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An employee has suffered long-term lung damages a

result of exposure to hazardous substances at his

place of work. As a result, the employee has,
on medical advice, been moved to alternative work
away from the substances concerned.
Outline the types of cost to the employer
which may arise from this situation. (12)

Compensation costs
Legal fees
Medical/treatment costs
Loss of production
Lost time for medical assessment
Overtime costs for cover;
Costs for new worker; cost for employee moved to new job;
Investigation time;
Clerical effort; fines/prosecution costs;
Fee for intervention by enforcements;
loss of expertise;
loss of goodwill by customers/stakeholders;
Reduced productivity by fellow workers; health screening by
other exposed workers;

Increased insurance

Ill health caused or made worse by work is a greater

cause of harm to workers than the more traditional safetyrelated causes such as falls from height or machinery accidents.
Identify the national sources of data AND give examples
of conclusions that have been drawn from these sources,
which support the statement above. (8)
Detailed statistics or data are not required in your answer.

HSE publish annual injury and ill-health statistics

Labour Force Survey data (published by HSE) indicates scale of occupational ill-health;

the above shows large numbers (approx 2 million) of people suffering

from work related ill-health;

some ill-health data from health service reporting;

some ill-health data from occupational physicians;

some ill-health data from RIDDOR;

mortality and disease rates from the Office for

National Statistics (ONS); Cancer/COPD deaths
far greater in numbers than other causes like
falls etc;

An organisation is proposing to move from a health

and safety management system based on the
Health and Safety Executive's HSG65 model to one
that aligns itself with BS OHSAS 18001. Outline the
possible advantages AND disadvantages of such a
change. (10)


Easier Integration with


Change is time-consuming and expensive

May require additional paperwork and skills
for chance

Generate publicity
Perception of the organisation is


18001 is an internationally recognised

18001 is easier to benchmark and audit;
Can be externally verified and certified

18001 may not be appropriate for Small to

Medium businesses (over the top);
HSG65 is the official standard used by
the HSE so despite the change HSG65 will
still be the reference point for their inspection / audit / investigation;
It can loose its identitiy and be audited by
non specialists

Outline ways in which an H&S practitioner

could evaluate and develop their own
practice. (10)


Health and safety performance levels of an organisation
reviewing the impact of changes / recommend
tions / interventions they have made to a business;
Setting personal objectives / goals / targets;
Monitoring / reviewing their performance against
Targets they set
Benchmarking their performance against recognised professional standards (eg IOSH)

Develop (= improve / enhance) their own practice by:

Gaining a recognised qualification
Update Continual professional development
Attend IOSH meetings/conferences
ensuring access to relevant up-to-date information

Bechmarking against approved codes of practice

Going on placements for other organisations.

Appraisal with managers
Feedback from customers
Reviewing failures / accidents
Seek advice from other H&S professionals

(a) Explain why organisations often identify the

costs of health and safety control measures much
more easily than they identify the costs that can
arise from poor health and safety standards. (6)

For example, H&S control measures are treated as an overhead and the amount
spent is easily calculated.
Costs from poor health and safety however can take many years to show (Civil claims)
Some are indirect so not easily recognised
Reputation damage
Cost of recourses
Poor health and safety culture
Loss of experience
Lost orders/contarcts
eg the costs of resources expended during investigations, loss of skill / experience,
damage to staff morale / H&S culture, reputational damage resulting in lost orders /
contracts etc etc.
Hard to calculate the savings made from GOOD health and safety as this is usually a negativeI.E ZERO accidents is hard to quantify

Outline, 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. (4)

Insured costs are those costs / losses that are recoverable via an insurance scheme eg
1. Employers liability (compensation / damages);
2. Public liability,
3. fire insurance
Uninsured costs are those that are not recoverable via
an insurance scheme eg
1. FINES imposed for breaches of the relevant statutory provisions;
2. Damage to corporate image / reputation;
3. lost time; clean up costs
Uninsured costs may be between 8-36 times greater than insured costs
(Reduce risks - cut costs. INDG 355 2002)

