid.
Punitive damages are a monetary award that is paid to the claimant. However, the intention is
not to compensate the injured party but to act as a deterrent or punishment to prevent the
repetition of the offence by the defendant or others.
To gain better marks, candidates could refer to what the court would take into account when
setting the amount of the award to be given to the claimant.

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 NO FAULT LIABILITY AND BREACH OF DUTY OF CARE

In relation to a claim for compensation, outline the meaning of the terms:

a) No fault liability;
b) Breach of duty of care.
Few candidates tend to have a good understanding of the meaning of the terms ‘no fault
liability’ and ‘breach of duty of care’, which is central to the payment of compensation to
injured workers.
Part a)
Compensation paid on a no fault basis in part a) would include the fact that the injured party is
not required to prove fault against the employer. Injury alone confers the right to
compensation which is paid from a central government fund or insurance scheme.
Where no fault compensation is not available, injured persons will have to prove a breach of a
duty of care.
Part b)
There are three conditions that must be satisfied to establish a breach of duty of care.
1. The claimant must firstly show that there was in fact a duty of care owed by the employer
to the claimant and
2. That the employer was in breach of this duty and finally
3. That the loss, damage or injury incurred resulted from this breach of duty of care.
Thus, fault must be proven to gain compensation for injury.

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 CORPORATE PROBATION, ADVERSE PUBLICITY ORDERS & PUNITIVE DAMAGES

a) In relation to the improvement of health and safety within companies, describe what is meant
by:
i. Corporate probation;
ii. Adverse publicity orders;
iii. Punitive damages.
b) Outline the mechanism by which the International Labour Organisation (ILO) can influence health
and safety standards in different countries.
c) Describe what is meant by the term 'self- regulation' in relation to health and safety management
within organisations.
In answering part (a) of the question, candidates should have described corporate probation as a
supervision order imposed by a court on a company that has committed a criminal offence.
When applied to a health and safety offence, the order might require the company to review its
safety policy or its health and safety procedures, initiate a training programme for its directors
and senior management or reduce the number of its accidents. Its aim is to instigate a change in
the organisation's culture under the supervision of the court.
The intention of an adverse publicity order would be to publicise the failings of an
organisation and seek to change its conduct through public perception.
Punitive damages are damages not awarded to compensate the plaintiff, but in order to reform
or deter the defendant and similar persons from pursuing a course of action such as that
which damaged the plaintiff.
In answering part (b) on the mechanisms by which the International Labour Organisation can
influence health and safety standards in different countries, candidates are expected to refer to
matters such as
 The development of international labour standards through conventions supplemented by
recommendations containing additional or more detailed provisions;
 The ratification of the conventions by member states which commits them to apply the
terms of the convention in national law and practice;
 The requirement for member states to submit reports to the ILO detailing their compliance
with the obligations of the conventions they have ratified;
 The initiation of representation and complaint procedures against countries for violation of
a convention they have ratified;
 The provision of technical assistance to member states where this is seen to be necessary
and
 Indirectly through the pressure applied internationally on non-participating countries to
adopt ILO standards.
For part (c), self-regulation in general terms might refer to the trend in health and safety
legislation to set standards and objectives and leave it to the duty holder to determine how best
to achieve them.
More particularly it could refer to the means by which members of a profession, trade or
commercial activity are bound by a mutually agreed set of rules often set out in a code of practice
or conduct. It governs their inter relationship and the way they operate. The rules may be
accepted voluntarily or they may be compulsory.
There will normally be a procedure for resolving complaints and for the application of
sanctions against those who infringe the rules

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 REPORTING OF OCCUPATIONAL DISEASES

Make a list of occupational diseases which are contained in Federal Law.

Compare this list to the list of occupational diseases listed in the Reporting of Injuries, Diseases and
Dangerous Occurrences Regulations (RIDDOR) of the UK
RIDDOR (UK) UAE FEDERAL LAW
Certain poisonings; Certain poisonings

Some skin diseases such as: occupational

Chronic diseases of the skin and burns to
dermatitis, skin cancer, chrome ulcer, oil
the skin and eyes
folliculitis / acne;

Lung diseases including: occupational Lung diseases resulting from the use of
asthma, farmer's lung, pneumoconiosis, silica dust, cotton dust and asbestos.
asbestosis, mesothelioma; Tuberculosis

Infections such as: leptospirosis; hepatitis;

tuberculosis; anthrax; legionellosis and Anthrax, glanders, Enteric Fever
tetanus;

Other conditions such as: occupational

cancer; certain musculoskeletal disorders; Diseases resulting from radium and
decompression illness and hand-arm radioactive substances
vibration syndrome.

74 + in total 18 in total

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 SELF-REGULATION

An organisation has decided to adopt a self-regulatory model for its health and safety management
system.
Explain:
(a) The benefits; and
(b) The limitations,
Of self-regulation in connection to the management of health and safety.
Part a)
One of the important benefits of adapting a self-regulatory model for a health and safety
management system is that it is developed by those directly involved who have a better
understanding of the issues involved, is specific to a particular site or industry, and can
generate a strong sense of ownership with higher levels of compliance.
The system is quicker to achieve than that which is dependent on national legislation, best
practice can be adopted which often offers a cheaper and quicker means of addressing issues
with the system as a whole being generally easier to adapt/ and/or update.
Part b)
The limitations of adopting such as system, however, are that there is no umbrella standard to
strive for and all those involved in the organisation may not operate within the self-regulatory
rules with the possibility of difficulty arising in working with other companies or sites.
The model may not always fit local circumstances, issues may be missed and there is a
danger that this would result in lower levels of compliance with a general lowering of
standards.
One of the most important limitations is that there will be no third party or independent
auditing and as such the management system may not be valued as highly by stakeholders.

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 CLAIMING COMPENSATION

A small food company imports and blends natural ingredients, many in powder form.
This creates a dusty atmosphere but, since the company believes that the ingredients are inherently
safe, the only means of controlling dust levels is by natural ventilation.
An employee of the company has recently been diagnosed as severely asthmatic.
He claims that he informed the company on starting employment that he suffered from chest
problems but no masks were provided or further precautions taken. He also claims that his symptoms
have considerably worsened during his three years with the company.
Identify the legal actions that might be available to the employee in a claim for compensation against his
employer, clearly showing what he would need to prove for the actions to succeed.
This type of question proves relatively popular and one that normally produces some excellent
answers from those candidates who were able to review the criteria for a successful claim for
negligence and breach of statutory duty, and who could apply these criteria to the scenario
given.
However, there were candidates who confuse the criteria for negligence and breach of statutory
duty, and a failure to apply fully the criteria to the scenario, they lose the opportunity for
marks.
It is expected that candidates would indicate what, in this scenario, might lead to the
conclusion that
 There had been a breach of the common law duty of care (failure to take reasonable
precautions to protect the health of the employee) and that
 The link between breach of duty and damage would also be considered in the context of
what was described (e.g. Could such a link be established?; will medical evidence support the
claim?; etc.)
Many answers deal with such issues superficially, if at all.
The tests for negligence are, by and large, better understood than those for breach of statutory
duty.
It is normally particularly disappointing to note that a number of candidates go to an
examination without any apparent understanding of the key requirements for a successful
action for breach of statutory duty.
Not only were there sometimes misunderstandings about the legal criteria to be applied but
there is, at times clearly a firm belief held by a number of candidates that such actions could be
won in this case simply by establishing a breach of a common duty of care.
Statutory instruments that contain specific requirements relevant to the scenario, and under
which actions would have been allowed (subject to the other criteria for a breach of statutory
duty action), were for example the Management of Health and Safety at Work Regulations and,
more particularly perhaps, the Control of Substances Hazardous to Health Regulations.
Candidates were expected to identify examples of specific requirements within such legislation
that would be relevant but mostly such issues were covered in vague terms and with an
assumption that the COSHH Regulations would apply (rather than explaining how they would
apply in this case – e.g. by reference to dust levels and/or sensitising agents).
As usual, some credit is available for the correct use of case law and, in this scenario, Paris v
Stepney Borough Council was particularly relevant to the negligence claim. However, there is
sometimes a use of irrelevant case law by candidates.