Regulation 7 of the Management of Health and Safety at Work Regulations

1999 requires that employers appoint persons to assist them in complying
with their legal health and safety obligations.
(a) Outline the main requirements of this regulation. (4)
(b) Outline the key areas of strategic involvement of the health and safety
professional with respect to developing and maintaining an employers'
health and safety management system. (6)


Key legal requirements of MHSW reg


H&S Assistant must be competent;

Must appoint one or more persons as necessary;
Arrangements for cooperation if 2 or more
are appointed;

(b) Key elements of strategic role include:

Formulating and developing elements of the
health and safety management system;
Developing/agreeing a suitable safety policy
Developing plans for and accident investigation;
Involvement inspections and audits;

The numbers of H&S Assistants and time

available is to reflect organisations size
and risk
Information on health and safety issues to
be provided to external appointees;
Preference for internal appointment(s); information on temporary workers; exemptions for partnerships where one partner is
sufficiently competent.

Developing plans to improve safety culture;

Organising and participating in reviewing the
health and safety arrangements;
Managing relationships with HSE, Environment Agency and Council etc
Advising senior management on short and
long-term targets for impovment

The senior managers at your workplace participate in formal annual reviews of health and safety performance as part of the
health and safety management system. Outline the types of information that should form the inputs to this review process. (10)

Reactive/proactive performance measures with 2/3 specific examples of

Current site health and safety objectives; the extent to which these objectives have been met.
Results of internal/external audits.
Organisational changes that may have impacted on health and safety performance.
The results of employee participation and consultation.
Changes to law, external standards, expectations.
Benchmark information from other similar organisations or sites, national
Conclusions and actions from previous reviews.

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 organisations health and safety management arrangements. Describe the organisational and planning issues to be addressed in
the development of the audit programme. (20)
You do not need to consider the specific factors to be audited.

Staffing/time/resources and whether additional resources are needed- time, money, expertise.
consider whether internal / external auditors should be used to administer the process;
if in-house consider training needs;
the need to consult with and obtain support from senior managers
nature of the audit procedure eg full audit - all H&S management issues across entire
organisation; horizontal audit - looking at a particular issue eg managing emergencies across the whole organisation; vertical audit - focussing on H&S management issues in
a particular department / section etc;
consider the scale / scope of the audit - all issues covered or certain issues targeted - eg
policy documentation; frequency of auditing required (relative to levels of risk in the organisation);
the standards against which the management arrangements would be audited - BSEN /
Trade Association standards
the need to identify the key elements of an audit process (such as planning, interviews,
verification, feedback routes, etc); consider issues such as need for a system of scoring / rating performance - qualitative / semi-quantitative

(b) Outline FOUR proactive (active) monitoring

techniques which might be used to assess the organisation's health and safety performance. (8)

Workplace inspection

Safety survey

Safety sampling Review of documentation - policy, risk assessments,

Job Safety Analysis - observation of work activities / behavioural safety assessment etc - compliance;

Safety climate analysis - interviews / questionnaire / survey - staff attitudes;

Reveiw against 18001 or HSG65

benchmarking against a validated internal or external standard OR other organisations

Measuring if targets have been met which were set by the organisation

A large public limited company has recently experienced a fire and explosion resulting in multiple fatalities and extensive environmental damage.
(a) Outline a range of consequences that may affect the company as a result of the incident. (5)

(a) Consequences of incident include:


Criminal prosecution and penalties

Civil claims
Clean up cost
lost production / orders
Time/Money on investigation,
Reputational damage
Higher insurance / difficulty in insuring
Damage to staff morale / confidence
Difficulty in retaining / recruiting staff
Restrictions imposed by regulators (licences / permissioning regimes)

Explain the benefits of:

(a) an integrated health and safety, environmental and
quality management system. (10)


Benefits of an integrated management system can include:


Consistent format


lower overall cost


Avoids duplication of procedures, record-keeping etc

Broadening the benefits from good management systems in all


Encouraging closer working and equal influence amongst people

from each area;


encouraging the spread of a positive culture across all three



Providing easy integration of other risk areas such as security or

product safety.