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 CIVIL LAW – INJURY TO A CHILD – CONSTRUCTION SITE

Consider the following situation:

A child has fallen from a scaffold on a site for which you are the Safety Officer. The child gained
access to the site by crawling under the perimeter fencing.
Outline the actions that may be available to the child’s parents in seeking compensation for the
injuries sustained and with reference to the incident, explain the tests that would have to be satisfied
to the actions to succeed.
Here you would be expected to recognise a double barrelled action would be possible and to
explain the tests that would have to be satisfied for the actions to succeed.
For a tort of negligence the construction company would have to be shown to have owed the
child a duty of care and to have breached that duty.
In the scenario given there is a foreseeable risk of trespassers on the site and more should
have been done to prevent children gaining entry such as reinforced fencing, closing off
access to the scaffolding and providing site security.
It must also be shown that the breach of duty led to the injury.
In a civil claim for tort of breach of statutory duty it must be shown that:
 A duty is imposed by the statute on the defendant;
 The claimant is one of the persons to whom the statutory duty is designed to protect;
 The injury sustained was the kind that the statute was designed to prevent;
 The defendant was in breach of the duty;
 The breach led to injury and
 The action is not statute barred

CIVIL LIABILITY DEFENCES

An employee of your company was recently injured in a workplace accident and your management
have asked you as a safety advisor what defences are available to them to dispute a claim of
negligence being made against them by the injured employee.
Prepare an outline of the defences that are available to your employers. As you do not know the
details of the accident or person making the claim you have to outline the options available.
There are various defences available to an employer in disputing a claim of negligence by an
employee who has been injured at work.
These include:
 That there was no duty owed to the employee (rarely applicable unless the employee was
clearly acting outside the course of employment)
 That, if there was a duty owed, the duty had not been breached (e.g. the accident was not
reasonable foreseeable or the employer had done everything reasonable to prevent it)
 If there had been a breach, the harm suffered by the employee was not a direct
consequence of the breach (e.g. it was too remote or was unconnected)
 It was the sole fault of the employee
 Act of God

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 Contributory negligence provides a partial defence

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 VICARIOUS LIABILITY

An employee was directed by his manager to remove a heavy component from a machine known as a
plastic injection moulding machine.
The beam mounted above the machine was marked as having a safe working load of 1 tonne;
however the component weighed 1.5 tonnes.
When he tried to remove the component the beam failed, dropping the component, which caused a
crushing injury to a contractor nearby who was watching the operation.
The weight of the component was marked on the manufacturers’ literature which was available in the
nearby offices.
Identify what is meant by vicarious liability in a general sense?
Employers must take into account the fact that they can be vicariously liable for the actions of
their employees whilst at work.
Proper controls on the behaviour and activities carried out by workers must ensure that they
do not put themselves or any other persons at risk through actions such as breaking the rules
or being involved in unauthorised activities, (e.g. failing to follow the control measures put in
place as a result of the risk assessment)

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 POWERS OF INSPECTORS

The company you work for is a family owned organization and the founder, Mr. Mohamed, still wields
a lot of power ‘’behind the scenes’’.
According to Mr. Mohamed, when he started the company many years ago there was ‘’none of this
health and safety nonsense’’.
Mr. Mohamed is a very belligerent individual and difficult to persuade to change his ways in an
argument. He particularly objects to what he sees as ‘’all this government interference in the way I run
my company …. Of course we use safe working practices ….. the same ones we have used for years
….. we never have any accidents …..’’.
The inevitable happens and a long-serving employee is killed in a serious accident.
An inspector is due to visit the factory tomorrow, and Mr. Mohamed is talking about refusing him entry
to the premises.
Explain to Mr. Mohamed, in writing, the powers of inspectors and their function in the enforcement of
health and safety legislation.
This answer refers to 'inspectors'. The term as used here include inspectors with health, safety
and environmental enforcement powers
Unless there is any restriction to the contrary in an inspector's written appointment from their
Government all inspectors will have the powers set out in National Legislation.
Powers are conferred on inspectors for the purpose of putting into effect any relevant health
and safety legislation which falls within the field of responsibility of the ‘authority body’ that
appointed the inspector. The powers are generally (but these may vary from country to
country):
a. To enter premises:
b. To take a Constable or any other person authorised by the enforcing authority.
c. To take equipment and materials onto premises.
d. To carry out examinations and investigations.
e. To direct that premises or anything at the premises are left undisturbed.
f. To take measurements, photographs and recordings.
g. To take samples of articles or substances.
h. To dismantle, process or test substances or articles, and to destroy them if necessary to
ensure safety.
i. To take possession of articles or substances in order to examine them, or to ensure that
they are not tampered with or that they will be available for evidence.
j. To require anyone whom the inspector has reasonable cause to believe can give
information relevant to his examinations or investigations to answer questions and sign a
declaration as to the truth of the answers. This must be done in the absence of all persons
other than someone nominated by the interviewee to be present, and any persons which
the inspector may allow to be present.
k. To require production of, inspect, and take copies of entries, including documents which it
is necessary for the inspector to see for the purposes of investigation.
l. To require facilities and assistance to be provided to enable an inspector to exercise his
powers.

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m. Any other power which is necessary to enable inspectors to maintain the legal standards
for which their enforcing authority is responsible.
Offences
It is an offence to prevent or attempt to prevent any other person from appearing before an
inspector, or from answering any questions which the inspector is entitled to ask by virtue of
National Legislation.
It is also an offence intentionally to obstruct an inspector in the exercise or performance of his
powers or duties, or to make a false statement to an inspector, or to falsify entries in registers,
books or other documents which an inspector may wish to see.
Obligation to Consult
Before exercising his power to dismantle, process or test a substance or article, an inspector
should consult as appropriate to check what dangers there may be in carrying out any of the
testing which he proposes to do under his powers.
If requested to do so by the person who is present in, and has responsibilities in relation to,
the premises where an article or substance has been found, an inspector should carry out any
of the testing or other processes in the presence of that person unless to do so would be
prejudicial to the safety of the State.
If an inspector intends to exercise his power to take an article or substance into detention, he
should leave a notice giving particulars of what has been removed, and before taking
possession of any substance, an inspector should, if it is practicable, take a sample of the
substance and give a portion of that sample to a responsible person at the premises.
Statements
Where an inspector requires anyone to answer questions and sign a declaration as to the truth
of the answers, none of those answers can be used in evidence against the person who gave
them or their spouse. They can be used to make a case against others, such as the person's
employer.
In a lot of countries with regard to statements - 'a person whom there are grounds to suspect
of an offence must be cautioned before any questions about it (or further questions if it is his
answers to previous questions which provide the grounds for suspicion) are put to him
regarding his involvement or suspected involvement in that offence if his answers or his
silence (i.e. failure or refusal to answer a question or to answer satisfactorily) may be given in
evidence to a court in a prosecution'.
The effect of this provision is that if an inspector suspects that an individual (for example, an
employee, or a director) is responsible for an offence, he may caution that person, and
whatever the person says during the course of the interview may be used against him in
criminal proceedings. However, there is no obligation on an individual to consent to give an
interview under caution to an inspector (as, unlike the police, the inspector has no power of
arrest).

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 ENFORCEMENT NOTICES

A friend of yours who runs a small engineering company has phoned you in a panic.
He has just heard that one of his competitors has been served with an ‘Improvement Notice’ under
local health and safety legislation, and another with a ‘Prohibition Notice’.
Your friend is desperate to know what these notices are, how they differ and what form of appeal
there is against them, if any.
Prepare a clear explanation for him of what these notices are, why they are served and by whom,
and what he can do about it if he is ever served with one.
Improvement Notice
Under National Legislation where an inspector is of the opinion that there is an ongoing
contravention of statutory provisions, or where a previous contravention is likely to be
repeated, he/she may serve an improvement notice requiring action to be taken to remedy the
contravention.
Prohibition Notice
Under National Legislation, where an inspector is of the opinion that there is a risk of serious
personal injury then he/she may serve a prohibition notice directing the termination of the risk-
causing activities. A prohibition notice may either take effect straight away (an 'immediate'
prohibition notice) or at the end of a period specified in the notice (a 'deferred' prohibition
notice).

SELF REGULATION

As an organisation yours wishes to go along a route of a self regulatory model for its health and safety
management system. Please explain to your management:
1. The Benefits, and
2. The limitations
Of self-regulation in connection to the management of health and safety
1. Benefits – The benefits of an organisation adopting a self-regulatory model could include:
 That it became developed by those who best understand the organisation
 It can sometimes be quicker to achieve than compliance with statutory legislation
 It can generate a sense of ownership which in turn can result in higher levels of
compliance
 It can be easily adapted and updated
2. Limitations – The limitations of an organisation adopting a self-regulatory model could
include:
 All those involved would not operate within the self-regulatory rules
 There is a danger of self-interest being put ahead of employees and public interest
 There is no third party or independent auditing to provide an objective view
 Sometimes a self-regulatory model can ultimately result in it not being valued by
stakeholders.