Outline how safety tours could contribute to improving health and

safety performance AND to improving health and safety culture
within a company. (10)

highlights compliance or non-compliance;

1. Provides an opportunity to challenge unsafe actions
2. Identifies patterns and trends and common organisational problems;
3. Raises awareness of Health & Safety issues;
4. Checks effectiveness of actions put in place;
5. Helps to prioritise actions and resource allocation
Safety tours can improve H&S culture by:
1. Demonstrating organisational / management commitment
2. engaging staff ;
3. Giving Ownership of health and safety;
4. raising awareness of H&S issues;
5. improving perception / attitudes / motivation / behaviour;
6. providing opportunities for consultation / communication;

Outline the issues that should be considered when planning a

health and safety inspection programme. (10)

WHO: who is to be involved Composition & competence requirements of inspection

WHAT: the scope of the inspection programme The range of activities / processes / to be covered by the inspection; employees / contractors
WHEN: planned programme or random / unannnounced; The frequency and timing of the inspection to cover shifts, out-of-hours maintenance activities / shutdown;
more regular in safety-critical environments; previous data - accident / ill-health
records / trends
WHERE: the sites / locations to be inspected
HOW: the methods of recording data - checklists / observation / scoring / rating
The training needs of the inspection team; the equipment needs of the inspection
team - PPE etc; the need for consultation and support / involvement of management / staff - team meetings / briefings / newsletters etc; applicable legal standards (COSHH R 9 LEV); industry standards / requirements of insurers;

(a) Outline the strengths of using accident rates

as a measure of health and safety performance (2)

(b) Outline the weaknesses of using accident rates as

a measure of health and safety performance (8)

(a) Strengths;
1. measurable number with defined criteria,
2. easy to plot a trend, benchmark data may be available, represents categories of loss events which have actually happened, and which are

cannot predict future performance;
It measures previous not current safety measures effectiveness
accidents may not be reported
absence of accidents does not necessarily indicate that procedures are safe;
does not reflect chronic health issues;
different definitions of accident / different treatment of part-time workers / contractors may make data and / or comparisons invalid.

Your company employs 900 people at a warehousing and distribution site. Your site manager has asked for a set of summary information to be provided each month for its executive meetings in
order to monitor the overall health and safety performance of the
site. Outline the possible contents of that set of information. (10)
The information set should contain both reactive and active
(proactive) data:

numbers of accidents / ill-health / sickness absence / absenteeism /
staff turnover / near-misses / numbers of RIDDORs
Number of enforcement actions taken;
civil claims;
amount of property damage;
responses to staff surveys / questionnaires levels of (dis)satisfaction.
numbers and outcomes of workplace inspections;
numbers of actions outstanding;
health surveillance data / records;
results of atmospheric / environmental monitoring; - air; noise etc;
H&S training records
tenders won where H&S standards / performance was a factor; l
level of maintenance carried out;
budget / resources allocated to Health and Safety;
progress in meeting H&S targets;
10. levels of hazard reporting;
11. extent of co-operation between staff & managers

An employer wishes to build a new gas compression installation to provide

energy for its manufacturing process. An explosion in the installation could
affect the public and a nearby railway line. In view of this the employer has
been told that a qualitative risk assessment may not be adequate and that
some aspects of the risk may require a quantitative risk assessment.
(a) Explain the terms qualitative risk assessment and
quantitative risk assessment. (5)

1. Qualitative RA is a subjective evaluation of risk

2. its based on estimation of (likelihood) and severity
3. high / med / low OR 1-5 (subjective score / rating)

1. Quantitative RA = is a numerical evaluation of

2. Its based on verifiable data such as those used in
Fault Tree Analysis and Event Tree Analysis,
3. Used in safety-critical environments

Witness interviews are an important part of the informationgathering process of accident investigation. Describe the
requirements of an interview process that would help to
obtain the best quality of information from witnesses. (10)

Interview ASAP (but allow delay for injury / shock);

Allow adequate time for interview;
interview one witness at a time; allow witness to be accompanied
by a colleague / union rep etc;
establish rapport; put interviewee at ease; explain purpose of interview (to gather info / evidence / facts; don't allocate blame
explain need to record interview - evidential basis;
open questions / allow interviewee time to answer;
listen carefully to responses and respond appropriately;
dont interrupt / dont prompt / dont draw unwarranted conclusions;
allow use of sketches / photographs / plans etc to assist establish
ensure suitable environment -private, quiet, comfortable, no
summarise and check agreement at end; thank witness for

Explain the 'domino' and 'multi-causality'

theories of accident causation, including
their respective uses and possible limitations
in accident investigation and prevention.