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 HOW THE ILO CAN INFLUENCE HEALTH AND SAFETY STANDARDS
Outline how the International Labour Organisation can influence health and safety standards in
different countries.
The mechanisms by which the International Labour Organisation (ILO) can influence health
and safety standards in different countries can consider a range of matters, including:
 The development of international labour standards through conventions supplemented by
recommendations containing additional or more detailed provisions;
 The ratification of the conventions by member states which commits them to apply the
terms of the convention in national law and practice;
 The requirement for member states to submit reports to the ILO detailing their compliance
with the obligations of the conventions they have ratified;
 The initiation of representation and complaint procedures against countries for violation of
a convention they have ratified;
 The provision of technical assistance to member states where this is seen to be necessary
and
 Indirectly through the pressure applied internationally on non-participating countries to
adopt ILO standards.

HOW CAN LEGISLATION IMPROVE HEALTH AND SAFETY?

Outline how legislation may improve health and safety.

There are two types of legislation, namely prescriptive and goal setting.
Whilst the former provides specific advice together with rules to follow, the latter sets
objectives to be achieved and provides advice and guidance in accompanying codes of
practice and guidance.
They both, however, set minimum standards for the management of health and safety in the
workplace, and these standards are enforced by the regulator by means of visits by trained
and qualified inspectors who identify those situations where the current standards do not
equate to those required by the legislation and accordingly ensure that the appropriate
punishment is applied.
The legislation should apply to all workplaces, creating a level playing field, and compliance
by the employer should secure a reduction in cases of injury and occupational illness.

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A8 MEASURING AND REGULATING HEALTH AND SAFETY
PERFORMANCE
INFLUENCES OF BODIES REGULATING HEALTH AND SAFETY PERFORMANCE
Identify influential bodies in regulating health and safety performance AND outline how they may
exert their influence.
There are a range of bodies such as:
 Employer and trade associations who set performance standards for their members and
require self-regulation and accredited management systems;
 Trade unions where representatives check workplace conditions and provide advice and
guidance;
 Enforcement agencies who check compliance with standards, provide advice and
guidance and take enforcement action when this is seen to be necessary;
 The ILO who as well as publishing advice and guidance, enforce standards by means of
conventions and recommendations in ratifying countries;
 Insurance companies who require specific performance standards to obtain the cover they
provide;
 Certification bodies who seek compliance with particular standards;
 Courts of law through their judgements and interpretation of health and safety law;
 Pressure groups who may run bad publicity campaigns for non-performing organisations;
and
 The media by their publicity and their way of sensationalising certain events.

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 DEMONSTRATING COMPLIAND WITH OHSAS 18001

Some organisations may decide to adopt standards such as OHSAS 18001. Describe how
demonstrating compliance with such a standard can be used to:
a) Promote health and safety performance in a company;
b) Regulate health and safety performance in a company.
Part a)
Demonstrating compliance with a standard such as OHSAS 18001 can promote health and
safety performance in a company by:
 Communicating minimum standards of performance;
 Developing systems for compliance supported by senior management and involving
workers in their development;
 Using departmental auditing scores and internal performance league tables to encourage
compliance;
 Introducing reward schemes linked to compliance;
 Using compliance as a marketing tool in attracting clients; and
 Publishing performance achievements in the company’s annual report.
Part b)
There are a number of ways in which compliance with the standard might help to regulate
health and safety performance in a company. For instance:
in the case of a failure to maintain compliance, stakeholders might take retribution against the
management team, clients and business partners may cease to engage with the company, and
insurance companies may withdraw their cover.
The threat of loss of business and damage to the company image may help to improve
standards and management commitment.
Internal and third party audits will identify failing compliance and require solutions to be put in
place to maintain accreditation with the possibility of internal sanctions being imposed on
offending departments for non-compliance.
The organisation will always be conscious of the various actions that might be taken by the
accrediting body from informal notification of failure to comply with the standard, through
formal notification if non-conformance were to continue to the ultimate act of withdrawal of it’s
accreditation.

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 INFORMATION PROVISION TO EXTERNAL BODIES

Outline a range of individuals and bodies external to an organisation that may need to be provided
with health and safety information, for legal or good practice reasons.
In EACH case, identify the type of information to be provided.
The external bodies and individuals to whom an organisation may need to provide health and
safety information for legal or good practice reasons are:

Body / Individual Type of Information

Information required by law or in accordance

Enforcing Authorities with the ILO Code of Practice or as part of
inspection or investigation activities

The inventories of potentially hazardous

and/or flammable materials used or stored on
The Emergency Services
the site and on the means of access and
egress to the site

Health and safety information on articles and

Customers
substances they might use for work activities

Information on emergency action plans for

Members of the public major hazards and as part of community
relations

Advice on safe working arrangements and

Visiting Contractors
procedures

Information on controlled or hazardous waste

Waste disposal contractors
produced by the organisation

Information on the precautions to be taken in

Transport companies transporting hazardous substances from the
organisation’s site

Information relating to proceedings,

Legal representatives or courts
investigations, etc.

Information on organisations performance

Trade associations / Trade Unions
and social responsibilities.

Information the safety management systems

Insurance companies
in place

The organisation’s level of performance as far

Shareholders
as health and safety was concerned.

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 REPORTING ACCIDENTS – TRENDS

An advertising campaign was used to promote improvement in safety standards within an

organisation.
During the period of the campaign the rate of reported accidents significantly increased and the
campaign was deemed to be a failure.
In a report to management outline reasons, why the rate of reported accidents may have been a poor
measure of the campaign effectiveness.
The reason the number of reported accidents had increased was because they may have been
previously under-reported.
In addition the campaign raised awareness which may have resulted in previously unreported
accidents now being reported.
However, in the absence of any other data, it is almost impossible to tell whether or not the
increase is ‘real’.

MEASURING HEALTH & SAFETY PERFORMANCE

Explain the purposes and benefits of collecting ‘near miss’ incident data within an organisation.
Near misses presented events that had the potential to lead to injury and their investigation
could prevent recurrence.
It also must be remembered that near misses represent failures in the safety management
system that could be investigated to improve the system and also recognising the importance
of near miss data in identifying underlying causes of accidents.
Near miss data can also:
 Help to identify inadequate procedures
 Help to identify breaches of the law
 Provide sufficient data for analysis
 Help to identify trends
 Increase safety awareness
 Improve the safety culture.

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 PROACTIVE (ACTIVE) MONITORING

Describe four (4) proactive (active) measures which may be used to measure your organisations
health and safety performance.
Here you would gain marks by describing the methods of measuring in sufficient detail
Good measures for improving safety – but this was not the question as such
 Increased consultation with the workforce
 Toolbox talks
 Risk assessment
 Training, etc.
 Using year on year comparisons would assist in being an indicator
Proactive Measure should include, but not be limited to:
1. Safety audits
2. Safety tours
3. Workplace inspections
4. Safety sampling
5. Safety surveys
6. Environmental monitoring
7. Health surveillance safety climate measures
8. Behavioural safety measurements
9. Benchmarking
10. Measuring of health and safety performance against set targets.

REACTIVE MONITORING

Outline FOUR reactive monitoring techniques.

Here candidates answers should centre around the inclusion of the identification, reporting
and investigation of:
1. Work-related injuries, ill health (including monitoring of aggregate sickness absence
records), diseases and incidents;
2. Other losses, such as damage to property;
3. Deficient safety and health performance, and OSH management system failures; and
4. Workers' rehabilitation and health-restoration programmes.