Domino theory: Heinrich's five-step model:

ancestry / social environment - fault of person - unsafe act / condition - accident - injury.
Subsequent developments of Heinrich's model by Bird and Loftus: lack of management / organisational control basic causes (personal / job factors) - immediate causes (unsafe acts / conditions) - accident - loss.
Bird and Loftus variant is an advance on Heinrich as it takes account of organisatiomal / management failures /
underlying causation.

Uses: both theories provide a basis for structured accident investigations.

Limitations: both models encourage simplistic, sequential / straight-chain thinking that imply the removal of a
single link can prevent accidents; as such tend to restrict the search for multiple accident causes; Heinrich
model in particular encourages a focus on immediate causes (acts / conditions) rather than underlying causation (faults in planning / design).

Multi-causality theory: model developed by Prof James Reason - based on recognition of multiple underlying (organisational, cultural or managerial) failings that interact with each other and with local circumstances to produce accident events at
unpredictable times and locations; each cause may have multiple causes of its
own; characterised by randomness and complexity; emphasises the need for indepth accident investigation; provides a basis for systematic accident analysis
techniques such as fault tree analysis / event tree analysis; provides a link between the number of underlying failings in an organisation and the probability of
accidents occurring.
Limitations: complex / conceptually difficult; requires greater resource - expertise /
time money; diffficult to define boundaries of investigation.

A forklift truck is used to move loaded pallets 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) Outline reasons why the accident should be investigated. (4)
(b) The initial responses of reporting and securing the scene of the accident have been carried out. Outline the actions which should be taken in order to collect evidence for an investigation of the accident. (8)



to identify breach of law, effectiveness of management

To obtain information for insurers, claim for damage to plant, possible civil claim,
criminal defence;
Identify causes (immediate and underlying)
Prevent it happening again
To show management commitment, restore employee morale
To collect Data for accident costing
To Identify of trends
To Identify need to review risk assessment.

Photograph, sketch, measure relevant parts of accident scene, CCTV;

examine condition of FLT (brakes, steering, tyres, horn etc);
inspect maintenance records, defect reports (previous FLT oil leakages),
are daily check sheets used;
reason not used on this occasion;
inspect/examine loads carried (safe working load)
examine working practices, time pressures, overtime records
; examine operating procedures, written instructions, visitors procedures, risk
View competence of operator training records;
10. interview relevant people examination of workplace/environment,

An investigation reveals that there have been previous forklift truck

skidding incidents which had not been reported and the company
therefore decides to introduce a formal system for reporting 'near
miss' incidents. Outline the factors that should be considered
when developing and implementing such a system. (8)


The Definition of a near miss should be defined

Should consult with employees
Provide Information, training for employees
No blame culture;
Make system easy to report
Ensure employees know who they report too
Identification, implementation of actions
Have a reporting back system to tell people what has been
done once they have reported somehting
Collate reports on incidents
Define a person to implement it
Monitor actions that are put into place
Measure Cost of implementing it
What resources are needed

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 AND in
EACH case, state the broad type of information to be
provided. (10)


Health and Safety Exec - accident reports / RIDDOR; H&S policy; risk assessments; accident book
Insurance companies - accident reports; H&S policy; risk assessments; SSW;
Courts - legal proceedings / statements / disclosure - criminal and civil;
Contractors - induction, site rules, PTW procedures etc;
Clients - during selection process - policy, risk assessments, enforcement
Customers - Health and Safety at Work Act Section 6 information re safety of
goods, articles, substances;
Professional bodies - IOSH etc - in relation to campaigns / research
The emergency services - COMAH; emergency planning; stock of chemicals
Training organisations - before sending people on work experience - H&S
(Training for Employment) Regulations;
10. Employees - HSWA S2 & MHSWR - information on risks to their H&S etc. Also
H&S (Information for Employees) Regulations - H&S at Work poster - specific