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 BENEFITS OF ACTIVE AND REACTIVE MONITORING

Explain the benefits of active and reactive monitoring

You can’t manage what you can’t measure – Drucker
Measurement is an accepted part of the ‘plan-do-check act’ management process.
Measuring performance is as much part of a health and safety management system as
financial, production or service delivery management.
The HSG 65 framework for managing health and safety, shows where measuring performance
fits within the overall health and safety management system.
The main purpose of measuring health and safety performance is to provide information on
the progress and current status of the strategies, processes and activities employed to control
health and safety risks.
Effective measurement not only provides information on what the levels are but also why they
are at this level, so that corrective action can be taken.
Health and safety monitoring or performance measurement should seek to answer such
questions as:
 Where is the position relative to the overall health and safety aims and objectives?
 Where is the position relative to the control of hazards and risks?
 How does the organization compare with others?
 What is the reason for the current position?
 Is the organization getting better or worse over time?
 Is the management of health and safety doing the right things?
 Is the management of health and safety doing things right consistently?
 Is the management of health and safety proportionate to the hazards and risks?
 Is the management of health and safety efficient?
 Is an effective health and safety management system in place across all parts of the
organization?
 Is the culture supportive of health and safety, particularly in the face of competing
demands?
These questions should be asked at all management levels throughout the organization.
The aim of monitoring should be to provide a complete picture of an organization’s health and
safety performance.
The measurement information helps in deciding:
 Where the organization is in relation to where it wants to be
 What progress is necessary and reasonable in the circumstances
 How that progress might be achieved against particular restraints (e.g. Resources or time)
 Priorities – what should be done first and what is most important
 Effective use of resources.
Information from the performance measurement is needed by a variety of people.

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These will include directors, senior managers, line managers, supervisors, health and safety
professionals and employees/safety representatives.
They each need information appropriate to their position and responsibilities within the health
and safety management system.
For example, what the chief executive officer of a large organisation needs to know from the
performance measurement system will differ in detail and nature from the information needs of
the manager of a particular location.
A co-ordinated approach is required so that individual measuring activities fit within the
general performance measurement framework.
Although the primary focus for performance measurement is to meet the internal needs of an
organisation, there is an increasing need to demonstrate to external stakeholders (regulators,
insurance companies, shareholders, suppliers, contractors, members of the public, etc.) that
arrangements to control health and safety risks are in place, operating correctly and
effectively.

OBJECTIVES OF ACTIVE AND REACTIVE HEALTH AND SAFETY MONITORING

Explain the objectives of:

(a) active health and safety monitoring;
(b) Reactive health and safety monitoring.
Part a)
The objective of active monitoring is to give an overview of the strategies currently in place to
control risk and to provide information on how the system operates in practice. It can thus
identify risks of accidents, injuries, ill-health and loss and by ensuring appropriate health and
safety systems and procedures are in place, allows the initiative to be taken before things go
wrong.
Part b)
The objective of reactive monitoring is to measure historic performance by looking at events
that have occurred and by identifying the consequences of a hazard and the cause of failure,
to establish what systems and procedures can and should be put in place to prevent a
recurrence. It also provides data which may be used to assess and compare trends over time.
Both active and reactive monitoring may be used to measure legal compliance or non-
compliance and by providing a basis for continual improvement may demonstrate
commitment on the part of management and improve the morale of the workforce.

BENCHMARKING

Outline what is meant by the term ‘benchmarking’ with reference to health and safety performance?
Benchmarking is a planned process by which an organisation can compare its health and
safety processes with other organisations with the objectives of:
 Reducing accidents and ill-health;
 Improving legal compliance; and
 Cutting compliance costs.

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 AUDITING – DEVELOPING & INTRODUCING AN IN-HOUSE PROGRAMME

You are a health and safety advisor to a large organisation. You are trying to convince your senior
management to allow you to introduce an in-house auditing programme to assess the effectiveness of
the organisation’s health and safety management arrangements.
Outline the issues to be addressed in the development of the audit system.
This question set about examining your understanding of the organisational and planning
issues to be addressed in the development and implementation of an audit programme. This
type of situation is an important challenge to the health and safety professional.
It is important that one approaches the question in a strategic manner with some of the
considerations that needed to be addressed includes consideration of:
 The logistics and resources required,
 Obtaining the support and commitment of senior managers and other key stakeholders
 The nature, scale and frequency of the auditing relative to the level of risk involved
 The standards against which the management arrangements are to be audited
 The identification of the key elements of the process such as
o The planning,
o Interviews and
o Verification,
o Feedback routes
o The preparation and presentation of the final report.
 There would also have to be recognition of the need to develop audit protocols
 Consider the use of proprietary software
The types of auditing such as:
 Comprehensive or
 Horizontal or
 Vertical slicing
The scope, such as:
 Management system elements or
 Selected performance standards
Audit teams:
 Single auditors
 Audit teams
 Training of auditors
To gain additional marks it would be beneficial to mention the briefing of those members of
the organisation who were likely to be affected