(a) Organisations are said to have both formal and informal structures and groups.
Outline the difference between formal
AND informal in this context. (6)

Formal =
1. Hierarchical
2. well-defined structure,
3. roles and responsibilities, lines of communication
4. Organisation charts
Informal =
1. social and personal relationships or contacts
2. Is based on individual / personal influence;
3. less structural
4. can act so as to by-pass formal systems and procedures
5. Can be undermining to defined roles and responsibilites

Outline how the H&S professional can help to develop and support the
arrangements for consultation with employees on H&S matters. (10)



Initially, the health and safety professional might advise on the requirements of the Safety Representatives and Safety Committees
Regulations and the Health and Safety (Consultation with Employees) Regulations
Advise on the good and accepted practices to be followed both by
safety committees and safety representatives;
Make proposals for local arrangements for formal consultation;
offer advice and support for the training arrangements of safety
representatives and representatives of employee safety
arrange for the necessary resources to be provided to enable them
to carry out their duties.
Encourage senior management to take an active part in both formal and informal consultation and to respond promptly to proposals made and concerns expressed during the consultation process.

Explain the benefits of a separate health

and safety, environmental and quality
management systems. (10)

(b) Benefits from retaining separate systems might include:

One system may be more complex than the other areas
For example safety is underpinned by legal requirements but quality is not
The need for a complex system in safety module does not mean a complex approach is required for quality
Existing systems may work well and the process of integration may use extra
cost and extra resources
Integration may affect their overall effectiveness;
Separate systems might be clearer for external people to work with
encourages a more detailed approach to auditing each individual system
separate systems might be clearer for external auditors to work with
Encourages a more detailed approach to auditing the standard in question.

The HSE publication Successful H&S Management (HSG65)

describes a model of H&S management in which the
organising element requires control, co-operation, communication and competence. Outline using practical examples,
what co-operation means in this context. (6)

Co-operation involves:
Consultation with workforce (formal & informal)

staff discussion / team meetings

staff surveys questionnaires

casual discussions;
staff involvement / participation in:

Risk Assessment , Safe systems of work






receiving and delivering training

Organisational change can, if not properly managed, promote

a negative H&S culture. Outline reasons for this. (8)


Change can result in lack of focus on H&S matters - other issues take
loss of skills / competence (staff leave/move);
require people to take up new roles for which they lack competence;
uncertainty about future - redundancy etc results in a lack of confidence / mistrust of management
perception that H&S is not a concern;
increased outsourcing - contractors etc bring a different culture;
movement of staff breaks up units / groups and undermines established
systems / culture;
breakdown in normal arrangements for consultation and communication with staff;
new relationships need to be established;
re-allocation of budgets;
New ways of working may result in unforeseen hazards / risks arising;
increase in accidents / ill-health due to disruption reduced morale;
staff resistance to change

Health and Safety at Work Act presents a number of opportunities for individuals to be prosecuted for breaches of duties under the Act.
Assuming that the individuals are employed within a large company, outline
the circumstances under which they may be prosecuted for such breaches.

Section 7 - employees 1.
failure to take reasonable care of themselves and other s who may be affected by their acts / omissions at work;
failure to co-operate with employer
Section 8 - any person 1.
interference / misuse of anything provided for a H&S purpose;
Section 36 - offence due to act / default of another person 1.
eg supervisor / manager instructs employee to use unguarded machine
Section 37 - offence committed with consent / connivance or attributable to neglect
Director, Manager, Secretary etc
Section 33(1) - impersonating / obstructing an inspector

Explain with reference to case law, the meaning of the

terms `practicable' and `reasonably practicable' as they
apply to health and safety legislation. (10)

'Practicable' means that there must be compliance with the duty as far as
technical and practical feasibility allows; within current knowledge and invention; with no reference to cost; though not an absolute duty, practicable
is of a higher standard than that of 'reasonably practicable.' Adsett v. K&L
Steelfounders and Engineers Ltd (1953), Marshall v Gotham [1954]
'Reasonably practicable' requirements are those
1. A balance is made between risk and cost (in terms of money, time and
2. e met when the cost of further control is grossly disproportionate to any
reduction in risk. Controls in proportion to risk. Edwards v National Coal
Board [1949]