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 INTRODUCING AN IN-HOUSE AUDITING PROGRAMME – ORGANISATIONAL &
PLANNING ISSUES

As the Health and Safety Adviser to a large organisation you have decided to develop and introduce
an in-house auditing programme to assess the effectiveness of the organisation's health and safety
management system.
Describe the organisational and planning issues to be addressed in the development of the audit
programme.
You do not need to consider the specific factors to be audited.
Some of the issues that needed to be addressed include:
 A consideration of the logistics and resources required and obtaining the support and
commitment of senior managers and other key stakeholders since if this was not obtained,
much required information might not be forthcoming and the value of the audit would be
diminished.
 The nature, scale and frequency of the auditing relative to the level of risk involved, the
standards against which the management arrangements were to be audited, the
identification of the key elements of the audit process such as the planning, interviews and
verification, feedback routes and the preparation and presentation of the final report,
 The use of a single auditor or audit teams whether internal or external, and the training
they would need.

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 INSURED & UNINSURED COSTS

Explain with examples the meaning of the terms ‘insured’ and ‘uninsured costs’ in connection with
accidents and incidents at work and describe the relative size of these two costs in an organisation as
demonstrated by accident costing studies.
When persons answer this type of question there is sometimes a misconception that all
insured costs are direct and all uninsured costs indirect.
Costs normally covered by insurance would include for example:
 Those associated with employers’ liability
 Public liability
 Fire liability
Uninsured costs arising from accidents and incidents at work could include damage to
property, repair of plant and the cost of clean up that may have to take place.
It has been estimated in some studies (e.g. UK Cost of Accidents study by the HSE) have in
the past indicated that uninsured costs were typically from eight to thirty six times greater
than insured costs.

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 ACCIDENT INCIDENT RATES

The following table shows the numbers of lost time accidents to employees for two hospitals situated
in the same city.
Hospital A is a long established government hospital employing circa 2,500 staff, whereas Hospital B
is a fairly new hospital operating in the private sector and it employs in the region of 300 staff. The
figures in brackets indicate the mean numbers of employees at each organisation for the years in
question.

YEAR HOSPITAL A HOSPITAL B

2004 22 (2500) 8 (250)

2005 24 (2450) 8 (265)

2006 31 (2300) 8 (300)

2007 30 (2100) 7 (340)

1. Calculate the annual lost-time accident incidence rates for the two hospitals and draw general
conclusions from the results
2. Identify the possible limitations with the data that might make direct comparisons on safety
performance unreliable or misleading and suggest reasons for the actual differences in safety
performance between the two hospitals
Calculations
The type of question is one that allows you to gain good marks as long as you understand the
general concept of accident rates.
Initially you need to state and use a multiplier such as the rate per 1000 employees.
By carrying out the calculation it will be determined that B has significantly higher rates
compared to A.
But there is a rising trend in A with a falling trend in B.
Possible Limitations
The possible limitations on the comparability of the data such as:
 The organisations having different definitions of lost time accidents and different methods
of reporting them
 The data produced by either organisation may not take into account overtime worked nor
include accidents to part time staff and those occurring to non-employees such as
contractors
The cultural issues such as the possible existence of greater propensity to take time off in one
organisation as opposed to the other.

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 ACCIDENT NUMBERS & SAFETY PERFORMANCE

Explain the limitations of relying only on accident numbers as a measure of health and safety
performance.
The limitations of relying solely on accident numbers as a measure of health and safety
performance include:
 The possibility of under reporting;
 The fact that though there are few accidents, this may not be as a result of an effective
health and safety management system and additionally, in a low risk business, few
accidents are not always an indicator of effective control while in a business where the
risks are high, a large number of accidents may not always indicate an ineffective
management system;
 The number of accidents alone gives no indication of the incidence of ill-health or the
number of near misses that may have occurred;
 They do not provide data on the frequency or severity of the accidents that have occurred,
the accident rate relative to the number of workers nor a measurement of trends over time;
 They do not provide an opportunity for comparisons with a benchmark standard and the
data produced is historical and reactive whereas a true indication of health and safety
performance relies on both proactive and reactive monitoring measures.

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