(b) Outline a range of organisational issues that may act as barriers to the improvement of the safety culture of an organisation. (8)
Remember barriers must be NEGATIVE


Lack of resources assigned to health and safety- money, time, effort

Lack of training / competence in Health & Safety expertise
Lack of trust and confidence of the workforce in the ability of management to
manage safety
Lack of effective communication on Health & Safety matters;
Management setting a poor example;
Lack of commitment of management and / or of the workforce;
Low level of motivation (at all levels);
Inconsistent decision making;
Unclear priorities - production v safety conflicts;
Established negative culture - peer pressure, blame culture etc
Resistance of both management and the workforce to change (possible impacts on productivity / pay / bonuses)
High staff turnover - makes it difficult to establish a fixed culture;
Low status of H&S and of the H&S advisor / dept;
variations in cultures / language etc of workforce;
Lack of expertise in implementing cultural change;
Multi-sites different attitudes

Outline the types of information that should be included in

written safe systems of work. (10)


Clear description of the activity / area to which the SSOW applies;

Significant risks/hazards involved in the task;
people involved in the activity
Anyone who should be excluded from the activity (eg young persons, etc);
level of training or competence required;
arrangements for supervision;
arrangements for control or co-ordination of the work;
detailed risk control steps to be taken;
description of any plant and equipment required for the work;
description of any PPE required;
requirements for any job-specific instruction or briefing for those involved;
arrangements for communication between personnel involved in the work;
emergency arrangements;
Whether a PTW is required;
arrangements for safe completion/withdrawal of precautions;
arrangements for communication with others working in the area/who might
be affected;
17. formal approval/signature of authorising manager/date;
18. review date

Armour v. Skeen 1977

Personal Liability of Executives

Detail points of the case

Detail the outcome
Detail the section of the Health and Safety at Work Act that was breached

A workman fell to his death while repairing a road bridge over the river
Mr. Armour was the director of Roads for the regional Council
He had a responsibility for supervising the safety of road workers
He had not produced a written safety policy for such work.

He was prosecuted under Section 37(1) of the Health and Safety at

Work, etc. Act 1974 which imposes personal liability on senior executives.

Mr. Armours defence was that he was under no personal duty to carry
out the Councils statutory duties, one of which was the formulation of a
detailed safety policy for the roads department.
This was rejected
This he had failed to do and was therefore found guilty of an offence.

Edwards v. National Coal Board 1949

Reasonably Practicable

A miner was killed when a section of the road on which he was travelling collapsed.
The section of the road concerned had no timber supports, although other sections were
properly supported.
The Coal Board stated that the cost of supporting all roads was disproportionate in relation
to the risk.
Lord Asquith, the judge in the case, said that a balance had to be made in deciding whether
it would have been reasonably practicable to have taken the precaution of providing supports for the section of road which collapsed.
The balance was struck by weighing the level of risk involved (the danger of collapse and
loss of life) against the level of sacrifice involved (the cost, time and trouble).
If there was a gross disproportion between the two and the risk was insignificant to the cost,
there would be no requirement to take the additional precautions.
However, in this particular case the costs of making safe should have been applied.

The Health & Safety at Work etc. Act 1974

Section 2
It shall be the duty of every
health , safety and welfare of all his

to ensure, so far as is reasonably practicable,

It shall be the duty of every employer to ensure, so far as is reasonably practicable, the health , safety and
welfare of all his employees
Every employer shall


Provide Safe Plant & Systems of Work

2) To ensure the Safe Handling, Storage & Transport of Articles & Substances
3) provide adequate Information, Instruction, Training & Supervision
4) provide a Safe Workplace
5) provide a Safe Environment & Welfare Facilities
6) Prepare and revise when necessary a H&S Policy statement of intent & Arrangements for health and safety in the workplace
7) Consultation with Safety Representatives
8) Safety Committee